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 course is CPD Certified and accredited by the Chartered Institute for Securities and Investment (CISI).

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

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 – we hope to re-schedule these later in the year.

Dates for 2023:

• 9 February 2023 (9.00am - 12.30pm)
• 22 March 2023 (9.00am - 12.30pm)
• 11 May 2023 (9.00am - 12.30pm)
• Further dates to be added.

Please note: our current scheduled courses for 2023 will be delivered remotely by the instructor using Microsoft Teams. The web sessions are interactive and there is plenty of opportunity to ask questions. A full PDF of the course notes is sent to delegates after the session

Before booking, please ensure you have read our cancellation policy.

If you have any questions please contact us on the following email address: uvtraining@lseg.com

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.

UnaVista client rate: £600 (+VAT) and non-client rate: £800 (+VAT)

NB:  UnaVista clients will be invoiced the fee.  Non-UnaVista clients can pay by credit card.