16

Apr

-

Dates Pending

16

Apr

2025

Investments Services, Capital Markets Union & Digital Finance: Challenges and opportunities

FROM

€

125

5 CPD Points

5

HOURS

English

Nicos Pavlides

description

COURSE DESCRIPTION

This online training program aims to answer the key question: What’s next for financial services and their regulation in the EU?

Having as a starting point the examination of key concepts of the EU Markets in Financial Instruments Directive II (‘MiFID II’), the program will then examine cardinal features of the ambitious plan for an EU Capital Markets Union (the ‘CMU’), that is, the plan to create a single market for capital aiming to get money - investments and savings - flowing across the EU so that it can benefit consumers, investors and companies, regardless of where they are located. The EU Digital Finance strategy is one of the central pillars of the CMU and in this programme we will focus on aspects of particular importance of the Digital Finance Package which recently came into effect, including The European crypto-assets regulation (‘MICA Regulation’ which applies as of 30.12.2024), and the Digital Operational Resilience Act (‘DORA’) which applies as of 17.1.2025.

The program is divided into two distinct parts to ensure a focused and detailed exploration of each topic.

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Aims of the training program

By the end of this training program, participants will:

· Understand the obligations for identification, prevention and management of conflicts of interest in the provision of investment services.

· Familiarize with the requirements of knowledge and competence for investment firms’ staff.

· Appreciate the golden, far-reaching principles of conduct of business in the provision of investment services, to act honestly, fairly and professionally and to provide fair, clear and non-misleading information to clients.

· Comprehend the concept and scope of investment advice.

· Understand the focus and priorities of the Securities Regulator, as evident from a recent seminal decision.

· Appreciate the restrictions to the provision of investment services due to imposed sanctions.

· Be introduced to the EU Capital Markets Union plan, the Digital Finance Strategy for the EU, and the changing landscape of financial services and their regulation.

· Understand the new obligations, financial products and services on the basis of EU legislation.

· Gain practical knowledge through examples, Q&A sessions, examination of decisions and case studies on the key concepts.

course content

Dates and times

Course content

Part 1: Investment Services: Established avenues – Law and practice.

Unit 1: Management, Organizational Requirements and conditions of operations of Investment Services Providers

· Identification, prevention and management of Conflicts of Interest

· Requirements of knowledge and competence for Investment Firms’ staff

Unit 2: Conduct of Business & Investor Protection in the provision of Investment Services

· General Duty to act honestly, fairly and professionally and the General Principle of fair, clear and not misleading provision of information

· Provision of Investment Advice and its implications

· Assessment of Suitability and Appropriateness

· CySEC decision on I trade Global (CY) Ltd and the priorities of the Regulator

Unit 3: Recent developments in the regulatory framework for investment services

· Restrictive measures/Sanctions and the provision of investment services

· Use of Artificial Intelligence in retail investment services

Part 2: Capital Markets Union & Digital Finance: new areas and future challenges

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Unit 1: EU Capital Markets Union: the ultimate goal.

Unit 2: The future of finance is digital: The Digital Finance Strategy for the EU

Unit 2: New Obligations, Financial Products & Services based on:

i. It’s all about resilience: Digital Operational Resilience Act ((Regulation (EU) 2022/2554).

ii. Demystifying the Distributed Ledger Technology Pilot Regime ((Regulation (EU) 2022/858).

iii. Taming Crypto and unleashing blockchain: Markets in Crypto-Assets Regulation ((Regulation (EU) 2023/1114)).

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Note: Capital markets never sleep; and developments, case studies and guidelines are constantly evolving and updated. Our training programmes are designed to bring you the latest important developments and our programme content may be revised closer to the date as necessary; so as to reflect new laws, case studies, procedures, and other important recent developments.

suitable for

COURSE PREVIEW

HAVE A LOOK
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details

course details

Methodology

Live session - online via Zoom
Interactive lecture with PowerPoint presentation.
Reference/background materials will be provided.
Q&A sessions for in-depth understanding
Case studies and analysis, and group discussion.

Funding

Funding is not available for this course.

Admission Requirements

You must have minimum level of knowledge of Investment services to be admitted to this course.

Who is this aimed at

This program has been developed by professionals for professionals in the investment services, legal, risk management and audit fields who already have a basic understanding of investment services.

· Legal professionals

· Investment services Professionals certified by CySEC with either the Basic or Advanced Certification

· Internal auditors

· Risk Managers

· Compliance Officers of Investment Firms

· Officers and Directors of investment firms and financial institutions

Certificate Awarded

A Training Certificate will be awarded to those participants who will successfully complete the training.

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Coming Soon

More details about this course will be uploaded soon.

INSTRUCTOR

MEET YOUR INSTRUCTOR

Nicos Pavlides

Nicos Pavlides studied Economics and then Law (LLB) at the University of Sydney, graduating with honours. After two years working for the Office of the Director of Public Prosecutions in Sydney (2001-2002), he was awarded a Chevening scholarship and pursued further studies at the London School of Economics and University College London, where he obtained a Master of Laws degree (LLM) with a focus on financial-related legal subjects. Concurrently, he worked for the Crown Prosecution Service in London, primarily on cases of economic crime.

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COLLABORATORS

ADDITIONAL INSTRUCTORs

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frequently asked
questions

QUESTION 01

Do I need to be registered on the ERMIS Portal?

Yes, if you are registering for a course that is HRDA accredited, all participants (either receiving funding or not) will have to access and register as natural persons on the ERMIS Portal. If you are receiving funding and you are being registered for continuous professional/vocational training by your employer, your employer should also be registered with the ERMIS platform as a legal person. Contact us if you have any difficulty registering as a natural person or a legal person.

QUESTION 02

Will I receive a certificate at the end of the training?

Yes, you will receive a Certificate of Attendance from ELTRC or the relevant awarding body.

QUESTION 03

Do you have terms and conditions for seminar attendance?

Yes. You may find our terms and conditions here.

QUESTION 04

Will I receive the notes for the lesson and have access to recordings?

Yes, you will be given the course materials through an online platform and you will be allowed to download and keep the course materials and specimens for certain courses. Recordings will also be available in the drive for three months.