MiFIR Transaction Reporting Core Training

MiFIR Transaction Reporting Core Training

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Join Kaizen Reporting's CPD-accredited MiFIR Reporting Core Training Course, delivered by Transaction Reporting Director, Simon Appleton.

About this event

Kaizen Reporting's half day MiFIR Transaction Reporting training course covers everything you need for accurate and complete transaction reporting. The workshop is led by Simon Appleton, a former FCA regulator and leading specialist in MiFIR 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.

Course Dates:

PART ONE: 10.30AM - 12.30PM 27th June 2022

PART TWO: 10.30AM - 12.30PM 28th June 2022


EARLY BIRD: £270 plus VAT

from 1st June 2022: £499 plus VAT (Standard online training rate)

NB- A small platform fee is applied by Eventbrite

Meet the Trainer:

Simon Appleton - MiFID II Transaction Reporting Director

Simon has over 30 years’ transaction reporting experience working at regulatory bodies, trading venues and for the last twelve years in a consultancy role helping banks, brokers, asset managers, wealth managers, Approved Reporting Mechanisms and trading venues meet their MiFIR transaction reporting obligations. Simon achieved this by designing and executing bespoke data integrity testing methodologies, pioneering and developing a robust transaction reporting governance and control framework and assisting firms remediate their transaction reporting issues to avoid enforcement action. During this time Simon provided firms with technical and operational advice and prepared and delivering MiFIR transaction reporting and market abuse training. Read Simon's full bio.

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 – Due to the pandemic our courses are now 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

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