ΠΕΡΙΓΡΑΦΗ

This seminar aims to prepare each candidate for the Cyprus Securities and Exchange Commission (CySEC) basic and advanced level Diploma. The aim is to ensure that candidates can apply the appropriate level of knowledge and understanding of the financial services regulatory framework to assist them in carrying out their duties in their field of work. This course involves a series of lectures together with training tests and revision activities.

The Topic of The Seminar Is Ideal For

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. 

The 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 ofthe Directive. 

CySEC Certified 

During the course, candidates will be provided with insight regarding the CySEC Advanced Certification and practical real-life examples. Following the completion of the seminar, candidates will be able to attend CySEC Advanced exams.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

Με την ολοκλήρωση του προγράμματος οι συμμετέχοντες θα είναι σε θέση να:

1. Περιγράφουν τη νομοθεσία και τους κανονισμούς της Επιτροπής Κεφαλαιαγοράς.
2. Να διατυπώνουν την έννοια του Risk Based στις Επενδυτικές εταιρείεςΣε επίπεδο δεξιοτήτων
3. Αναπτύξουν μια ολοκληρωμένη κατανόηση του περιεχομένου των εξετάσεων
4. Επιδεικνύουν και εφαρμόζουν το κατάλληλο επίπεδο γνώσης και κατανόησης του ρυθμιστικού πλαισίου των χρηματοπιστωτικών υπηρεσιών που θα τους βοηθήσει κατά την εκτέλεση των καθηκόντων τους
5. Αναπτύσσουν τη φιλοσοφία του “Risk Based” στις Επενδυτικές εταιρείες, βάσει των κανονισμών και νομοθεσίας της Επιτροπής Κεφαλαιαγοράς.
6. Παρέχουν επενδυτικές υπηρεσίες, να εργάζονται σε θέσεις κλειδιά, να εξυπηρετούν με περισσότερο επαγγελματισμό τους πελάτες και να συμμορφώνονται ανά πάσα στιγμή με τους κανονισμούς της Ε.Ε. και της Επιτροπής Κεφαλαιαγοράς.

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

• Those who want to hold positions in all investment services functions in Cypriot Investment Firms
• Those who want to perform the investment services of reception and transmission of orders and execution of orders within a Cypriot Investment Firm.
• People who work or plan to work in a UCITS Management Company or a VCIC that manages UCITS
• People who work or plan to work in banks and Cypriot Investment Firms (CIFs)
• Financial and Professional Services Consultants
• Professionals joining the finance and professional services sector

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Lecturer’s Profile 

George Georgiou is a professional with over 30 years’ experience in the financial sector. He is currently the Head of Compliance and AML in an investment firm with vast experience in Banking, Investment Firms, Investment Funds and Payment Institutions. George is a holder of CySEC’s AML and Advanced Certificates, and an accredited HRDA trainer with exceptional results. He holds a master’s degree in business administration.

Course Subjects

• Introduction
• Chapter 1 The Investment Services and Activities and Regulated Markets Law 2017: Scope/ Powers/ Offences
• Chapter 2 Cypriot Investment Firms (CIFs)
• Chapter 3 Cypriot Investment Firms (CIFs) And Banks
• Chapter 4 Open-Ended Undertakings for Collective Investment (UCI) Laws 20212-2019
• Chapter 5 Alternative Investment Funds (AIFs)
• Chapter 6 The Business of Credit Institutions Laws of 1997-2016
• Chapter 7 The Prevention and Suppression of Money Laundering and Terrorist Financing Laws
• Chapter 8 Markets in Financial Instruments Regulation (MIFIR)
• Chapter 9 Capital Adequacy Requirements
• Chapter 10 European Market Infrastructure Regulation (EMIR)
• Chapter 11 Recovery and Resolution Laws
• Chapter 12 Prospectus Regulation
• Chapter 13 Transparency Laws
• Chapter 14 Insider Dealing and Market Manipulation Regulation (2016)
• Revision