Product Governance, Target Market and Conflicts of Interest, from the MiFID II perspective

Product Governance, Target Market and Conflicts of Interest, from the MiFID II perspective

 

OBJECTIVE

The program has the purpose to present the requirements of the MiFID II European Directives and the local legislation transposing them from the perspective of understanding and applying as easily the complex restrictions on Product Governance, Target Market and Conflicts of Interests.

As a methodology, the seminar will have a practical and interactive character, substantiating the theoretical concepts by presenting and analyzing case studies.

TARGET GROUP

The course is recommended to staff with responsibilities in the field of compliance, risk management, internal audit, as well as coordinators in private banking, treasury, retail, product issuing, human resources and corporate governance.

CONTENT

  1. MiFID II Requirements regarding Product Governance and Conflicts of Interests;
  2. Target Market – Positive – Negative – Identification and Reporting;
  3. Product Issuance and Distribution Policies;
  4. Remuneration and staff training policy;
  5. Inside Information and Personal Transactions;
  6. Rules for avoiding conflicts of interests;
  7. How to apply the principles in practice? Case studies.

LECTURER

Dr. Georgica Raicu has held the position of Chief of Legislative Compliance Requirements Office within the Banca Transilvania since January 2016. She is also Chairman of the Compliance Committee within the Romanian Banking Association (ARB).

Between 2012 -2016 she was Conformity Manager, Compliance Deputy Director within Volksbank Romania, and her main attributions were to coordinate the bank’s compliance risk, including the management of measures to mitigate the risk of conflict of interest. Previous, between 2006 and 2012, she held the position of Compliance Manager within the Banca Romaneasca NBG, Compliance Department. During 1995-1998, she was Chief of Service / Deputy Director in the Regulation and Authorization Division of CNVM (current ASF), being involved in the process of developing capital market legislation and the authorization of its actors.

Mrs. Raicu is a graduate of the Faculty of Statistics and Economic Cybernetics, ASE Bucuresti, Doctor in Economics specialty Economic Doctrine – Econometrics (ASE) and Master of International European Law – Law University Nicolae Titulescu.Professional experience is validated by numerous international certifications / participations, including the following: Diploma in Compliance Officer & International Anti-Money Laundering Officer (IAFM), Compliance Ethics Officer – London, SCCE / ACAMS, Amsterdam, Prague / Tailored Program on Mutual Funds and Brokerage Services Training and Meetings, USA, Management of the Canadian Financial Market, Canada. Mrs. Raicu is certified as a professional competence trainer.

DURATION

The course will be held for 16 hours (two days).

PERIOD

October 24 – 25, 2019, between 9:00 – 17:00

Registration is made following the registration form.

RBI will organise the seminar on its premises, and will provide specialized lecturer, course materials and catering services during the training day.

At the end of the course, the participants will receive a certificate issued by RBI  (under the aegis of the founding members: BNR and ARB), with 14 credits of continuous professional development (CPDs).

CONTACT

Roxana Ursu – Training Coordinator, e-mail: roxana.ursu@ibr-rbi.ro; mobile: 0748.886.804

Bogdan Trifescu – Training Specialist, e-mail: bogdan.trifescu@ibr-rbi.ro; mobile: 0748.886.814


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