MiFIR Reporting Advanced Course

The new MiFIR Transaction Reporting Advanced course will expand on the knowledge learnt in the Foundation course and delve into more complicated concepts associated with transaction reporting. This course is CPD Certified and accredited by the Chartered Institute for Securities and Investment (CISI).

This 3.5 hour advanced-level course provides a greater insight into the complexities of transaction reporting and is suitable for compliance and operations professionals who are involved with MiFIR transaction reporting on a day-to-day basis. 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.

Duration: Up to 3.5 hours

The foundation course costs £600 (+ VAT) for UnaVista clients and £800 (+ VAT) for non–clients.

Course Outline

Content

1. Introduction
2. Overview – Short recap of key transaction reporting requirements
3. Advanced concepts

• Branch reporting
• Group Affiliate reporting
• Use of INTC – One market fill for several clients
• Direct Electronic Access (DEA
• Fields 37-39
• Fields 42-56
• Fields 61-65
• Complex trade
• Hedging through CFD/Swaps
• Reporting OTC derivatives (e.g. FX forwards and swaps, interest rate swaps)
• Reporting transactions on non-EEA venues
• Reporting by a Trading venue
• Corporate Actions

4. Methods and arrangements for reporting financial transactions

• Governance
• Controls and Procedures
• Quality Assurance

5. Reporting Issues

• Common Reporting Errors
• Interaction with FCA
• Back reporting
• Preventing reoccurrence of issues

Please note: due to Covid-19 restrictions our current scheduled courses for 2022 will be delivered remotely by the instructor using MS 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

There are various course dates available throughout 2022.

There is an examination accompanying the course - this provides evidence that the candidate has reached an appropriate level of understanding.

Please note however that we are currently unable to run exams due to our office being closed as a result of the Covid-19 lockdown restrictions.

2022 Course Dates

• 23 February 2022 (9.00am – 12.30pm)
• 6 April 2022 (9.00am – 12.30pm)
• 24 May 2022 (9.00am – 12.30pm)
• Further dates will be added

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