MiFIR Reporting Foundation Course

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 course is CPD Certified and accredited by the Chartered Institute for Securities and Investment (CISI).  All our courses are delivered by experts in the regulatory field.

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 UnaVista 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 Principals

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

Dates for 2023:

• 26 January 2023 (9.00am – 1.00pm)
• 15 March 2023 (9.00am – 1.00pm)
• 25 April 2023 (9.00am – 1.00pm)
• 9 June 2023 (9.00am – 1.00pm)
• 26 July (9.00am – 1.00pm)
• 12 September (9.00am – 1.00pm)
• 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.

There is also a self-paced eLearning version of the training available.

“I’ve used UnaVista e-Learning Academy to learn and get my MIFIR and EMIR qualifications. The platform has a very friendly interface and is very intuitive and easy to use, also the audio guidance and AI helped me to learn easily and faster.”

Sami Popa  -  UnaVista Solutions Architect