This course provides a comprehensive examination of record-keeping and communication monitoring obligations under MiFID II, a cornerstone of EU financial regulation implemented in 2018. MiFID II significantly expanded transparency, investor protection, and market integrity requirements, placing a strong emphasis on the accurate retention of records and monitoring of communications related to investment services and transactions. Participants will explore the scope of record-keeping rules, including retention periods, formats, and audit trails, as well as obligations to monitor and record communications across multiple channels. The course also addresses challenges in implementation, data protection considerations, enforcement actions, and the role of technology and compliance officers. By combining regulatory analysis with practical best practices, learners will acquire the knowledge and skills to establish effective systems, ensure compliance, and build resilience in an increasingly complex regulatory landscape.
- Teacher: Curator to be announced soon