Complying with MiFID II : Practical Considerations

Programme

  • Background
  • Scope of MiFID II
  • Corporate Governance
  • Client Categorisaiton
  • Independent Investment Advice & Portfolio Management
  • Nominee Services and Holding of Clients’ Money
  • Product Governance
  • Appropriateness & Suitability Assessment, & Suitability Report
  • Assessment of Complexity; Complex / Non Complex Instruments
  • Inducements & Investment Research
  • MiFIR Data Reporting
  • Concluding Remarks

Lecturers

Mr. James Farrugia | Dr. Marina Grech | Dr. Mark Caruana Scicluna | Dr. Mario Zerafa

Mr. James Farrugia spearheads GANADO Advocates’ Investment Services & Funds team’s licensing and regulatory consultancy activities. Leveraging his extensive experience working with the local competent authority, Mr. Farrugia is able to offer clients regulatory sound insight and practical solutions throughout the licensing application process on an ongoing basis.

Dr Marina Grech is a Senior Associate at GANADO Advocates’ Investment Services and Funds Department. She specialises in the setting up, licensing and ongoing structuring of investment services licence holders, including AIFMs, UCITS Management Companies and Brokers as well as UCITS schemes, AIFs, Venture Capital Funds, Real Estate Funds and Private Equity Funds.

Dr. Mark Caruana Scicluna is an Associate within GANADO Advocates’ Investment Services & Funds team. He focuses on the structuring, setting up and procurement of licences of investment funds, asset management firms and other related investment service providers. Mark also regularly assists in general corporate matters.

Dr. Mario Zerafa is an Associate within GANADO Advocates’ Investment Services and Funds team. He focuses on the establishment of Investment Funds in Malta, however he also aids clients in obtaining authorisations from the Malta Financial Services Authority (MFSA) and assists in general corporate law issues. Mario also assists clients within the Financial Markets sector.

Venue, Time and Dates

Institute of Legal Studies Tuition Centre, 19/12 Vincenti Buildings, Strait Street, Valletta VLT1432

1600h to 1800h on 9th, 16th, 23rd and 30th May, 2018 

Participation Fee

€ 400  |  cheques are payable to Institute of Legal Studies Malta

Registration

Use our online registration form.

Certification

Certificates of Attendance will be issued to all participants indicating the attended sessions.

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