MiFIR Transaction Reporting Core Training

Please note we are running this course virtually over two days, split into two 2 hour sessions.

Kaizen's virtual MiFIR Transaction Reporting training course covers everything you need for accurate and complete transaction reporting. The workshop is led by David Nowell, who is a leading expert on MiFIR transaction reporting and EMIR trade reporting. The course is endorsed by Chartered Institute for Securities & Investment (CISI) and is CPD-accredited.

Overview: The course will provide delegates with a core understanding of MiFIR transaction reporting requirements.

Who is it for? The course will most benefit employees of financial institutions already involved in or those who are new to transaction reporting.

Benefits: Attendees will gain a greater understanding of the MiFIR Transaction Reporting requirements to reduce the risk of inaccurate reporting which can lead to sanctions.

Topics Covered:

• Regulatory drivers behind the transaction reporting regime

• Reporting scope – the entities which have a transaction reporting requirement,

• Instruments within scope and what constitutes execution of a transaction

• Systems and controls required for transaction reporting

• Legal entity identification and private individual identification standards

• Instrument reference data standards

• How to build a basic transaction report

• The fields that comprise a transaction report.

Costs:

£499 plus VAT (£598.80) - Standard online training rate

NB- A small platform fee is applied by Eventbrite

Meet the Trainer:

David Nowell - Senior Regulatory Consultant

David is a leading expert on MiFIR transaction reporting and EMIR trade reporting. He has more than 35 years of financial services experience on both sides of the regulatory fence, having worked previously for the FSA (now FCA), Reuters, Credit Suisse and the London Stock Exchange.

David 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. He was the FSA’s representative on transaction reporting in Europe for a number of years and later became a member of ESMA’s Market Data Standing Committee Consultative Working Group.

After working ten years at the FSA, David became Head of Transaction Reporting at Credit Suisse. He also spent over six years at the London Stock Exchange where he was Head of Compliance for UnaVista, principally working as Compliance Officer for the EMIR Trade Repository and compliance for the MiFID Approved Reporting Mechanism. David subsequently joined Kaizen where he introduced an industry accredited training course on the subjects of MiFID and EMIR transaction reporting to help the industry improve the quality of reporting standards.

The event is also subject to Kaizen's General Terms and Conditions and Cancellation Policy.

Kaizen's Training General Terms and Conditions and Cancellation Policy

Registration and Payment - Course delegates should register for the course on Eventbrite by completing the online registration. Registration must be completed 48 hours before the closing date.

Venue – Our courses are held online, via a video conferencing platform. Delegates are responsible for their own internet connection and IT equipment to join the training.

Intellectual property rights in the Course and Course Materials – The discounted virtual training does not include exam or supporting documentation. All intellectual property rights in course documentation supplied by Kaizen are and shall remain property of the Kaizen and therefore any exploitation, copying or distribution in any form of the same is strictly prohibited, except with the written consent of Kaizen. The delegate or organisation (whichever is applicable) shall not at any time use the name, logo or trademark of the Kaizen without the written consent of Kaizen.

Cancellation Policy – Substitute delegates may be made subject to notifying Kaizen of the change in attendees at least 24 hours before of the course start date. If you are an organisation, details of all delegates must be given to Kaizen at least 48 hours in advance of the course date.

A full refund will be given for cancellation requests received at least 10 working days before the course. Cancellations must be made by email to: training@kaizenreporting.com and must be received at least 10 working days before the course. Course delegates who cancel 10-5 working days prior to the course will receive a refund equal to 50% of the fee. No refund will be given for cancellations received less than 5 working days before the course.

Kaizen in its absolute discretion reserves the right to cancel the course due to unforeseen circumstances; in such circumstances Kaizen will use reasonable endeavours to contact the delegate or organisation (whichever is applicable) by email.

Liability – Kaizen shall use every effort to ensure that the contents of the course are accurate and up to date but Kaizen shall not be liable for any inaccurate or misleading information, nor for any consequential damage or expense or any loss of profit or any liability to third parties incurred as a result of reliance on such information which is provided for educational purposes only. Kaizen will provide an additional conference line number for anyone that experiences connection issues during any virtual training. However, Kaizen cannot be held accountable for any technology issues that occur during the virtual training due to external platform.

Kaizen aggregate liability under this agreement shall be limited to the total fees payable under this Agreement. Nothing in this Agreement shall limit the liability for death, fraud or personal injury caused by its negligence.

If you have queries regarding the course please send an email to training@kaizenreporting.com