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.
Course Outline
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)
- 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.
Course Details
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
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
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
