MiFIR Reporting Advanced Course

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

1. Introduction
   
2. Overview – Short recap of key transaction reporting requirements
3. 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
4. Methods and arrangements for reporting financial transactions
   • Governance
   • Controls and Procedures
   • Quality Assurance
5. 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.

This course has been accredited and CPD endorsed by the Chartered Institute for Securities & Investment.