Course Description and topics covered

The Course will cover the following topics:

• Research vs Advice in MiFID
  • Investment Advice vs Investment Research
  • Regulatory Aspects
  • Implicit vs Explicit
  • Social Media Posting
  • Inducements
  • Macro Analysis
  • The advice vs research 5-YES Path
• CySEC’s circular on marketing vs research and advice
• AI in retail investment services
  • Why AI matters
  • What ESMA expects
  • Mitigating measures
• Technical Standards for Recommendations
  • Who is the expert?
  • Identifying producers
  • General Obligations
  • Additional Obligations
  • Keeping History
• Advice and Social Media
  • Taxonomy of advisers
  • General vs Additional Obligations
  • When Market Abuse Issues Arise
  • ESMA Examples
  • Finfluencers
• Retail Investment Package
  • What it is
  • Amendments: inducements
  • Amendments: value for money
  • PRIIPs regulation changes
  • Professional Clients
  • Suitability and Assessment
• UCITS and AIFs Undue Costs
  • What is an undue cost
  • Definitions and prohibitions
• MiCA suitability

Course Duration

This Course will be presented Online Live on 18 November 2026 at 10:00 – 15:30. The Course duration is 5 hours.

The Course is addressed to:

This course is addressed to all individuals who are involved in Investment Firms (forex, brokers, etc) and Funds’ industry such as:

• Executive Directors, Non-executive directors, Senior Managers, Compliance Officers, Risk Managers, Product Managers, Portfolio Managers, Investment Advisors, Dealers, Marketing Managers and in general employees of investment firms, Funds and Fund Managers.
• Fund Administrators
• Fund consultants
• Internal Auditors
• Professionals in the Funds’ industry
• Lawyers

It is also suitable to professionals pursuing CPD for the renewal of CySEC Certificate (CySEC Basic and CySEC Advance Certificate) or other relevant professional certificates in other jurisdictions.

Training Method

Live Online

At the end of the Course, participants take a Quiz. A Certificate of Completion shall be issued and sent to participants after the Course is completed.

Accreditation and CPD Recognition

The course may be accredited by regulators and other bodies for 5 CPD Units that require CPD training in financial regulation.

Eligibility criteria and CPD Units are verified directly by your association or other bodies in which you hold membership.

Registration and Access

To register to this Course, click “Take this Course” above to pay online and register for this Course. After your registration, you will receive an email with information for the Live Online presentation of the Course.

If you are purchasing this Course on behalf of others, please be advised that you will need to create or use their personal profile before finalizing your payment.

If you wish to receive an invoice instead of paying online, please complete and submit the Registration Form or Contact us by email. Talk to us for our special Corporate Group rates.

Instructor

Experience

With more than 10 years of experience, Nektarios is an expert in the financial services industry, having worked in key roles at investment funds, CIFs and other service providers. His exposure to the industry allowed him to gain knowledge in a variety of vital investment functions.

Complementing his practical knowledge of the industry, Nektarios also holds a number of professional and academic qualifications, including CySEC’s Advance Certification. He is currently employed by an Investment Fund

See more Courses from Nektarios Michael

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