MiFID Compliance & Reporting
Short course
In London
Description
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Type
Short course
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Location
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Class hours
7h
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Duration
1 Day
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Start date
Different dates available
This intensive one-day course conducted by a City expert provides a deep dive look at MiFID and the key areas of changes and considerations for firms as a result of MiFIR and MiFID II. Participants will be equipped to understand Market Structures, Investor Protection, Conduct of Business, Transaction Reporting, Systems Controls and Business Principles, Product Changes and Exchanges implemented under: MiFID, MiFID II/MiFIR.
Organisational requirements conduct of business
Best execution requirements and practices
Market data and market structure
Authorisation requirements, limitations, trading obligations, reporting requirements
Transparency requirements
Transaction reporting requirements - background and scope
Reporting obligations and due diligence
Treatment of derivatives
Treatment of different trading scenarios
Risk reporting systems and controls over transaction reporting
Reporting challenges
Case studies and exercises
Facilities
Location
Start date
Start date
Start date
About this course
By the end of this course you will learn about:
The scope and content of MiFID / MiFID II / MiFIR
Who is affected and how
Impact of regulation on the Conduct of Business
Transaction reporting requirements
Reportable firms, instruments and transactions
Management and systems controls & governance
Data aggregation and management
Reporting challenges and how to overcome them
The course is aimed at the following professionals:
Compliance Managers
Operations
Business Analyst
Project Managers
Transaction Reporting
There will be a test performed at the end of the course to help you consolidate the knowledge. You will receive course certificate on completion.
Reviews
Subjects
- Compliance
- Transactions
- Trading
- Banking
- Regulations
- MIFID
- Regulation Financial
- Transaction reporting
Teachers and trainers (1)
EF Faculty Trainer
Trainer
Course programme
- Organisational requirements conduct of business
- Best execution requirements and practices
- Market data and market structure
- Authorisation requirements, limitations, trading obligations, reporting requirements
- Transparency requirements
- Transaction reporting requirements - background and scope
- Reporting obligations and due diligence
- Treatment of derivatives
- Treatment of different trading scenarios
- Risk reporting systems and controls over transaction reporting
- Reporting challenges
- Case studies and exercises
MiFID Compliance & Reporting