MIFID TRANSACTION REPORTING FOUNDATION COURSE
London Stock Exchange 10 Paternoster Square
This half day entry-level course provides a foundation for compliance and operations professionals who are involved with MiFID transaction...
This half day entry-level course provides a foundation for compliance and operations professionals who are involved with MiFID transaction reporting. It’s a fully interactive course including an examination where a pass mark will confirm sufficient proficiency. This course is CPD Certified and accredited by the Chartered Institute for Securities and Investment (CISI).
The course tutor is David Nowell, Head of Regulatory Compliance and Industry Relations, UnaVista, LSEG, who was formally the technical specialist at the FCA in the MiFID transaction monitoring unit. David was instrumental in the creation of the TRUP and the FCA Firm Visit Programme in his time at the FCA and can offer a unique insight in to the FCA's policies and requirements.
The foundation course, which costs £500 for UnaVista clients and £700 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
- Transaction reporting basics
- Data standards for the all the reporting fields
- Systems and controls over transaction reporting
The course is followed by an exam to assess the students knowledge. All passing students will receive a certification as proof of knowledge sufficiency.
NB: You will be scheduled to sit the exam in the same month that you take the course. All attendees must ensure they are available for both the course and the relevant exam per the dates listed below. Any attendee not available for the exam must pay an additional £100 re-sit fee.
We run two courses every other month with an exam the follwoing week. In order to complete the course you will need to attend the exam which will be held from 9-10am. You can see all of the currently scheduled dates below:
14, 21 Janaury (exam - 28 January)
4, 11 March (exam - 18 March)
8, 14 May (exam - 21 May)
8, 15 July (exam - 22 July)
9, 16 September (exam - 23 September)
7, 13 November (exam - 18 November)
Can’t make the course date? Please register your interest here and we will notify you of new dates as soon as they are published.
Before booking, please ensure you have read our cancellation policy.