MiFIR Transaction Reporting

This presentation provides a practical overview of MiFIR transaction reporting requirements for investment firms. It covers why reporting is needed, who must report, what details are required, and how and where to submit reports.

The training highlights common errors, best practices for compliance, and offers a checklist to help firms maintain accurate and timely reporting. It is designed to help attendees understand and implement effective transaction reporting processes under MiFIR regulations. It also, crucially, covers forthcoming rule changes to the UK transaction reporting regimes and provides information on how firms can prepare.

Date: Upcoming course dates in the form dropdown.

Time: 10:00 a.m. - 11:30 p.m. GMT

Objectives 

Attendance in this course will enable employees to:

• Understand the regulatory purpose of MiFIR transaction reporting and its role in market integrity and surveillance. 
• Identify which firms, transactions, and instruments are subject to MiFIR reporting requirements.
• Learn the key data fields and details required for accurate and complete transaction reports. 
• Gain practical knowledge of the reporting process, including when, and where to submit reports.
• Recognize common reporting errors and understand how to avoid and correct them.
• Apply best practices for governance, monitoring, and controls to ensure ongoing compliance. 
• Know the procedures for error and omission notifications and understand the potential impacts of non-compliance.
• Utilise checklists and practical tools to support effective transaction reporting within your firm.
• Understand forthcoming rule changes and potential application to your firm.  

Key Topics

• Purpose and regulatory background of MiFIR transaction reporting  
• Scope: which firms, transactions, and instruments are in scope  
• Reporting requirements: what details must be reported  
• Submission process: when, and where to report  
• Data fields and report structure (RTS 22)  
• Common reporting errors and how to avoid them  
• Practical scenarios and conventions (e.g., reporting for multiple clients, use of ‘INTC’)  
• Systems, controls, and governance for transaction reporting
• Exception management and periodic monitoring  
• Error and omission notification procedures  
• Potential impacts of non-compliance 
• MiFIR reporting checklist and best practices FCA CP 25/32.

Who Is This For?

Compliance, Operations, Technology, and Project Management specialists. 

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