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 2020.

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 auto 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.

2020 Course Dates

24th January 2020 (Exam - 12th February 2020)

2nd March 2020 (Exam - 18th March 2020)

15th April 2020 (Exam - 22nd April 2020)

4th June 2020 (Exam - 17th June 2020)

7th August 2020 (Exam - 20th August 2020)

21st September 2020 (Exam - 7th October 2020)

27th November 2020 (Exam - 2nd December 2020)

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 client rate)

£800 plus VAT (non-UnaVista client rate)

NB: UnaVista clients will be invoiced the fee. Non-UnaVista clients can pay by credit card.

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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