MiFIR Transaction Reporting Foundation Training

Led by former-FCA regulator Sophia Fulugunya, Qomply’s CPD accredited MiFID II Transaction Reporting 101 Training provides participants with a strong understanding of the transaction reporting requirements for MiFID investment firms.

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Course Overview

This half-day, CPD-accredited course offers face-to-face training and is conducted at Qomply’s Central London Office. Participants receive comprehensive instruction on the fundamentals of MiFIR transaction reporting.

 

Topics to include

  • Overview of MiFIR Transaction Reporting Requirements
  • Purpose of MiFIR Transaction Reporting
  • MiFIR Reportable Instruments: Use of ESMA & FCA FIRDS
  • Understanding Key Fields in MiFIR Transaction Reporting
  • MiFIR Reporting Fundamentals incl. Identifying Counterparties, INTC convention & Block vs Fill
  • How to Avoid Common Errors, Challenges & Pitfalls
  • What Constitutes a Good MiFID II Reconciliation & Reconciliation Process Options
  • Errors & Omissions: When & How to Complete
  • Governance and Oversight Best Practices

 

What are the outcomes?

  • Greater understanding of the MiFID II transaction reporting requirements and how they impact your firm
  • Practical guidance on how to troubleshoot common issues
  • Reduced risk of non-compliance
  • CPD Accredited Points

 

Who is it for?

  • The course is aimed at compliance and operations staff and those involved in the transaction reporting process.
  • Ideal for new starters or those looking for MiFIR refresher training.

In-Person Training Dates

 

How much does it cost?

  • The cost of the course is £575 + VAT.
  • Bookings are made via Eventbrite. If you'd prefer to be invoiced, please contact us at info@qomply.co.uk to arrange this.

 

LocationMifir Training Session Room

Qomply
3 New St Square
London EC4A 3BF, UK

 

 

 

 

 

 

 

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Meet the Trainer

Sophia spent six years at the UK Financial Conduct Authority (FCA) where she specialised in MiFID II Transaction Reporting within the FCA Markets Reporting Team (MRT) team. Before joining the FCA’s Markets Reporting Team at the FCA, Sophia spent two years as an MI associate within the FCA's Enforcement division.

After leaving the FCA, Sophia served as an Associate in Bovill's Capital Markets team, a leading regulatory consultancy, providing clients with specialist advice and support related to transaction reporting matters.

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Testimonials

Trusted by top investment firms

Learn how Qomply helps leading investment firms meet regulatory demands with confidence.

  • A very insightful session that went beyond the rules to explain how MiFIR transaction reporting is viewed from a regulatory perspective. The trainer’s direct experience at the FCA brought a level of credibility and insight that is hard to replicate, and the practical guidance has been useful in strengthening our overall reporting framework.

    Kieran Ferguson
    Product Analyst, AJ Bell

  • Qomply’s Governance and Oversight training was very valuable in clarifying governance responsibilities under MiFIR transaction reporting. Delivered by a former FCA regulator, it provided practical insight into regulatory expectations, oversight and senior management accountability, and has been helpful in strengthening our internal governance arrangements.

    Eleonora Lyaskovska
    AVP, Compliance, Tradeweb

  • A very comprehensive and engaging session that brought clarity to the more complex aspects of MiFIR transaction reporting. Having the training delivered by a former FCA regulator added useful context on how the rules are interpreted in practice. The session struck a strong balance between regulatory detail and practical application.

    Caroline Terry
    Member of the Risk, Trading & Technology committees, iNED Flowtraders Ltd

  • A solid MiFIR/MiFID II Transaction Reporting foundation course. Sophia’s experience as a former FCA regulator added useful perspective, particularly in explaining not just the rules but how regulators expect firms to apply them in practice. The session covered complex reporting requirements clearly and provided helpful insight into supervisory expectations and common reporting challenges.

    Compliance Analyst
  • AJ Bell
  • iNED Flowtraders Ltd
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Frequently asked questions

  • The MiFIR Foundation course covers the core requirements of MiFIR transaction reporting, including the purpose of transaction reporting, reportable instruments, key reporting fields, counterparty identification, the INTC convention, block vs fill reporting, common reporting errors, reconciliations, errors and omissions, and governance best practices.

  • This course is suitable for Compliance, Operations and Regulatory Reporting staff involved in the MiFIR transaction reporting process. It is particularly useful for new starters, junior team members, professionals moving into a reporting-related role, or those looking for structured MiFIR refresher training.

  • Yes. The course is designed as a Foundation-level training session, so it is suitable for participants who need to build a strong understanding of MiFIR transaction reporting fundamentals. It can also help existing team members refresh their knowledge and close gaps in understanding.

  • Yes. The training includes practical guidance on common MiFIR reporting errors, challenges and pitfalls, including how firms can reduce the risk of non-compliance and improve the quality of their transaction reporting processes.

  • Yes. The course includes guidance on what constitutes a good MiFID II reconciliation, reconciliation process options, and when and how firms should complete errors and omissions notifications.