For board members and managing directors of financial companies, compliance officers and sales representatives
With the seminar, you will receive your 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
30.09.-01.10.
Munich
……
…..
Tasks and Duties of the WpHG 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
MiFID II in practice: What you must pay attention
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 suitability according to § 31 para. 4 WpHG
The Complaints Report: Minimum Requirements for Complaints Management (RS 06/2018 + BT 12) implement audit-proof
WpHG Compliance
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
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
Interface WpHG Compliance, Sales Representative and Single Officer
We need your consent before you can continue on our website. If you are under 16 and wish to give consent to optional services, you must ask your legal guardians for permission. We use cookies and other technologies on our website. Some of them are essential, while others help us to improve this website and your experience. Personal data may be processed (e.g. IP addresses), for example for personalized ads and content or ad and content measurement. You can find more information about the use of your data in our privacy policy. You can revoke or adjust your selection at any time under Settings. Some services process personal data in the USA. With your consent to use these services, you also consent to the processing of your data in the USA pursuant to Art. 49 (1) lit. a GDPR. The ECJ classifies the USA as a country with insufficient data protection according to EU standards. For example, there is a risk that U.S. authorities will process personal data in surveillance programs without any existing possibility of legal action for Europeans.
If you are under 16 and wish to give consent to optional services, you must ask your legal guardians for permission. We use cookies and other technologies on our website. Some of them are essential, while others help us to improve this website and your experience. Personal data may be processed (e.g. IP addresses), for example for personalized ads and content or ad and content measurement. You can find more information about the use of your data in our privacy policy. Some services process personal data in the USA. With your consent to use these services, you also consent to the processing of your data in the USA pursuant to Art. 49 (1) lit. a GDPR. The ECJ classifies the USA as a country with insufficient data protection according to EU standards. For example, there is a risk that U.S. authorities will process personal data in surveillance programs without any existing possibility of legal action for Europeans. Here you will find an overview of all cookies used. You can give your consent to whole categories or display further information and select certain cookies.