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MiFID II in Focus: 2017 Seminar Series

December 07, 2018

Dechert’s MiFID II in Focus seminar series focuses on the preparation for and implementation of MiFID II.

If you have any queries relating to MiFID II in Focus seminars or topics covered in the series please do not hesitate to contact the Dechert events team who will direct your query to the relevant speaker.

Upcoming seminars

Details of the autumn seminar programme will be posted here shortly. Please check back for updates.

Past sessions and delegate materials

For copies of the delegate materials from any of the seminars listed below, please contact the Dechert events team.

MiFID II: Challenges and Solutions for U.S. Asset Managers - 25 July 2017

This presentation hosted by Dechert, BNP Paribas and DMS looked at MiFID II and its impact on U.S. managers.

Unlocking Organisational Requirements under MiFID II – 5 July 2017

MiFID II provides for more detailed requirements than those set out in MiFID I regarding the internal organisation and governance of firms and the compensation and responsibilities of a firm's management body. This session looked at internal organisation and governance, with a particular focus on management body composition, new product governance and record keeping requirements, additional complaints handling and compliance obligations, conflicts of interest and remuneration.

Marketing Part II – 27 April 2017

MiFID II introduces a new marketing regime that will apply to the production and distribution of any financial product through MiFID channels. New compliance procedures will need to be designed and embedded in firms' practices, and firms will need to identify where current practices will need to be changed. Following Part I of this session held in November 2016, this seminar looked at point of sale and periodic disclosure, aggregate costs disclosure, non-advised sales and independent advice.

Best Execution – 8 December 2016

MiFID I introduced a comprehensive best execution regime. MiFID II will impose a number of new and enhanced obligations on firms when it comes into force in January 2018 which seek to increase investor protection. This seminar focused on the changes to best execution, specifically the changes from MiFID I, new public disclosure rules, FCA transposition and demonstrating and monitoring compliance.

Marketing Part I – 3 November 2016

MiFID II introduces a new marketing regime that will apply to the production and distribution of any financial product through MiFID channels. New compliance procedures will need to be designed and embedded in firms’ practices, and firms will need to identify where current practices will need to be changed. This seminar covered the scope of the new requirements, product design and distribution channel rules and inducements in sales transactions.

Paying for Research Under MiFID II – 29 September 2016

MiFID II introduces a major change to soft commission practice in the EU. MiFID II investment firms that provide portfolio management services will have to conform to the new MIFID II requirements which ban paying for services out of dealing commission. Investment firms will need to examine their practices carefully to identify where adjustments must be made. This seminar provided attendees with an outline of existing practices, a detailed overview of new rules for dealing commission and a look at how the new rules are likely to affect current practice and what managers will need to do to prepare.

MiFID II - Impact on Investment Managers - 4 November 2015

This webinar provided an overview of the MiFID II regulation, with a particular focus on areas that will most directly affect US investment advisors and managers.

MiFID II - An Introduction for Asset Managers - 30 September 2015

This seminar provided an overview of the new MiFID II legislation, with particular reference to its impact on asset managers. A number of key areas were covered including firm governance and compliance, dealing commission and inducements, product manufacturing, distribution and disclosure, investor protection and transaction reporting.

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