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e-Learning - Online Regulatory Reporting Foundation Courses

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Description

FREE Course Tasters now available for all courses. Click register and pick your FREE taster course or try them all!

The new online Foundation courses (CPD certified and endorsed by CISI) will provide operations and compliance staff with a thorough grounding in the regulatory reporting requirements. As well as detailing the regulatory reporting data standards, the course explains the systems and controls the ESMA expects firms to have over transaction reporting.

There are seperate courses available for:

  • MiFIR Transaction Reporting (now live!)
  • EMIR Trade Reporting (now live!)
  • SFTR Transaction Reporting (now live!)
  • MAR Surveillance (now live!)

Each of the courses are accompanied by a short online assessment to provide evidence that candidates have completed the online course. Upon completion of the course, delegates will be able to download a certificate to confirm learning and completion.

You can register for the courses now and we will provide you with a login as soon as the courses are released.

There is a full in-house exam available, which you may wish to attend to formalise your learning. On passing this exam, you will receive a CISI and CPD certificate confirming proficiency. The exams run from 9am-1pm on several dates throughout the year.

Should you wish to book an in-house exam, contact us at uvtraining@lseg.com.

Enrolment Process

  • Book your place by registering and making payment in full
  • A username and password will be emailed to you within 48 hours of booking and payment
  • Sign in using the credentials provided
  • Learn at your own pace when you are ready to start!
  • Your access to the chosen course/s will expire 12 months from date of enrolment.

Course Details

The foundation courses each provide training on all the elements essential in meeting the reporting requirements including:

Background to the reporting requirements

  • Why regulators need the reports
  • Reasons behind the changes in reporting
  • Headline changes

Basics of the regulation

  • Who is obliged to report
  • Definition of execution of a transaction/trade
  • Reporting exemptions
  • Reportable instruments

General Principals

  • Trading Capacity and impact on ‘buyer’/’seller’ fields
  • Transmission of order – implications for buy-side
  • Basic trading scenarios

Reference Data standards

  • Instrument and Underlying Instrument identifiers
  • Identification of organisations
  • Identification of individuals

Field by field analysis

Systems & controls over the regulation

  • Legal obligation for firms to deliver complete and accurate reports
  • Reconciliation

Test Questions

ESMA expects firms to have appropriate training for staff in transaction reporting as part of their systems and controls. The London Stock Exchange Group Transaction Reporting Foundation Course provides perfect evidence that this requirement has been met.

Who is this course suitable for?

This course is suitable for anyone who is involved in any of the regulation's reporting. It is a foundation level qualification.

Cost:

£495 plus VAT

NB: You must make payment in full before credentials can be provided and you are able to log in and begin the course.

FAQs

  • How can I contact the organiser with any questions?

Contact us with your questions at uvtraining@lseg.com

  • What's the refund policy?

Attendees can receive refunds should you cancel your booking within 7 working days of purchase.

  • Is my registration fee or ticket transferrable?

This ticket is not transferrable.

  • How long will I have access to my chosen course/s?

You will have access to your chosen course/s for 12 months from the date of enrolment. You will be sent a reminder a month before enrolment expires, giving you plenty of time to renew your enrolment.

Other courses you might be interested in

UnaVista and the London Stock Exchange run a number of other courses on both financial regulation and the UnaVista platform, please check the website for the most up to date times.

Please contact us on +44 (0)20 7797 1214 for further details on our products and services.

Before booking, please ensure you have read our cancellation policy.


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