The London Stock Exchange Group are currently developing a certified MiFIR Reporting Foundation course to provide operations and compliance staff with a thorough grounding in the future MiFIR regulatory transaction reporting requirements.
The course will be based on all of the details ESMA have provided us with in their consultation papers and the Regulatory Technical Standards (RTS).
Although the course is not yet ready if you are interested in being notified about the course as soon as dates are created, please register your details.
Course Dates: TBC
Draft Course Details
The foundation course will provide training on all the elements essential in meeting the ESMAs MiFIR reporting requirements including:
ESMA and the FCA 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 good evidence that this requirement has been met.
Course Tutor - David Nowell
David Nowell is Head of Industry Relations and Regulatory Compliance at the London Stock Exchange. He has over 20 years financial services experience on both sides of the regulatory fence, having worked previously for the FSA, Reuters and Credit Suisse. At Credit Suisse, he was Transaction Reporting Manager, responsible for ensuring compliance across all aspects of the reporting process and advising on new regulatory requirements. Prior to this, Nowell was a Technical Specialist within the Transaction Monitoring Unit at the FSA, where he was responsible for shaping the transaction reporting rules and providing guidance to UK firms. David was the FSA’s representative on transaction reporting in Europe for a number of years where he was intimately engaged in policy negotiations with other regulators, giving him a unique insight into the policy making process and the regulators’ expectations of the industry.
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.
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. Courses being run include:
· FSA Firm Visit Preparation
The fortnightly MiFID Technical Platform Training WebEx sessions provide technical training on how to use the UnaVista platform to create transaction reports. The session inludes demonstrations on navigating through the application, drilling into your data as well as managing and resolving exceptions.
Please note: These sessions are only open to UnaVista Clients. You will not be able to join the session if you are a non-Unavista client.
UnaVista MiFID Platform Training WebEx Sessions - UnaVista Clients Only
Please contact us on +44 (0)20 7797 1214 for further details on our products and services.
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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