Following on from the CPD certified MiFID Transaction Reporting Foundation courses we have been running for the past 3 years London Stock Exchange have developed a new foundation course for MiFIR.
The new 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
There are various course dates available throughout 2017. All courses run from 9am- 1.00pm on the day specified.
All course dates will be accompanied by an exam to provide evidence that the candidates have reached an appropriate level of understanding. The assciated exams run from 9am-10am.
Please note: You will be scheduled to sit the exam in the same month that you take the course. All attendees must ensure they are available for both the course and the relevant exam per the dates listed above. Any attendee not available for the exam must pay an additional £100 re-sit fee.
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
Transaction Reporting Basics
Who is obliged to report
Definition of execution of a transaction
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
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.
£500 plus VAT (UnaVista client rate)
£700 plus VAT (non-UnaVista client rate)
NB: UnaVista clients will be invoiced the fee. Non-UnaVista clients can pay by credit card.
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.
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:
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.