Safeguarding client assets
The training aims to provide insight in safeguarding client assets obligations under UCITS/AIFMD and under MiFID. Purpose is to discuss the evolution of the obligations and supervisory expectations.
Total price *
Members: € 345
Non-members: € 380
Partners/ BZB: € 345
Incompany: tailor-made, prices on request
* Price: service in the context of continuing professional training, exempt from VAT
CPD Hours
Banking: 3h general
Insurances: 3h general
Compliance:
3h
Continuing Professional Development
Please let us know you're interested in this training should there be no date available, the planned date does not suit you and/or this session is full. As soon as about 5 people are registered on the interest list, we will propose a new course date. Your registration on the interest list is free of charge and without any obligation.
Target group
Compliance officers and staff members, internal audit, back office staff members and anyone dealing in the context of his/her job with the interpretation and application of client assets safeguarding regulations.
Required prior knowledge
Expert Level: This training will provide advanced characteristics on a specific topic. In order to grasp the concepts of this training, thorough knowledge is required (enhancement).
Programme
Content
The training includes the following topics that will be discussed from both a theoretical and a practical angle:
- Relevant MiFID I obligations + additional obligations MiFID II
- Circular PPB – 2007-7-CPB
- Relevant UCITS and AIFMD obligations
- Role of different intervening parties, the CAP Officer, the control functions and external audit.
Practical aspects
Duration: A half day training
Hours: 9AM-12.30PM (3 training hours)
Address: Febelfin Academy, Phoenix Building - Koning Albert II-laan/Boulevard du Roi Albert II 19 1210 Brussels
Additional information: This training course will be given in English
Methodology
You follow a ‘Classroom training’ in a group. You, the other participants and the teacher are all present in the same classroom at an agreed time. There is an opportunity for interaction and feedback, both from the participants to the teacher and vice versa. The teaching material consists as a basis of a presentation via the MyFA learning platform, supplemented with various other items (such as digital syllabus, presentation, audiovisual fragments, etc.).
Form: Classical
Teaching material: Powerpoint presentation (slides)
Bank: De technische kennis m.b.t. de financiële producten in bank- en beleggingsdiensten overeenkomstig art. 7; §1, 1°, b en c van het K.B. van 1 juli 2006.
Banque: Les connaissances techniques relatives aux produits financiers et aux services bancaires et d'investissement, conformément à l'article 7, §1, 1°, b et c. de l'AR du 1er juillet 2006.
Verzekeringen: Betreft de technische kennis m.b.t. de onderscheiden verzekeringstakken, overeenkomstig art. 270 van de wet van 4 april 2014.
Assurances: Les connaissances techniques relatives aux différentes branches d'assurance, conformément à l'article 270 de la loi du 4 avril 2014.
Teachers
Isabelle Christiane G Willems
Compliance & audit
