What past delegates say?

"Excellent. Very informative, interactive and well presented."

Partner, KPMG

"Very good. Easy to follow and understand on what is a very complex structure. I learnt a lot!."

VP, Barclays Bank

"Left knowing much more."

Independent Banking Consultant

MiFID Compliance & Reporting

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6 Oct 2017 London

ONLY 7 PLACES LEFT! Special Promotion until 22 Sep £850 + VAT. Regular price £950 + VAT. 10% discount for a booking of 3.

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8 Dec 2017 London

Course Description

In 2007 the European Union first attempt to regulate the financial market saw the introduction of MiFID I the effect of which was a harmonised transaction reporting regime across Europe. In MiFID II, the European Commission takes the current objective of transaction reporting - the detection and investigation of potential market abuse – and expands it into supporting “market integrity”. MiFID II requires major implementation changes and a reassessment of existing business models. The original MiFID led to a major shift in the cash equity markets, and the MiFID II impact will be even more pronounced, to cover the way almost all OTC products are priced, traded and reported. 

The original MiFID Transaction Reporting provides a platform for European Market participants to gain an appreciation of changes introduced by MiFID II and get ahead of the forthcoming MiFIR Transaction Reporting through developing a reporting model to suit their business.

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.

There will be a test performed at the end of the course to check participants' knowledge. 

What Will You Learn

By the end of this training 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

 

You may be interested in our programme on: 

Register for both programmes at the same time and save £100!

Main Topics Covered During This Training

  • 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 

 

Who Should Attend

The course is aimed at the following professionals from asset and fund management, banking, consulting, exchanges and other businesses involved in MiFID:

  • Compliance Managers
  • Risk Managers
  • Operations
  • Business Analysts
  • Project Managers
  • Transaction Reporting and 
  • Back Office Professionals
Register Now

6 Oct 2017 London

ONLY 7 PLACES LEFT! Special Promotion until 22 Sep £850 + VAT. Regular price £950 + VAT. 10% discount for a booking of 3.

Register Now

8 Dec 2017 London

MiFID Compliance & Reporting Course

9.00 a.m. - Course start  

 

Introduction to MiFID regulation 

  • MiFID 1 & 2

 

Organisational Requirements

  • Management and Governance
  • Product governance
  • Sales, Client Assets and Code of Conduct

 

Conduct of Business

  • Classification of Clients
  • Inducements overview and Benefits review
  • Suitability and Appropriateness requirements
  • Best execution practice

 

Market Data and Market Structure

  • Requirements
  • Background and scope
  • Existing Exchange model and changes introduce for non-equity products
  • Trading Venue and changes
  • Authorisation requirements, limitations, trading obligations, reporting requirements
  • Commodity Derivatives and Derivative Trading 

 

Transparency

  • Requirements
  • Background and scope
  • Pre-trade and Post-Trade transparency
  • Transaction Reporting Regime and Target Operating Model 

 

Trade and Transaction Reporting

  • Transaction reporting requirements
  • Background and scope
  • Transaction reporting basics
  • Reporting firms
  • Reporting channels
  • Reportable instruments and transactions
  • Reporting obligations and due diligence
  • Treatment of derivatives
  • Treatment of different trading scenarios
  • Data standards for the all the reporting fields
  • Reporting submission overview
  • Data aggregation and integrity
  • Risk reporting systems and controls over transaction reporting
  • Reporting challenges
  • Reporting Requirements and changes
  • Trading Capacity vs. Trading Venue
  • Examples and Exercises
  • Consolidated tape

 

A test will be performed at the end of the course to check participants' knowledge. 

 

5.00 p.m. - Course finish

The Course Director is an experienced leader, investment banking professional and subject matter expert with strong commercial acumen and over 18 years experience overseeing global business intelligence, regulatory programmes and data/predictive analysis science programmes across North America, EMEA, Asia and Emerging Markets for tier 1 Investment and Asset Management banks such as Deutsche Bank (Asset Management & Investment Bank), ABN AMRO Asset Management, UBS (Private Wealth & Investment Bank), Bank of New York Asset Management, JP Morgan Asset Management and HSBC Investment Bank, RBS Investment Bank and Amoo Venture Capital Advisory.

An SME across various regulations such as FATCA, CRS, CDOT, MiFID, MiFID II, MiFIR, BCBS, GDPR, EMIR and Derivatives expert, Simon has over 7 years hands-on experience consulting/advising in, implementing regulations (from back to middle to front office) and training senior banking and finance executives both on the business and IT sides. He has operated in different capacity from Programme Management, Senior Business Analyst to Business Architect working within change management and operating across front office, middle office and bank office with remit extending joint accountability with other team members for M&A governance, consortium management, branding & communications, trading & settlements and transfer agency technologies of £72 Billion Asset under Management. He has also served as a non-executive Director and Business Development Director to Amoo Venture Capital Advisory, advising and reshaping regulatory financial technology for start-ups businesses in need of seed capital of between $500 thousand to $100 million. 

MiFID Compliance & Reporting <p>In 2007 the European Union first attempt to regulate the financial market saw the introduction of MiFID I the effect of which was a harmonised transaction reporting regime across Europe. In MiFID II, the European Commission takes the current objective of transaction reporting - the detection and investigation of potential market abuse &ndash; and expands it into supporting &ldquo;market integri ... 1507248000 London