ΠΕΡΙΓΡΑΦΗ

This programme provides an overview of important current regulations that are key for the financial services sector.  It delves extensively into the most significant regulations, including perimeter regulations. 

Participants can anticipate a wide range of examples that demonstrate how regulations play a vital role in fostering confidence in the provision of financial services.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

By the end of the programme participants will be able to:

• Understand the primary principles of the current EU regulatory frameworks concerning D.O.R.A, MICAR, ESG, Transparency and Reporting
• List the D.O.R.A. Principles and Key Requirements
• Explain the MICAR Basic Principles
• Name the Classes of CASPs and indicative requirements
• Apply the relevant provisions where applicable
• Understand the regulator’s expectations in the EU based current EU regulatory frameworks concerning D.O.R.A, MICAR, ESG, Transparency and Reporting
• Apply best practises
• Carry out a risk-based approach assessment and assess the regulatory risk.
• Define market manipulation
• List the Transparency Law requirements
• Describe the suitability and appropriateness assessment

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

The programme is ideal for

• Compliance Officers / Managers and their Deputies
• Managers with responsibility for internal compliance controls
• Legal, Audit, Risk, Operations and IT Specialists
• Risk Managers
• Staff working in risk functions
• Internal & External Audit Staff
• Regulatory Representatives
• AML Officers
• Accountants
• Lawyers

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Training Outline 

EU Digital Finance Strategy 

D.O.R.A

• Principles and Key Requirements
• Cyber Threats and the importance of mitigating it

 MICAR

• Basic Principles
• Risk Control

 Registration of Crypto Asset Service Providers (CASPs)

• Core requirements
• Classes of CASPs and indicative requirements
• Regulator’s expectations
• CySEC Registration & Legal Issues

 Latest developments in the laws and regulations concerning, involving or affecting fintech

• Challenges, including legal certainty, privacy of data, threats and other considerations
• Risk and regulatory compliance, the future of FinTech

 ESG Regulation Framework

• EU Sustainable Finance Disclosure Regulation (SFDR)
• EU taxonomy for sustainable activities (Sustainable finance, Greenwashing updates)
• Corporate Sustainability Reporting Directive (CSRD)
• Corporate Sustainability Due Diligence Directive (CSDDD)
• Non-Financial Reporting Directive (NFRD)

 Markets Regulatory Framework, Transparency and Reporting

 Market Abuse

• Insider dealing
• Market manipulation
• Recent developments

 Investor protection

• Product governance
• Suitability and appropriateness assessment
• Independent advice
• Recent developments

 Markets in Financial Instruments Regulation (MiFiR)

• General Principles
• Requirements for obliged entities

 Transparency Laws

• Transparency Requirements
• Reporting and Disclosures

 Case studies and real-life examples

Training Style 

 The programme has been thoughtfully designed with the aim of delivering comprehensive knowledge and enhancing participants’ skills. It achieves this through a combination of concise lectures on relevant legislations and guidelines, as well as engaging elements such as case studies, practical examples, and real-life scenarios.

 By the conclusion of the programme, participants will have, not only, expanded their knowledge base but also developed practical skills that they can readily implement in their professional roles. The acquired knowledge and enhanced skill set will serve as valuable assets, equipping participants to navigate complex regulatory environments, make informed decisions, and contribute to the overall success and stability of their organisations. 

CPD Recognition 

This programme may be approved for up to 15 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

Co-Instructors

Christina Livada (Assistant Professor of Commercial Law at University of Athens)

Dr Christina Livada is an Assistant Professor of commercial law at the Faculty of Law of the National and Kapodistrian University of Athens. Her main fields of specialization are company law, banking and capital markets law, as well as consumer protection law. She is the author of several books and articles in the abovementioned fields. Christina Livada has been working at the Hellenic Bank Association for seventeen years as a Special Legal Advisor, responsible for the regulatory issues pertaining to banking, capital markets and consumer protection law. Since 2017 she has joined Alpha Bank as a Special Legal Advisor. She obtained her PhD from the Faculty of Law of the National and Kapodistrian University of Athens.