SFTR Transaction Reporting Foundation Course 2019
London Stock Exchange
10 Paternoster Square
Certified training course to provide operations and compliance staff with a thorough grounding in the SFTR Transaction Reporting regulation.
The SFTR Transaction Reporting Foundation Course provides training on all elements essential in meeting the requirements of the SFTR regulation. All our courses are delivered by experts in the regulatory field.
There are various course dates available throughout 2019. All courses run from 9am- 1pm on the day specified. All our courses are delivered by experts in the regulatory field and all our content is either designed or approved by our in-house SMEs.
The new SFTR 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 ESMA expects firms to have over transaction reporting. All our courses are delivered by experts in the regulatory field.
There are various course dates available throughout 2018. All courses run from 9am-1pm on the day specified.
The foundation course provides training on all the elements essential in meeting the SFTR 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
- 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.
UnaVista client rate: £600 (+VAT )
Non-client rate: £800 (+VAT )
NB: UnaVista clients will be invoiced the fee. Non-UnaVista clients can pay by credit card.