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 Live, tutor-led online sessions, with our partners Kaizen Reporting 

The challenge

Accurate and complete MiFIR transaction reporting is a legal obligation. Yet many financial firms, even those with significant resources dedicated to this complex requirement, are falling short of regulatory expectations.  Quality assurance testing by regulatory specialists Kaizen have found that only 13% of MiFID II transactions are reported accurately.

The consequences of incorrect reporting are serious and include regulatory scrutiny and sanctions, as well as the significant cost and resource involved in remediating incorrect reports.

The solution

The PIMFA Transaction Reporting Academy (TRA) is an innovative, practical and results-focused learning experience that augments your core reporting skills while deepening your knowledge in key areas of the  MiFIR transaction reporting requirements.

Please click here for more information

1 Overview and how to report by trading scenarios 8th October 2024 10:00 – 12:30
2 Transaction reporting by instrument type 15th October 2024 10:00 – 12:30
3 Common issues & Remediation 22nd October 2024 10:00 – 12:30
4 Systems & Controls and Corporate Actions 29th October 2024 10:00 – 12:30

 

 

The PIMFA Transaction Reporting Academy 2023
Category Filter
10.00
12.00

Overview and how to report by trading scenario

10.00 - 12.00

10.00
12.00

Transaction reporting by instrument type

10.00 - 12.00

10.00
12.00

Common issues & Remediation

10.00 - 12.00

10.00
12.00

Systems & Controls and Corporate Actions

10.00 - 12.00

Matthew Vincent
Managing Director
Kaizen

More about Matthew Vincent

Matthew is a leading expert in regulatory reporting with almost 30 years’ experience in finance, including more than 10 years’ experience working in regulatory reporting functions at tier 1 banks.

Matthew is part of our regulatory specialist team as a subject matter expert on MiFIR. Prior to joining Kaizen, Matthew spent three years at the London Stock Exchange – UnaVista where he was the director of regulatory reporting strategy.  This included providing MiFIR reporting subject matter expertise to clients in the UK and EU. Matthew was also Head of MiFID Regulatory Reporting at Credit Suisse for five years, and previously worked for Barclays Investment Bank in the operational compliance team advising on MiFIR transaction and EMIR reporting.  He has also worked at Citigroup and Deutsche Bank.

Matthew chaired the UK Finance Transaction Reporting Working Group for more than 10 years.

Simon Appleton
MiFIR Reporting Director
Kaizen Reporting

More about Simon Appleton

Simon has over 30 years’ transaction reporting experience working at regulatory bodies, trading venues and for the last twelve years in a consultancy role helping banks, brokers, asset managers, wealth managers, ARMs and trading venues meet their MiFIR transaction reporting obligations. He is also one of the leading experts on market abuse and surveillance. Simon achieved this by designing and executing bespoke data integrity testing methodologies, pioneering and developing a robust transaction reporting governance and control framework, and assisting firms remediate their transaction reporting issues to avoid enforcement action. During this time Simon provided firms with technical and operational advice as well as preparing and delivering MiFIR transaction reporting and market abuse training, something he will continue to do at Kaizen.

 

Like Dario, Simon is also alumni of the Financial Conduct Authority’s Transaction Monitoring Unit (TMU) now Markets Reporting Team.  Simon was the team’s first employee and spent 13 years developing the UK’s transaction reporting rules, the regulator’s market abuse surveillance system and advised firms on how to transaction report accurately.

Booking and Registration Information

If you are a PIMFA member please ensure you have logged in to register for this webinar, podcast or event and receive your discount. If you are unsure of your login details you can request a new password via our website or email us to reset it for you. If you are unsure whether you belong to a PIMFA member firm please register for an account or email us and we will confirm this for you. You can still register for our webinars, events and podcasts as a non-member (charges apply in some instances). Requests may take up to 48 hours to process.

Tickets

Unlimited available
PLLT: The PIMFA Transaction Reporting Academy Cohort 2 2024 (FAM)£2,500.00 ex. VAT

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Unlimited available
PLLT: The PIMFA Transaction Reporting Academy Cohort 2 2024 (NM)£3,000.00 ex. VAT

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Out of stock!PLLT: The PIMFA Transaction Reporting Academy Cohort 2 2024 (NM) VAT FREE£2,500.00
Out of stock!PLLT: The PIMFA Transaction Reporting Academy Cohort 2 2024 ( Kaizen Discount)£2,500.00 ex. VAT

Details

Start:
8th October @ 10:00
End:
29th October @ 12:30
Cost:
£2500 - £3000
Event Categories:
,

Other

CPD Hours
10
Email Address:
learning@pimfa.co.uk