Certified training course to provide operations and compliance staff with a thorough advanced grounding in the MiFIR reporting requirements.
Next upcoming course
4 December 2024
9.00am – 1.00pm
Course location
This course will be delivered remotely by the instructor using Microsoft Teams.
Event details
The new MiFIR Transaction Reporting Advanced course will expand on the knowledge learnt in the Foundation course and delve into more complicated concepts associated with transaction reporting.
This 3.5 hour advanced-level course provides a greater insight into the complexities of transaction reporting and is suitable for compliance and operations professionals who are involved with MiFIR transaction reporting on a day-to-day basis. It’s a fully interactive course including an examination where a pass mark will confirm sufficient proficiency. All our courses are delivered by experts in the regulatory field.
Duration: Up to 3.5 hours
Course outline
- Introduction
- Overview – Short recap of key transaction reporting requirements
- Advanced concepts
- Branch reporting
- Group Affiliate reporting
- Use of INTC – One market fill for several clients
- Direct Electronic Access (DEA
- Fields 37-39
- Fields 42-56
- Fields 61-65
- Complex trade
- Hedging through CFD/Swaps
- Reporting OTC derivatives (e.g. FX forwards and swaps, interest rate swaps)
- Reporting transactions on non-EEA venues
- Reporting by a Trading venue
- Corporate Actions
- Methods and arrangements for reporting financial transactions
- Governance
- Controls and Procedures
- Quality Assurance
- Reporting Issues
- Common Reporting Errors
- Interaction with FCA
- Back reporting
- Preventing reoccurrence of issues
There is an examination accompanying the course – this provides evidence that the candidate has reached an appropriate level of understanding. The exam needs to be completed on site at Paternoster Square, London.
Course dates:
- 31 January 2024 (1.00pm – 4.30pm)
- 20 March 2024 (9.00am – 12.30pm)
- 15 May 2024 (9.00am – 12.30pm)
- 7 August 2024 (9.00am – 1.00pm)
- 2 October 2024 (1.00pm – 4.30pm)
- 4 December 2024 (9.00am – 1.00pm)
- We can also schedule courses on demand – please email us with your requirements.
This course has been accredited and CPD endorsed by the Chartered Institute for Securities & Investment. The course has also been accredited by the CPD Certification Service.
Please note – the instructor-led course is delivered remotely using MS Teams so no physical attendance is required. The web sessions are interactive and there is plenty of opportunity to ask questions. A full PDF pack of notes will be issued to all delegates after the course.
Before booking, please ensure you have read our cancellation policy.
If you have any questions please contact us on the following email address: RegReportingTraining@lseg.com
Zach Johnson
Director, Financial Services Compliance and Regulation, Kroll
Zach has over 20 years’ experience working in the financial services industry across various roles in compliance and professional services. He has worked in the FCA’s Market’s Reporting Team and at UBS AG in compliance roles. At Kroll, Zach manages transaction reporting reviews and remediation projects across investment firms including investment banks, asset managers, wealth management firms, inter-dealer brokers and spread betting firms. Zach delivers the MiFIR Transaction Reporting Foundation and Advanced courses.
Judy Leung
Senior Vice President, Financial Services Compliance and Regulation, Kroll
Judy Leung joined the firm in 2012 having previously worked for a variety of authorised investment firms as a Compliance Officer. Judy has over 20 years of Compliance experience covering Front Office Compliance Advisory, Compliance Monitoring and Operational Regulatory Compliance. During her time with Kroll, Judy has worked with a number of firms including asset managers, broker dealers and investment banks and exchanges to review, enhance and develop compliance processes, workflow controls, procedures and documentation mainly in the Markets and Regulatory Reporting space. This has included secondments, S166, health checks, technical advisory and training. Judy delivers a range of Compliance Regulatory Reporting training modules including MiFIR and EMIR.
Regulatory Reporting client rate: £600 (+VAT) and non-client rate: £800 (+VAT)
NB: Regulatory Reporting clients will be invoiced the fee. Non-Regulatory Reporting clients can pay by credit card.
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