This course provides a comprehensive overview of the role of internal audit in the context of MiFID II, the European Union’s wide-ranging directive aimed at enhancing transparency, investor protection, and market integrity. Since its implementation in 2018, MiFID II has reshaped the regulatory landscape, imposing extensive obligations across trading, reporting, governance, and client engagement. Internal auditors play a critical role in ensuring compliance, evaluating risk management, and strengthening organizational effectiveness. Participants will explore MiFID II’s key compliance areas—transaction reporting, investor protection, best execution, product governance, and organizational requirements—through a risk-based audit lens. The course also highlights challenges commonly encountered during MiFID II audits and presents best practices, including the use of data analytics, continuous monitoring, and stakeholder collaboration. By the end, learners will be equipped with the insights and strategies needed to conduct effective MiFID II internal audits and support their organizations in achieving compliance excellence.
- Teacher: Constantina Economidou