MiFIR Reporting Foundation Course
London Stock Exchange
10 Paternoster Square
Certified training course to provide operations and compliance staff with a thorough grounding in the MiFIR reporting requirements.
The new 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 and all our content is either designed or approved by our in-house SME, David Nowell.
The foundation course, which costs £600 for UnaVista clients and £800 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
- 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
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.
Before booking, please ensure you have read our cancellation policy.
UnaVista client rate: £600 (+VAT )
Non-client rate: £800 (+VAT )
NB: UnaVista clients will be invoiced the fee. Non-UnaVista clients can pay by credit card.