MiFIR Reporting Foundation Course

The 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 course is CPD Certified and accredited by the Chartered Institute for Securities and Investment (CISI).  All our courses are delivered by experts in the regulatory field.

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.

Course Outline

The foundation course, which costs £600 (+ VAT) for UnaVista clients and £800 (+ VAT) 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

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

• 8 February 2022 (9.00am – 1.00pm)
• 23 March 2022 (9.00am – 1.00pm)
• 4 May 2022 (9.00am – 1.00pm)
• 15 June 2022 (9.00am – 1.00pm)
• 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