MiFID II Essentials for Investment Firms

What you will learn

This workshop gives your compliance team and senior management a hands-on understanding of MiFID II obligations as they apply to your specific licence type. Rather than generic theory, every topic is grounded in Dutch regulatory practice — AFM expectations, DNB touchpoints, and real enforcement examples.

Programme

• Regulatory landscape — MiFID II/MiFIR architecture, delegated regulations, and how AFM and ESMA guidance layers interact
• Client categorisation — Professional vs. retail, opt-up procedures, and the suitability/appropriateness distinction in practice
• Product governance — Target market assessment, manufacturer vs. distributor obligations, and product review cycles
• Best execution — Policy design, execution venue analysis, top-5 venue reporting, and ongoing monitoring requirements
• Transaction reporting — RTS 22/23/25 obligations, ARM selection, and common reporting errors flagged by AFM
• Conflicts of interest — Framework design, conflicts register, and inducements rules including cost transparency
• Organisational requirements — Compliance function, internal audit, outsourcing governance, and record keeping
• Practical exercise — Gap assessment of your firm's current compliance framework using a structured checklist

Who should attend

Approach

Every workshop is preceded by an intake call to understand your firm's licence type, business model, and specific compliance challenges. The materials and examples are then tailored to your context — you will not get a generic deck.

The day alternates between structured presentations and interactive exercises. We work through real AFM enforcement cases, analyse your current policies against regulatory requirements, and build a prioritised action list for any gaps identified.

After the workshop

You receive all materials including the customised slides, the MiFID II obligation checklist, and the compliance gap assessment template. For two weeks after the workshop, you can reach out by email with follow-up questions on anything covered during the session.