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Regulation and Ethics for Financial Advisors

Price: €350




Self study


Approx. 16 hours to complete


12 CPD hours


Certificate of attendance

Introduction to the class

Complying with guidelines and regulation in the financial industry is a challenging necessity and an obligation. With capital markets undergoing a dramatic reform in the post covid era (simply consider ESG effect, and Ukraine war), this program offers great insights on international resources and updates to the recent developments in the domain. 

Who should attend?

  • Financial advisors

  • Wealth managers

  • Private bankers

  • Asset managers

  • Investment managers

  • Compliance officers

  • Attorneys

  • Accountants

  • Auditors

This course includes:

  • 16 hours of self study including articles and presentations

  • Full lifetime access to learning material

  • Certificate of attendance

How it works?

Workshops take place on Hapeiron, an Interfima e-learning platform.

  1. Enroll to the class from this page

  2. After enrollment you'll receive a registration link to access the platform 

  3. Complete all learning material

  4. Get your certificate of attendance

Do you want this class in-house?

We can deliver this class in-house for your organization's employees.

CPD Recognition

The syllabus of this workshop is eligible for 12 CPD hours in Compliance & AML.
riteria and CPD hours are verified directly by your association, regulator or other bodies which you hold certification or membership.

What you will learn

Investment Services Regulation

  • The list of investment services and ancillary services

  • The regulation of investment services (rules of conduct according to MiFIDfid 1 and 2)

  • Specific rule for investment advice (inducements, independent and non-independent advice)

  • Reporting to clients on service provided

  • ESMA guidelines for the assessment of knowledge and competence

  • Advisors liability

  • Disclosure of information by investment firms and financial advisors on the integration of

  • sustainability risks in investment decision making processes and advice on financial products

Financial Markets Regulation

  • The primary legislation on the functioning of secondary markets

  • The market abuse regulation

  • The anti-money laundering regulation

Overview of tax systems

  • Income tax

  • Inheritance tax

  • Other relevant taxes

Reputational risk and ethics

  • Sources of reputational risk for investment firms

  • Consequences of reputational risk for investment firms

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