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MiFID 1 Transaction Reporting Foundation Course 2017

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London Stock Exchange

10 Paternoster Square



United Kingdom

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Event description


The London Stock Exchange Group have developed a certified transaction reporting foundation course to provide operations and compliance staff with a thorough grounding in the regulatory transaction reporting requirements. As well as detailing the regulatory reporting data standards, the course explains the systems and controls the FSA expects firms to have over transaction reporting. All our courses are delivered by experts in the regulatory field.

The Course will be accompanied by an exam to provide evidence that the candidates have reached an appropriate level of understanding.

NB: You will be scheduled to sit the exam in the same month that you take the course. All attendees must ensure they are available for both the course and the relevant exam per the dates listed above. Any attendee not available for the exam must pay an additional £100 re-sit fee.

Course Details

The foundation course provides training on all the elements essential in meeting the FSA’s transaction reporting requirements including:

Background to the transaction reporting requirements

  • Why the FSA requires transaction reports
  • Relationship with other EEA regulators
  • Possible regulatory action following breaches

Transaction Reporting Basics

  • Who is obliged to report
  • Fund Manager exemptions
  • What transactions need to be reported
  • What instruments need to be reported
  • Transaction reporting scenarios
  • How trading capacity, buy/sell indicator and counterparty fields work together

Data Standards for all the reporting fields

  • Cash instruments
  • Exchange traded derivatives – ISIN and Alternative instrument Identifier(Aii)
  • OTC derivatives

Systems and Controls over transaction reporting

  • Importance of reference data
  • Documentation
  • Reconciliation
  • Governance; roles & responsibilities
  • Management Information

The FSA 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 transaction reports. It is a foundation level qualification. This must be completed before attending the advanced course.

£500 plus VAT (UnaVista client rate)
£700 plus VAT (non-UnaVista client rate)

NB: UnaVista clients will be invoiced the fee. Non-UnaVista clients must pay by credit or debit card at time of booking.

Pricing Update

Our prices are changing as of 1st June 2017. The new prices are listed below. If your registration was made prior to 1st June 2017, the price at the time of booking will be honoured.

£600 plus VAT (UnaVista client rate)

£800 plus VAT (non-UnaVista client rate)

If you are interested in any of these courses please take a look at our website for details of the next available session.

Can't attend this time? Register your interest here for the next Transaction Reporting Foundation Course.

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

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London Stock Exchange

10 Paternoster Square



United Kingdom

View Map

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