ΠΕΡΙΓΡΑΦΗ

As per EU Directives, professionals wishing to provide Investment Services and employed by Cypriot Investment Firms, Credit Institutions, Management Companies, and Investment Companies of Variable Capital, is compulsory to acquire a Professional Competence Certificate that reflects the ability to carry out such activities. 

These certifications are offered by the Cyprus Securities and Exchange Commission (CySEC) and can be obtained through the exams: a) Basic Financial Services Legal Framework Examination and b) Advanced Financial Services Legal Framework Examination. This course is preparing participants to attend the Advanced Level CySEC exam. Aim of the exam is to ensure that candidates can apply an appropriate level of knowledge and understanding of the financial services regulatory framework that will assist them in the performance of their duties. Successful candidates will be certified and eligible to perform all the investment services/activities of paragraph 4 of the Directive. 

The CySEC Advanced Examination is addressed to individuals who wish to be certified for all the investment services/activities of paragraph 4 of the Directive.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

TOPICS TO BE COVERED

• Investment Services Law 2017: Scope/Powers/Offences
• Cypriot Investment Firms (CIFs)
• Cypriot Investment Firms (CIFs) and Banks
• Open-Ended Undertakings for Collective Investment (UCI) Laws (2012–2019)
• Alternative Investments
• The Business of Credit Institutions Laws of 1997–2016
• The Prevention and Suppression of Money Laundering and Terrorist Financing Laws
• Markets in Financial Instruments Regulation (MiFIR)
• Capital Adequacy Requirements
• European Market Infrastructure Regulation (EMIR)
• Recovery and Resolution Laws
• Prospectus Law
• Transparency Laws
• Insider Dealing and Market Manipulation Regulation (2016)

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

• This course is designed for existing and prospective professionals in the financial sector; existing and prospective employees of Banks, CIFs as well as UCITS and AIF managers responsible for the provision of investment services; Compliance Officers; Internal Auditors; Anti-Money Laundering Compliance Officers and Risk Managers of Banks, Cypriot Investment Firms (CIFs) as well as UCITS and AIF managers
• Financial and Professional Services Consultants.

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

INSTRUCTOR: SOPHIA NEARCHOU

Sophia Nearchou currently leads the Compliance Function of a law firm in Limassol. She has extensive experience in streamlining Finance functions, has advise clients from all financial sectors regarding regulatory compliance matters and has also delivered a number of courses relating to compliance.

Sophia has demonstrated unique teaching abilities in University and Business Law courses integrating theory with practical life examples to trigger students' interest. She is a CySEC Advanced, & AML Examination holder, member of CAMS and CISI and a licensed lawyer by the Cyprus Bar.