Exploring Transaction Reporting Operational Oversight and Assurance

The EIMF Live Online Learning Experience

EIMF subject-matter experts deliver engaging and interactive courses across a broad spectrum of areas, that can be enjoyed in the comfort of your own chosen environment. Read more

Course Overview

The Markets in Financial Instruments Regulation (MiFIR) text states that investment firms which execute transactions in financial instruments shall report complete and accurate details of such transactions. Review of regulatory reporting by the authorities is a crucial part of any investigation into alleged market abuse reported to the relevant authorities or identified through the NCA’s market surveillance activity.

Training Outline

This webinar will examine the critical risks to operational oversight and provide assurance. At the end of this webinar, delegates will:

• Discuss the implications for failure to submit accurate transaction reports has the potential to hinder the 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 3rd parties; and
• Managing Transaction Reporting Systems Changes and the implication for firms.

Training Style

This workshop is designed to be participative throughout. The agenda will combine key formal presentations, case studies and syndicate discussion sessions. There will be ample opportunity for delegates to benchmark experiences with industry peers and raise issues of most concern to their organization, either confidentially or in open session.