Home Specialist skills Finance Markets in Financial Instruments Regulation (MiFIR) Transaction Reporting
Markets in Financial Instruments Regulation (MiFIR) Transaction Reporting
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Explain the importance of these reforms, the fundamental legislative changes and how they inter-relate with the broader regulatory agenda
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Explore the cross-regulatory impact including the socio-economic and political changes on the horizon, most notably BREXIT
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Identify operational and regulatory challenges which firms will need to take a longer-term strategic outlook, particularly in light of Brexit and a revision which could lead to a MiFID III
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Discuss regulatory principles that firms might consider on an ongoing basis including governance, management oversight and ensuring a transparent communication within the firm
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Discuss key areas of interest of UK regulators including transparency, MiFIR transaction reporting, product governance, conflicts of interest and continued areas of interest including safeguarding client money and assets
Overview
Off the shelf (OTS)
These sessions will enable learners to: discuss the importance of MiFIR transaction reporting to regulators, assess the practical implications for firms to meet the Financial Conduct Authority's (FCA) outcomes-based approach to compliance, explore the fundamental mistakes firms exhibit with MiFIR transaction reporting and discuss the existing challenges in meeting the requirements among other topics.
Please note – data may be processed in countries with adequacy agreements in place.
Delivery method
Face to face
Virtual
Course duration
7.5 hours
Competency level
Working
Delivery method
-
Face to face
-
Virtual
Course duration
7.5 hours
Competency level
-
Working
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