Semināra programma:
1. MiFID II un MiFIR prasības. Kuras ir aktuālas Latvijas finanšu sektoram?
Ar MiFID II / MiFIR saistošie tiesību akti
Galvenās izmaiņas saistībā ar MiFID II ieviešanu
2. Klientu vērtēšana:
Klienta statuss
Piemērotība un atbilstība
3. Produktu pārvaldība (product governance) un MiFIR ierobežojumi
4. Klientiem sniedzamā informācija:
Pirms pakalpojuma sniegšanas (t.sk. saskaņā ar PRIIPs regulu)
Informācija pēc darījuma un regulārie pārskati
5. Pamudinājumi (inducements)
6. Prasības sniedzot ieguldījumu konsultācijas un portfeļu pārvaldības pakalpojumu.
7. Tirdzniecības vietas un finanšu tirgus infrastruktūra
8. Ziņošana par darījumiem un informācijas atklāšana:
TREM II ziņošana
SI klasifikācija un pienākumi
Informācijas atklāšana, izmantojot APA
9. Labāka rīkojumu izpildes rezultāta nodrošināšana (best execution)
10. Iekšēja pārvaldība:
Valdes loma un iekšējā kontrole
Darbinieku atlīdzības sistēma
Interešu konfliktu novēršana
Darbinieku kompetence
11. Prasības attiecībā uz emitentiem (FI sākotnējas izvietošanas organizēšana).
Course Leader: Nadezhda Karpova, CAMS, Chief Supervision Expert of Financial Instrument Market Division in Financial and Capital Market Commission.
Nadezhda has more than 20 years experience in financial sector and is active in MiFID-Compliance and Market Abuse Compliance since 2007. She held varios positions in Citadele Bank (former Parex Bank): Head of Asset Liability Management Group; Deputy Head of Treasury; Head of Capital Market Compliance department. She was responsible for compliance elements implementation in Parex Bank in the field of investment services, implementation of the ongoing monitoring system of Bank Customers and Employees personal investment transactions (Market Abuse, Insider Trading), MiFID-Compliance program management, approval of Bank’s Counterparties from AML, reputation and MiFID point of view, approval of new products and procedures in the field of investment services, supervision of MiFID compliance in other Parex Group entities.
Nadezhda Karpova joined the Financial and Capital Market Commission 9 years ago as Supervision Expert of Financial Instrument Market Division, later she becomes Head of Resolution and Guaranty Funds Division, beeng responsible for managing of all processes necessary for the practical implementation of Single Resolution Mechanism in Latvia, as well as in the field of the Investor Protection Scheme, Deposit Guarantee Fund and the Fund for the Protection of the Insured. Since 2017 Nadezhda is Chief Supervision Expert of Financial Instrument Market Division. Currently her main responsibilities includes off-site supervision of broker companies and banks in the field of investment service, leading of on-site investigation, participation in licensing and approval process of new firms and services in financial instrument market, handling of customers' complaints, participation in the process of amendments of law and rules of the FCMC, participation in the work of several committees established by EU supervision authorities ESMA and EBA, MiFID II requirements implementation in supervision practice, as well as ongoing consultations and recommendations for market participants and colleagues in the field of investment services and AML.
Nadezhda is a Certified Anti - Money Laundering Specialist (CAMS) since 2009 and Certified Accountant since 1993.
Nadezhda Karpova has over 10 years experience in training executive audiences. Themes of training programmes:
System of internal control for monitoring of suspicious transactions using financial instruments (AML, Market Abuse, Insider Trading, Fraud).
Single resolution mechanism
MiFID II – new regulation in the field of investment service.
Target audience: High level management, compliance, brokerage, audit of banks and investment firms.