Transaction Reporting Governance & Oversight Training

Course Overview

This two-hour, CPD-accredited course offers face-to-face training and is conducted at Qomply’s Central London Office. Participants receive comprehensive instruction on the fundamentals of Transaction Reporting Governance and Oversight.

Topics to include

• The use of transaction reports in the regulator’s mission to detect potential market abuse
• Transaction reporting processes to facilitate effective oversight of the regime
• No one size fits all model, but three major themes/levels should exist in Transaction Reporting Governance chain
• Key Roles & Responsibilities for each major Governance theme/level
• Oversight expectations from a regulatory perspective

Location

Qomply
118 Holborn Gate
330 High Holborn
London WC1V 7QT, UK

What are the outcomes?

• Greater understanding of the major themes in Transaction Reporting Governance, and oversight expectations from a regulatory perspective
• Practical guidance on key roles and responsibilities for each of the major Governance themes
• Reduced risk of non-compliance
• 2 CPD Accredited Hours

Who is it for?

The course is aimed at compliance and operations staff and in particular those involved in governance and oversight or looking to progress into such roles.

How much does it cost?

The cost of the course is £375 + VAT (£450).

More dates are available throughout the year, visit: https://qomply.co.uk/training/governance/index.html

We also offer this training virtually and in-house.

Contact info@qomply.co.uk for more information.

Meet the Trainer

Sophia spent six years at the UK Financial Conduct Authority (FCA) where she specialised in MiFID II Transaction Reporting within the FCA Markets Reporting Team (MRT) team. Before joining the FCA’s Markets Reporting Team at the FCA, Sophia spent two years as an MI associate within the FCA's Enforcement division.

After leaving the FCA, Sophia served as an Associate in Bovill's Capital Markets team, a leading regulatory consultancy, providing clients with specialist advice and support related to transaction reporting matters.

This Training Course is subject to Qomply's General Ts &Cs and Cancellation Policy:

Terms and Conditions for In-Person Training Course

By registering for this training course, you acknowledge and agree to comply with our terms and conditions

1. Introduction

1.1 These Terms and Conditions ("T&Cs") govern the sale and delivery of in-person training courses ("Course") provided by [Qomply] ("we", "us", "our").

1.2 By registering for and/or attending the Course, you ("Participant", "you", "your") agree to be bound by these T&Cs.

2. Course Registration and Payment

2.1 To register for the Course, you must complete the registration form and pay the Course fee in full.

2.2 All Course fees are payable in advance via Eventbrite and must be received by us prior to the start of the Course.

3. Cancellation and Refunds

3.1 If you wish to cancel your registration, you must notify us by email at info@qomply.co.uk

3.2 Cancellations received more than [14] days before the start of the Course will receive a full refund.

3.3 Cancellations received between [7] and [14] days before the start of the Course will receive a [50]% refund.

3.4 No refunds will be provided for cancellations received less than [7] days before the start of the Course or for non-attendance.

4. Course Changes and Cancellations by Us

4.1 We reserve the right to alter or cancel the Course at any time.

4.2 If we cancel the Course, you will be offered a full refund or the option to transfer to another Course date.

5. Participant Responsibilities

5.1 Participants are expected to behave professionally and respectfully throughout the Course.

5.2 We reserve the right to remove any Participant from the Course whose behaviour is deemed inappropriate.

6. Intellectual Property

6.1 All Course materials are our intellectual property or are used with permission.

6.2 Participants may not reproduce, distribute, or commercially exploit any Course materials without our prior written consent.

7. Limitation of Liability

7.1 Our liability for any loss or damage suffered by you as a result of our breach of these T&Cs is limited to the Course fee paid.

7.2 We are not liable for any indirect or consequential losses.

8. Data Protection

8.1 We will process your personal data in accordance with our Privacy Policy and applicable data protection laws.

9. Governing Law

9.1 These T&Cs are governed by and construed in accordance with the laws of England and Wales.

9.2 Any disputes arising under or in connection with these T&Cs shall be subject to the exclusive jurisdiction of the courts of England and Wales.

10. Contact Information

10.1 For any questions or concerns regarding these T&Cs, please contact us at

Call Us

UK: +44(0)20 8242 4789

Email Us

info@qomply.co.uk

Write to Us

118 Holborn Gate

330 High Holborn

London WC1V 7QT, UK