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SFTR Transaction Reporting Foundation Course 2019

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Location

London Stock Exchange

10 Paternoster Square

London

EC4M 7LS

United Kingdom

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Description

The new SFTR 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 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 2018. All courses run from 9am-1pm on the day specified.

Course Details

The foundation course provides training on all the elements essential in meeting the SFTR 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 involved in the reporting of SFTs as required by the SFTR regulation.

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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Location

London Stock Exchange

10 Paternoster Square

London

EC4M 7LS

United Kingdom

View Map

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