The new 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 and all our content is either designed or approved by our in-house SME, David Nowell.

Course Outline

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

• 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

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.

Course Dates 2017

We run two MiFIR courses every month (MiFIR Foundation and MiFIR Advanced) with an exam following each course, in the same month.  In order to complete the MiFIR Foundation 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:

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

Pricing Update

Our prices are changing as of 1st June 2017.  The new prices are listed below.  If your registration was made prior to 1st June 2017, the price at the time of booking will be honoured.

£600 plus VAT (UnaVista client rate)

£800 plus VAT (non-UnaVista client rate)