SFTR Transaction Reporting Foundation Course 2018 (E) | London Stock Exchange Group PLC (LSEG) | 9 November 2018 | London Stock Exchange, 10 Paternoster Row, London EC4M 7LS, UK

The new SFTR Transaction Reporting Foundation course (CPD - certified and endorsed by CISI) will provide operations and compliance staff with a thorough grounding in the regulatory transaction reporting requirements. As well as detailing the regulatory reporting data standards, the course explains the systems and controls ESMA expects firms to have over transaction reporting. All our courses are delivered by experts in the regulatory field.

The foundation course provides training on all the elements essential in meeting the SFTR transaction reporting requirements including:

Background to the transaction reporting requirements:
• Why regulators need transaction reports
• Reasons behind the changes in transaction reporting
• Headline changes

Transaction Reporting Basics
• Who is obliged to report
• Definition of execution of a transaction
• 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 transaction reportin
• Legal obligation for firms to deliver complete and accurate transaction reports
• Reconciliation