About the Course

Accurate and complete MiFIR Transaction Reporting is essential to enable National Competent Authorities (NCA’s) to meet their statutory objectives of maintaining market confidence and reducing financial crime. The primary purpose of transaction reports is to detect and investigate suspected market abuse, insider trading and market manipulation. MiFIR Transaction Reporting widened the scope on financial instruments and extended reporting responsibilities to firms previously excluded from the regime.

Learning Objectives

This programme will review the different reporting requirements and identify challenges for implementation, including:

• Clarifying the differences between the various MiFID II Regulatory Reporting Regimes and EMIR Trade Reporting;
• Develop a greater understanding of the importance of Transaction Reporting;
• Explore what is changing with MiFIR Transaction Reporting including approach, field analysis and scenarios;
• Identify scenarios of market abuse and the importance of Transaction Reporting to the prevention of financial crime; and
• Understanding regulatory outcomes and practical implications for Transaction Reporting Oversight including, an illustration of good and bad practice.

Training Method

The course is offered fully online using a self-paced approach. The learning units consist of presentations and reading material. Learners may start, stop and resume their training at any time.
At the end of the training, participants take a Quiz to complete their learning and earn a Certificate of Completion.

Training Duration

This course may take up to 5 hours to be completed. However, actual study time differs as each learner uses their own training pace.

Target Audience

The programme is ideal for:

• Managers and Senior Managers in Investment Firms
• Compliance Officers
• Internal Auditors
• Internal Lawyers
• External Auditors, Lawyers and Financial Consultants

Format

• Register at any time for this online course
• Study in your own time and at your own pace (you have up to 180 days to complete)
• Assessed by online multiple-choice questions

Registration and Access

To register for this course, click on the Get this course button to pay online. If you wish to receive an invoice instead of paying online, please Contact us here.