Certified training course to provide operations and compliance staff with a thorough grounding in the MiFIR reporting requirements.
Next upcoming course
8 November 2024
9.00am – 1.00pm
Course location
This course will be delivered remotely by the instructor using Microsoft Teams.
Event details
The MiFIR Transaction Reporting Foundation course will provide operations and compliance staff with an introduction to the new MiFIR Transaction reporting regulation and a thorough grounding in the basic reporting obligations.
This half day entry-level course provides a foundation for compliance and operations professionals who are involved with MiFIR transaction reporting. 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.
Course outline
The foundation course, which costs £600 (+ VAT) for Regulatory Reporting clients and £800 (+ VAT) for all others, provides training on all the essential elements in meeting the FCA’s 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 Principles
- 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
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:
- 19 January 2024 (1.00pm – 5.00pm)
- 8 March 2024 (9.00am – 1.00pm)
- 3 May 2024 (9.00am – 1.00pm)
- 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.
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.
