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WpHG Compliance
Online Course – A19

MiFID II Compliance in Germany

  • Board members and managing directors of financial companies
  • Compliance Officer and newly appointed Compliance Officer in Germany

805,-€

Plus 19% VAT.

  • With the seminar, you will receive a certificate as proof of your expertise
    (e.g. for submission to BaFin)

  • Tasks and duties of the WpHG Compliance Officer

  • MiFID II in practice

  • Tasks and duties of the Sales Representative and the Single Officer

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Programm

  • 9.15 am – 1.00 pm

    Tasks and Duties of the Compliance Officer

    Guarantor liability – current BGH judgements on liability of agents

    Targeted limitation of personal liability risks for MaRisk/ WpHG- compliance officer

    Obligations arising from the MiFID Organisation Regulation and the MaComp

    BT 1 Organisational requirements and tasks of the compliance function

    • Monitoring tasks
    • Risk analysis
    • Monitoring activities
    • Reporting duties and compliance with minimum content
    • Advisory and participation tasks

    MiFID II in practice: What you must pay attention to

    BT 2: Monitoring personal transactions: Which persons and transactions are relevant?

    Key information document according to the PRIIPs Regulation: Requirements for fair, not misleading and unambiguous information

    BaFin publishes 5 findings on product governance and review of suitability according to § 31 para. 4 WpHG

    The Complaints Report: Minimum Requirements for Complaints Management (RS 06/2018 + BT 12) implement audit-proof

S+P Tool Box

  • S+P Tool: Risk Analysis 
  • S+P Handbook: Framework Conditions for the WpHG-Compliance Function
  • S+P Job Description WpHG- Compliance

WpHG Compliance

  • 2.00 pm – 5.00 pm

    Tasks and duties of the sales representative and the Single Officer

    Advisors in the area of tension between client, bank and supervision

    Kick-back and Lehmann judgements on the concretisation of the duty of disclosure

    New requirements for complex products and cross-selling (BT 13 / 14)

    Control plan of the sales representative: monitoring and reporting duties, review of sales targets, avoidance of conflicts of interest

    Appointment of a single officer pursuant to § 81 para. 5 WpHG

    • Tasks and powers of the single officer
    • Risk analysis – requirements for third-party custody
    • Risk-oriented monitoring of the third party

    Interface WpHG Compliance, Sales Representative and Single Officer

WpHG Compliance
WpHG Compliance

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