MiFIR Transaction Reporting Foundation Course

The MiFIR Transaction Reporting Foundation course will 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 ESMA expects firms to have over transaction reporting. All our courses are delivered by experts in the regulatory field.

This course has been accredited and CPD endorsed by the Chartered Institute for Securities & Investment

There are various course dates available throughout 2024.

There is an optional examination accompanying the course - this provides evidence that the candidate has reached an appropriate level of understanding. The exam needs to be completed at our Paternoster Square office - please contact us regarding dates.

Course Dates

• 19th January 2024 – 1.00pm – 5.00pm
• 8th March 2024 - 9.00am – 1.00pm
• Further dates to be added
  

Course Details

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

Background to the transaction reporting requirements

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

Transaction Reporting Basics

• Who is obliged to report
• Definition of execution of a transaction
• 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 transaction reporting

• Legal obligation for firms to deliver complete and accurate transaction 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 transaction reports. It is a foundation level qualification. This must be completed before attending the advanced course.

Cost:

£600 plus VAT (Regulatory Reporting clients)

£800 plus VAT (Non-Regulatory Reporting clients)

NB: Fee can be invoiced or payment can be made with a debit or credit card at checkout.

Other courses you might be interested in

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

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

I f you have any queries, please email us on RegReportingTraining@lseg.com

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