Transaction Reporting - CPD Training Course

Seminar Overview


 MiFIR Transaction Reporting regime is fundamental to supporting the Market Abuse Regime and seeking to maintain integrity in European Markets. The primary purpose of transaction reports is to detect and investigate suspected market abuse, insider dealer and market manipulation.

The Markets in Financial Services Regulation and Directive (MiFID II) is part of the wider European Financial Services Action Plan. The main aim of creating a single market for financial services is to establish a stable, competitive and transparent financial services framework across the European Union.

This one day workshop will provide delegates with review and discuss the significant challenges for how firms operating within the Regulatory Reporting Framework.

Attending this workshop will enable you to:

  • Explain the importance of transaction reporting to the detection of market abuse.
  • Describe the MiFID II regulatory process and timeframes for MiFID II implementation.
  • Develop a framework to meet regulator’s expectations, identifying key risks for operational oversight and assurance.
  • Analyse market activity post ‘Go Live’ 3rd- January 2018


The following topics will be covered:

  • Develop a greater understanding of the importance of Transaction Reporting
  • Understanding for regulatory outcomes and practical implications for Transaction Reporting Oversight
  • Identify scenarios of market abuse and the importance of Transaction Reporting to the prevention of financial crime.
  • Explore what is changing with MiFIR Transaction Reporting including approach, field analysis and scenarios.
  • Examine the new reporting obligations for firms.
  • Explore how to navigate the ‘grey areas’ including client identifier and short-selling flag.
  • Illustrate scenarios and seek to identify challenges with the MiFID approach to implementation compared to the MiFIR approach to implementing transaction reporting.
  • Failure to submit accurate transaction reports has the potential to hinder the National Authority’s ability to detect and investigate suspected market abuse.
  • Establishing an operational approach to ensuring compliance in the new regulatory environment.
  • Exploring how firms manage outsourcing risk and due diligence with Third parties
  • Managing Transaction Reporting Systems Changes
  • Examine the MiFIR Regulatory Requirements including governance framework and controls, reporting data quality, assurance and testing guidelines.
  • Summarise the business process operational risks and identify controls and frameworks to mitigate the risks.
  • Explore areas of failure to submit accurate transaction reports, which firms need to consider in their regulatory assurance programs.
  • Identify key oversight risks and the implication of the introduction of the Accountability Regime.


Who should attend:

This workshop will be of benefit to anyone who is likely to be affected by the changes to be brought in by MiFIR Transaction Reporting, including senior management, legal, compliance and those employees at the coalface.



A CPD certificate will be provided to all attendees, which may be considered appropriate by your company for the accrual of CPD hours. 


To Reserve a Place

Email This email address is being protected from spambots. You need JavaScript enabled to view it., call +44 (0)20 7422 0063 or book online. You will receive confirmation of your booking within 24 hours. Price inclusive of all course material. Price exclusive of VAT.



Training and Venue Information

CPD Authorised Yes
Event Date 04-06-2020
Event End Date 04-06-2020
Event Time 10:00 - 13:30
Price £260.00
Location SIX Financial Information UK (EC2),  6 Devonshire Square, London EC2M 4YE, UK
£260.00 998