EU Third-Country Regime and Reverse Solicitation

EU Third-Country Regime and Reverse Solicitation

Webinar in English

Recognised for the SAQ recertification

The training aims to present EU legal framework governing cross-border activities from a third country (“third-country regime”) as defined by CRD V(I) and MiFID II: offer and provision of banking and investment services. Definition and scope of the concept of reverse solicitation and impact on cross-border financial activities. Organisational duties in particular in the context of Suitability and Tax Suitability requirements

The training is addressed to

Institution

☒ Banks
☒ Securities firms
☒ Asset managers
☐ Trustees
☐ Managers of collective assets
☐ Fund management companies
☒ Client advisors
☒ Other financial intermediaries

Function

☒ Legal and Compliance
☒ Risk management
☒ Internal audit
☒ Central file
☒ Front
☒ Asset Management
☐ HR
☐ Marketing
☒ BoD
☐ Other

Content

Access to the EU market under CRD, MiFID II and MiCA

• Equivalence regime
• National regime
• Permanent establishment

Reverse solicitation

• Concept
• Material approach
• Geographical scope
• Fundamental right of the EU citizen
• Own exclusive initiative
• Waivers/upfront requests
• Ongoing / possible developments (under CRD VI, MiCA, etc.)

Focus Advisory services

• Ongoing advisory services
• New products and services
• Suitability
• Tax Suitability
• Distribution/placement of financial instruments

  For more information on this webinar, please contact us.