SFTR Transaction Reporting Foundation Course
days to go
1 Jan 2022
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 2021.
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 2021:
- 29 January 2021 (9.00am - 1.00pm)
- 26 February 2021 (9.00am - 1.00pm)
- 26 March 2021 (9.00am - 1.00pm)
- 7 May 2021 (9.00am – 1.00pm)
- 24 June 2021 (9.00am – 1.00pm)
- 30 July 2021 (9.00am – 1.00pm)
- 25 August 2021 (9.00am - 1.00pm)
- 1 October 2021 (9.00am – 1.00pm)
- 1 November 2021 (9.00am – 1.00pm)
- 6 December 2021 (9.00am – 1.00pm)
- Further dates will be added
Please note: due to the current UK Government advice, we are running the SFTR course remotely over WebEx until further notice - please get in touch if you have any questions.
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.
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.
If you have any questions please contact us on the following email address: email@example.com
UnaVista client rate: £600 (+VAT) and non-client rate: £800 (+VAT)
NB: UnaVista clients will be invoiced the fee. Non-UnaVista clients can pay by credit card.
UnaVista e-Learning Academy (Online Course)
£495 (+VAT )
NB: Payment must be made at time of booking by credit or debit card.
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