e-Learning - Online Regulatory Reporting Foundation Courses

The online Foundation courses (CPD certified and endorsed by CISI) will provide operations and compliance staff with a thorough grounding in the regulatory reporting requirements. As well as detailing the regulatory reporting data standards, the course explains the systems and controls the ESMA expects firms to have over transaction reporting.
There are seperate courses available for:

• MiFIR Transaction Reporting
• EMIR Trade Reporting
• SFTR Transaction Reporting
• MAR Surveillance

Each of the courses are accompanied by a short online assessment to provide evidence that candidates have completed the online course. Upon completion of the course, delegates will be able to download a certificate to confirm learning and completion.
You can register for the courses now and we will provide you with a login as soon as the courses are released.
There is a full in-house exam available, which you may wish to attend to formalise your learning. On passing this exam, you will receive a CISI and CPD certificate confirming proficiency. The exams run from 9am-10am on several dates throughout the year.
Should you wish to book an in-house exam, contact us at: [email protected].

There are free tasters available for all courses if you wanted to try out a sample learning. Click 'Reserve a Spot' and pick your free taster course.

Enrolment Process
Book your place by registering and making payment in full
A username and password will be emailed to you within 48 hours of booking and payment
Sign in using the credentials provided
Learn at your own pace when you are ready to start!
Your access to the chosen course/s will expire 12 months from date of enrolment.

Course Details
The foundation courses each provide training on all the elements essential in meeting the reporting requirements including:
Background to the reporting requirements
Why regulators need the reports
Reasons behind the changes in reporting
Headline changes
Basics of the regulation
Who is obliged to report
Definition of execution of a transaction/trade
Reporting exemptions
Reportable instruments
General Principals
Trading Capacity and impact on ‘buyer’/’seller’ fields
Transmission of order – implications for buy-side
Basic trading scenarios
Reference Data standards
Instrument and Underlying Instrument identifiers
Identification of organisations
Identification of individuals
Field by field analysis
Systems & controls over the regulation
Legal obligation for firms to deliver complete and accurate reports
Reconciliation
Test Questions
ESMA expects firms to have appropriate training for staff in transaction reporting as part of their systems and controls. The London Stock Exchange Group Transaction Reporting Foundation Course provides perfect evidence that this requirement has been met.

Who is this course suitable for?
This course is suitable for anyone who is involved in any of the regulation's reporting. It is a foundation level qualification.
Cost:
£495 plus VAT
NB: You must make payment in full before credentials can be provided and you are able to log in and begin the course.
FAQs

How can I contact the organiser with any questions?
- Contact us with your questions at: [email protected]
What's the refund policy?
- Attendees can receive refunds should you cancel your booking within 7 working days of purchase.
Is my registration fee or ticket transferrable?
- This ticket is not transferrable.
How long will I have access to my chosen course/s?
- You will have access to your chosen course/s for 12 months from the date of enrolment.
Other courses you might be interested in
Regulatory Reporting and the London Stock Exchange run a number of other courses on both financial regulation and the Regulatory Reporting platform, please check the website for the most up to date times.
Please contact us on +44 (0)20 7797 1214 for further details on our products and services.
Before booking, please ensure you have read our cancellation policy.

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