MiFIR Transaction Reporting regime is fundamental to supporting the Market Abuse Regime and seeking to maintain integrity in European Markets. The primary purpose of transaction reports is to detect and investigate suspected market abuse, insider dealer and market manipulation.
The Markets in Financial Services Regulation and Directive (MiFID II) is part of the wider European Financial Services Action Plan. The main aim of creating a single market for financial services is to establish a stable, competitive and transparent financial services framework across the European Union.
The Markets in Financial Instruments Regulation (MiFIR) Level 1 text states, under Article 26(1), that investment firms that execute transactions in financial instruments shall report complete and accurate details of such transactions to the Competent Authorities as quickly as possible and no later than the close of the following working day, 23:59:59 UTC to be exact.
This one day workshop will provide delegates with review and discuss the significant challenges for how firms operating within the Regulatory Reporting Framework.
MiFIR Transaction Reporting
The primary purpose of transaction reports is to detect and investigate suspected market abuse, insider trading and market manipulation. Review of a transaction report is a key part of any investigation into alleged market abuse reported to any national competent authority.
Interrogating MiFIR Transaction Reports
MiFIR Transaction Reporting for European Regulatory Authorities is key as a measure of European market integrity. It is important 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.
Operational Oversight & Assurance
The Markets in Financial Instruments Regulation (MiFIR) text states that investment firms who execute transactions in financial instruments shall report complete and accurate details of such transactions. This session will examine the key risks to operational oversight and provide assurance.
Regulatory Challenges and Governance
National Competent Authorities have issued enforcement fines, private warnings, notifications and communications on transaction reporting to industry. During this session, we will examine the UK’s Financial Competent Authority’s approach to the regulation of transaction and lessons learnt for national competent authorities implementing the new approach under MiFIR.
DATE: 27 March
DURATION: 5 Hours
CPD UNITS: 5
LOCATION: EIMF Premises, Nicosia
TIME: 09:00 – 14:30
FEES: €220 + VAT
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Attending this workshop will enable you to:
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 those employees at the coalface.
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 organisation, either confidentially or in open session.
Vivienne has a BA Jt Hons in Economics and Finance as well as an M.Econ.Sc in European Economics and Public Affairs and has gained professional qualifications in programme management. Additionally, Vivienne has over 17 years’ experience in the financial services sector, encompassing policy, operations, compliance and stakeholder and project management roles in leading industry institutions, including the Financial Services Authority (now the FCA), Royal Bank of Scotland and the BBA. Vivienne helps organisations and individuals develop the strategies and skills needed to address the regulatory, operational developmental and change management challenges they face. She has recently established her own company, Granuaile Limited, offering a fresh and unique approach to personal and organisational development. Additionally, Vivienne is currently studying Community Psychology at Brighton University.