How to prepare the MiFID Compliance Report in 2024

A self-study course that equips learners on how to prepare the Compliance Annual Report in 2024 and ensure alignment with the Markets in Financial Instruments Directive (MiFID). The course takes into consideration Circular C553 on the guidelines on certain aspects of the compliance function requirement and describes the information to be included and the inspection areas to be examined throughout the report. Moreover, the Regulatory Compliance team of SALVUS Funds shares with learners compliance tips and a report structure derived from its vast experience in producing compliance reports.

The course is suited and recommended for the fulfilment of the Continuous Professional Development (CPD) requirements of Compliance Officers and Assistants, as well as professionals employed by Cyprus Investment Firms (CIF), Alternative Investment Fund Managers (AIFM) and other CySEC regulated entities. The course can further support members of the Board of Directors with the review and approval of the Compliance Annual Report before its submission to CySEC. In addition, it can be valuable for lawyers, accountants and internal auditors of regulated investment firms.

Instructor

Evdokia Pitsillidou

Format

Online self-study

5 hours of CPD

Price

120€

course contents

your instructor

Evdokia Pitsillidou

Evdokia, a partner at SALVUS Funds, is actively advising and working on all matters related to licensing, regulatory compliance, and internal audit for investment firms, funds, Electronic Money Institutions (EMI) & Crypto-Asset Services Providers (CASP).

Member of the Global Institute of Internal Auditors (IIA)
Member of the Cyprus Investment Funds Association (CIFA)
Certified Actuarial Analyst (CAA)
CySEC Advanced Certified Person
CySEC certified Anti-Money Laundering Compliance Officer (AMLCO)

The Compliance Annual Report represents a reporting obligation of Investment Firm regulated entities, examining matters of compliance with the MiFID framework. Additionally, the course discusses comprehensively the guidelines issued by the Cyprus Securities and Exchange Commission (CySEC) concerning certain aspects of the compliance function, including the Compliance Annual Report.

The course has been designed by SALVUS Funds to equip professionals with guidance in preparing the Compliance Annual Report following specific regulatory standards. The SALVUS Regulatory Compliance team has gained first-hand experience in preparing annual compliance reports for clients of varying business models. This experience is concentrated and presented through this self-study course.

The MiFID Compliance Report course is a self-paced learning course, developed for key position holders of CIF regulated entities. Professionals undertaking this course will gain the necessary information and skills to develop a complete and well-structured Compliance Annual Report. The course provides in detail the inspection areas to be examined within the report for all business units and functions involved with the provision of investment and ancillary services. It can further constitute a useful source of information for members of the Board of Directors, facilitating them with the review and approval of the report and Compliance Officers providing them with reporting tips to be followed.

The completion of this course counts towards Continuous Professional Development (CPD) annual requirements for CySEC Advanced and Basic certifications.

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