WpHG Compliance

Programm

• 9.15 am – 1.00 pm

  Tasks and Duties of the WpHG Compliance Officer

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  Guarantor liability – current BGH judgements on liability of agents

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

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  Obligations arising from the MiFID Organisation Regulation and the MaComp

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  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

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  MiFID II in practice: What you must pay attention

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

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

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

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

• 2.00 pm – 5.00 pm

  Tasks and duties of the sales representative and the Single Officer

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

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

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

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

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

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  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

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  Interface WpHG Compliance, Sales Representative and Single Officer