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

4 July 2024 (9.00am – 1.00pm)
6 September 2024 (1.00pm – 5.00pm)
8 November (9.00am – 1.00pm)
We can also schedule courses on demand – please email us with your requirements.

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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MiFIR Transaction Reporting Foundation course

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