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Markets in Financial Instruments Regulation (MiFIR) Transaction Reporting is a key priority for the European Securities Markets Authority (ESMA) and the National Competent Authorities (NCAs) including the Financial Conduct Authority (FCA).
The primary purpose of MiFIR Transaction Reporting is to support Regulators detect and investigate suspected instances of market abuse (including insider trading and market manipulation). The workshop will cover the fundamentals of MiFIR Transaction reporting from the perspective that the reporting is a key tool used by regulators to monitor for market abuse and its relationship to the Market Abuse Regime (MAR).
The workshop will illustrate the differences between MiFIR Transaction Reporting and other regulatory reporting requirements set out in the overall legislation, including EMIR trade reporting.
The new transaction reporting provisions are covered by the regulation, which means that these are binding and will take direct effect in all Member State’s from the 3rd January 2017.
This focused half-day workshop examines the importance of transaction reporting and the main challenges the industry faces in implementing the new reporting requirements.
Specifically, attending this course will enable you to:
This event will be of value to all of those involved in the day to day operation of transaction reporting in securities dealing firms, as well as those designing or specifying policies, processes and IT systems to support transaction reporting arrangements. This will include people in the following areas:
|Compliance||Heads of Business||Business Analysts|
|Systems Developers||Front Office||Operations|
|Internal Audit||Senior Managers||CF29 holders|
The tutor will use a blend of presentational methods in order to assist in a delegate’s understanding of the workshop content including, where applicable and possible, group exercises, scenarios and case studies.
Course Leader: Vivienne Bannigan
Vivienne is a regulatory risk professional with extensive experience in Wholesale Capital Markets in both the public and private banking sector in the UK and global markets. She advises senior management on regulatory policy changes, facilitating the designing of business strategy and frameworks to manage the regulatory and operational risks. Vivienne has extensive experience of CASS and Transaction Reporting, having had a seat on all sides of the table as a regulator, a consultant, an Operations Compliance Director and most recently as the BBA’s lead policy director of members' response to MiFID II.
Vivienne is passionate about sharing practical insights through education on how to consider managing regulatory risk. Vivienne has a BA jt Hons in Economics and Finance as well as a M.Econ.Sc in European Economics and Public Affairs. During her career she has also gained professional qualifications in programme management.