Please note: due to the current UK Government advise, we are running the MiFIR course remotely over WebEx until further notice. Please get in touch if you have any questions.

The new MiFIR Transaction Reporting Foundation course (CPD certified and endorsed by CISI) 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.

There are various course dates available throughout 2021.  

There is an examination accompanying the course - this provides evidence that the candidate has reached an appropriate level of understanding.

Please note however that we are currently unable to run exams due to our office being closed as a result of the Covid-19 lockdown restrictions.

2021 (Q1) Course Dates

27th January 2021

24th February 2021

21st April 2021

20th May 2021

30th June 2021

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 (UnaVista clients)

£800 plus VAT (Non-UnaVista 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

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. 

Please contact us on +44 (0)20 7797 1214 for further details on our products and services.

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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