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 the current UK Government advice, we are running the MiFIR course remotely over WebEx until further notice. Please get in touch if you have any questions.
There are various course dates available throughout 2021.
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.
2021 Course Dates
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
