15 – May 2025
CPD hours: 6
Aim
- Understand the obligations for identification, prevention, and management of conflicts of interest in the provision of investment services.
- Familiarize yourself with the requirements of knowledge and competence for investment firms’ staff.
- Appreciate the golden, far-reaching principles of conduct in the provision of investment services, to act honestly, fairly, and professionally, and to provide fair, clear, and non-misleading information to clients. Comprehend the concept and scope of investment advice.
- Understand the focus and priorities of the Securities Regulator, as evident from a recent seminal decision.
- Appreciate the restrictions on the provision of investment services due to imposed sanctions.
- Be introduced to the EU Capital Markets Union plan, the Digital Finance Strategy for the EU, and the changing landscape of financial services and their regulation.
- Understand the new obligations, financial products, and services based on EU legislation.
- Gain practical knowledge through examples, Q&A sessions, examination of decisions, and case studies on the key concepts.
Participants’ Profile
- Legal professionals
- Investment services professionals certified by CySEC
- Compliance officers, risk managers, and directors of investment firms
- Internal auditors
Certification
All participants will be awarded a certificate. Each hour of attendance will account for one unit of Continuing Professional Development (CPD) as required for members of most professional bodies.
