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MiFIR Transaction Reporting Foundation Course

Fri Nov 27, 2020
MiFIR Transaction Reporting Foundation Course

Time Fri Nov 27 2020 at 09:00 am to 01:00 pm

London Stock Exchange, 10 Paternoster Square, London, United Kingdom

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MiFIR Transaction Reporting Foundation Course MiFIR Transaction Reporting Foundation Course
A London Stock Exchange Group Course

About this Event

Please note: due to the current UK Government advise, we are running the MiFIR course remotely over WebEx until further notice.

We are currently offering discounted ticket types during the UK lockdown. Please get in touch if you have any questions.

The new MiFIR 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 the 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 2020.  

All course dates will be accompanied by an exam to provide evidence that the candidates have reached an appropriate level of understanding. The associated exams run from 9am-10am.

You will be auto 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 above. Any attendee not available for the exam must pay an additional £100 re-sit fee.

Please note that we are currently unable to run exams due to our office being closed as a result of the Covid-19 lockdown restrictions.

2020 Course Dates

7th August 2020 (Exam - TBC)

26th August 2020 (Exam - TBC)

8th September 2020 (Exam - TBC)

21st September 2020 (Exam - TBC)

27th November 2020 (Exam - TBC)

Course Details

The foundation course provides training on all the elements essential in meeting the MiFIR 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

Test Questions

ESMA expects firms to have appropriate training for staff in transaction reporting as part of their systems and controls. The London Stock Exchange Group Transaction Reporting Foundation Course provides perfect evidence that this requirement has been met.

Who is this course suitable for?

This course is suitable for anyone who transaction reports. It is a foundation level qualification. This must be completed before attending the advanced course.

Cost:

£300 plus VAT (Price has been reduced due to the UK lockdown)

NB: Fee can be invoiced or payment can be made with a debit or credit card at checkout.

Other courses you might be interested in

UnaVista and the London Stock Exchange run a number of other courses on both financial regulation and the UnaVista platform, please check the website for the most up to date times. 

Please contact us on +44 (0)20 7797 1214 for further details on our products and services.

Can't attend this time? Register your interest here for the next Transaction Reporting Foundation Course.

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

 


This webpage contains information which without limitation consists of text, data, graphics, photographs, illustrations, artwork, names, logos, trade marks, service marks (“Information”), some of which is connected with London Stock Exchange Group plc and its subsidiaries (“LSEG”) (the “LSEG Information”). LSEG attempts to ensure the LSEG Information is accurate, but no responsibility or liability is accepted by or on behalf of the LSEG for any errors, omissions, or inaccurate Information on this webpage. LSEG does not guarantee the accuracy, timeliness, completeness, performance or fitness for a particular purpose of the webpage or any of the Information or LSEG Information on it, and is provided for information purposes only.

No action should be taken or omitted to be taken in reliance upon Information on this webpage. We accept no liability for the results of any action taken on the basis of the Information or for any loss from use of this webpage.

In the unlikely occurrence that any of our training events have to be cancelled or postponed due to circumstances beyond our control, we cannot be held responsible for any costs incurred by the event attendee.The LSEG group companies do not provide investment advice and nothing in this communication should be taken as constituting financial or investment advice.

 To the extent permitted by applicable law, LSEG expressly disclaims all liability howsoever arising whether in contract, tort (or deceit) or otherwise (including, but not limited to, liability for any negligent act or omissions) to any person in respect of any claims, loss or damage of any nature arising directly or indirectly from: (i) anything done or the consequences of anything done or omitted to be done wholly or partly in reliance upon the whole or any part of the contents of this webpage; (ii) the use of any data or materials provided at an event organised by or behalf of LSEG, or on this webpage or unauthorized access to this webpage or otherwise; (iii) to any personal property left unattended during an event organised by LSEG unless caused by the negligence of LSEG or its employees; or (iv) death or any personal injury suffered by you at an LSEG event unless caused by the negligence of LSEG or its employees.

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Tickets

Tickets for MiFIR Transaction Reporting Foundation Course can be booked here.

Ticket Information Ticket Price
Transaction Reporting Foundation Course (£300 - Invoice) Free
Transaction Reporting Foundation Course (£300 - Card Payment) GBP 300
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About The Host: UnaVista is London Stock Exchange Group's global hosted platform for all matching, validation and reconciliation needs. It offers a range of business solutions through one interface designed to help firms become more efficient and reduce operational and regulatory risk across all asset classes. Services include: Regulatory solutions UnaVista is the only approved EMIR Trade Repository and MiFID Aproved Reporting Mechanism. Over 700 customers report more than a 1.5 billion transactions per year for MiFID alone. Other regulatory solutions include and AIFMD, short selling & financial transaction tax amongst others. Data Solutions London Stock Exchange is an approved Pre-LOU to allocate Legal Entity Identifiers via UnaVista, which also hosts a consolidated view of all global LEIs as well as SEDOL Masterfile, corporate actions, historical trading data and analytics. Post Trade Matching UnaVista can preform trade confirmation and affirmations across multiple asset classes (inc swaps) Reconciliations UnaVista is a hosted reconciliations platform that can perform a variety of reconciliations including cash, stock, system-system, NAV, Exchange, ETD, client money, FOBO.
Website Link: http://www.lseg.com/unavista
Nearby Hotels London Stock Exchange, 10 Paternoster Square, London, United Kingdom
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London Stock Exchange, 10 Paternoster Square, London, United Kingdom

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