MiFIR Reporting Foundation Course for North America
1270 Avenue of the Americas
New York, NY 10020
Certified training course to provide operations and compliance personnel with a thorough grounding in the MiFIR reporting requirements.
MiFIR can impact U.S. entities as well as European firms. The new MiFIR Transaction Reporting Foundation course (CPD certified and endorsed by CISI) will provide operations and compliance staff with a thorough grounding in the regulatory transaction reporting requirements. As well as detailing the regulatory reporting data standards, the course explains the systems and controls the ESMA expects firms to have over transaction reporting. All our courses are delivered by experts in the regulatory field.
The session will be accompanied by an exam to provide evidence that the candidates have reached an appropriate level of understanding. The session will be accompanied by an exam to provide evidence that the candidates have reached an appropriate level of understanding. We will hold an exam the same day in an attempt to assist those travelling into NYC for the course. A secondary exam will be held on 5th October 2017 - 9am-10am for those not wishing to sit the exam the same day. Both exams will be held at our offices in New York.
28th September 2017 - 3pm-4pm
5th October 2017 - 9am-10am
The foundation course provides training on all the elements essential in meeting the MiFIR 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 Fundamentals
- Who is obliged to report
- Definition of execution of a transaction
- Reporting exemptions
- Reportable instruments - including scenarios when US indtruments might be reportable
- 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
Before booking, please ensure you have read our cancellation policy.
£600 ($780) plus VAT (UnaVista client rate)
£800 ($1,180) plus VAT (non-UnaVista client rate)
UnaVista client rate: £600 ($780) excl. VAT
Non-client rate: £800 ($1,180) excl. VAT
NB: UnaVista clients will be invoiced the fee. Non-UnaVista clients can pay by credit card.