MiFID Reporting Foundation Course

13-10-2016

Training

London Stock Exchange

10 Paternoster Square

London

EC4M 7LS

Certified training course to provide operations and compliance staff with a thorough grounding in the MiFID reporting requirements.

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This half day entry-level course provides a foundation for compliance and operations professionals who are involved with MiFID transaction reporting. It’s a fully interactive course including an examination where a pass mark will confirm sufficient proficiency. This course is CPD Certified and accredited by the Chartered Institute for Securities and Investment (CISI).

Course Outline

The foundation course, which costs £500 for UnaVista clients and £700 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
Transaction reporting basics
Data standards for the all the reporting fields
Systems and controls over transaction reporting

The course is followed by an exam to assess the students knowledge. All passing students will receive a certification as proof of knowledge sufficiency.

NB: You will be scheduled to sit the exam in the same month that you take the course. All attendees must ensure they are available for both the course and the relevant exam per the dates listed below. Any attendee not available for the exam must pay an additional £100 re-sit fee.

Please note: This is the existing UnaVista MiFID 1 course and not a revision or the new MiFID 2.

Course Dates:

We run two courses every other month with an exam the follwoing week. In order to complete the course you will need to attend the exam which will be held from 9-10am. You can see all of the currently scheduled dates below:

2015 Dates

Course Dates 2016	9th Feb	12th Apr	9th Jun	9th Aug	13th Oct
Exam Dates	19th Feb	29th Apr	22nd Jun	25th Aug	27th oct

Before booking, please ensure you have read our cancellation policy.

David Nowell

Head of Industry Relations and Regulatory Compliance

David has over 20 years financial services experience on both sides of the regulatory fence, having worked previously for the FSA, Reuters and Credit Suisse. At Credit Suisse, he was Transaction Reporting Manager, responsible for ensuring compliance across all aspects of the reporting process and advising on new regulatory requirements. Prior to this, Nowell was a Technical Specialist within the Transaction Monitoring Unit at the FSA, where he was responsible for shaping the transaction reporting rules and providing guidance to UK firms. David was the FSA’s representative on transaction reporting in Europe for a number of years where he was intimately engaged in policy negotiations with other regulators, giving him a unique insight into the policy making process and the regulators’ expectations of the industry.