The provision of diversified, personalised and secured services to local and foreign private and institutional clients in the respect of their regulatory and fiscal obligations has become a matter of growing concern for the Professionals of the Financial Sector (PFS).
The objective of this training workshop is to introduce the industry’s key players and most recent developments, focus on the differences linked to the diversity of legal statuses as detailed in the Law on the financial sector (notably due to the transposition into national law of the MiFID Directive, the introduction of five new categories as well as the amendments to the
minimum required capital), and present the regulatory and fiscal obligations regarding access to and practice of professional activities in this sector.
The first module of one day is dedicated to the regulations applicable to all categories of PFS whereas the second module of a half-day addresses exclusively the obligations of investment firms including:
- investment advisors
- brokers in financial instruments
- commission agents
- private portfolio managers
- professionals acting for their own account
- market makers
- underwriters of financial instruments
- distributors of units/shares of UCIs
- financial intermediation companies
- investment firms operating a MTF in Luxembourg.
New members of the Management or of the Board of Directors of a Professional of the Financial Sector
Compliance officers
Internal auditors
This training workshop will be co-ordinated by Emmanuelle Henniaux, Partner in charge of PricewaterhouseCoopers Luxembourg’s regulatory activities for banks and PFS. The different sessions will be presented by Directors and Managers of PricewaterhouseCoopers dealing on a daily basis with issues connected to the activities of PFS.
