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
MiFIR Transaction Reporting for European Regulatory Authorities is critical as a measure of European market integrity. A transaction report is a crucial part of any investigation into alleged market abuse. The UK Financial Conduct Authority (FCA) has taken enforcement action against firms for their failure to ensure accurate submission of reportable instruments under the reporting regime. In the UK, the FCA have issued enforcement fines, private warnings, notifications and communications on transaction reporting to the industry.
Moreover, European NCA’s are making more decisive action towards firms’ in their jurisdictions. It is essential that the revised transaction reporting system works and provides regulators with a supervision and enforcement tool to ensure that the European Market remains a global leader in financial services.
Training Outline
During this webinar, we will examine the NCA’s approach to the regulation of transaction reporting and lessons learnt, including:
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.
CPD Recognition
This programme may be approved for up to 1.5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
Professionals requiring CPD units to meet the education requirements for CySEC licence renewal, and/or for maintaining other professional memberships/certifications which accept CPD in Financial Regulation, are advised to consider training subjects in categories that indicate CPD training in Financial Regulation.
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 frontline employees, as well as those conducting assurance reviews from the 2nd or 3rd lines of defence.
For 3 registrations from the same entity, a standard 10% discount will apply. For over 4 registrations please contact us.
Thursday 09/07/2020 - 09:00-10:30
Vivienne is a financial services professional with over 20 years’ experience in regulatory and operational risk in the United Kingdom, Europe and internationally. Vivienne has held various roles across several organisations including the Financial Conduct Authority (FCA), Royal Bank of Scotland and UK Finance. Vivienne has worked in wholesale policy covering the Market Abuse Regime, Markets in Financial Instruments Directive (I & II), Securities lending, Client Money , Transaction Reporting and mentoring her colleagues along the way. Vivienne designed and implemented training and communications to support programme delivery, including the Markets in Financial Instruments Directive and Client Money and Assets. Vivienne holds various qualifications including an M. Econ. Sc. in European Economics and Public Affairs. Vivienne is an accredited Dispute Resolution Mediator and is completing an MA in Community Psychology at the University of Brighton. Vivienne is passionate about sailing and supporting individuals to achieve their potential while at the same time, creating an environment that is professional, practical and participative.