Transaction Reporting Governance & Oversight Training

Led by former-FCA regulator Daniel Fletcher, this training covers the major themes in Transaction Reporting Governance, key roles and responsibilities for each and oversight expectations from a regulatory perspective.

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Course Overview

This two-hour, 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 Transaction Reporting Governance and Oversight.

 

Topics to include

  • The use of transaction reports in the regulator’s mission to detect potential market abuse
  • Transaction reporting processes to facilitate effective oversight of the regime
  • No one size fits all model, but three major themes/levels should exist in Transaction Reporting Governance chain
  • Key Roles & Responsibilities for each major Governance theme/level
  • Oversight expectations from a regulatory perspective

 

What are the outcomes?

  • Greater understanding of the major themes in Transaction Reporting Governance, and oversight expectations from a regulatory perspective
  • Practical guidance on key roles and responsibilities for each of the major Governance themes
  • Reduced risk of non-compliance
  • 2 CPD Accredited Hours

 

Who is it for?

The course is aimed at compliance and operations staff and in particular those involved in governance and oversight or looking to progress into such roles.

In-Person Training Dates

 

How much does it cost?

The cost of the course is £375 + 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

 

 

 

 

 

 

 

 

More Training Courses

● MiFIR Transaction Reporting Foundation Training
● EMIR Refit Transaction Reporting Foundation Training

View all Transaction Reporting Training

  View All Training Courses

Meet the Trainer

Dan Fletcher is Transaction Reporting Manager at Qomply, where he supports firms in meeting complex regulatory reporting obligations across global markets.

Prior to joining Qomply, Dan was a Senior Associate in the Credit Rating Agencies Supervision team, Capital Markets department in the Infrastructure & Exchanges Division at the Financial Conduct Authority (FCA). In this role, he was instrumental in overseeing compliance standards and ensuring the integrity of credit rating processes. Before joining the FCA, Dan built his legal expertise at several prominent firms, including Deloitte, Stewarts, Allen & Overy, and Freshfields.

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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 Governance & Oversight training covers the major themes in transaction reporting governance, key roles and responsibilities across the governance chain, transaction reporting processes that support effective oversight, and regulatory expectations around governance and oversight.

  • This course is designed for Compliance, Operations, Regulatory Reporting and oversight professionals who are involved in governance, controls, assurance or supervisory responsibilities. It is particularly relevant for individuals already working in, or looking to progress into, governance and oversight roles.

  • This course is generally better suited to professionals with some existing exposure to transaction reporting or oversight responsibilities. New starters may benefit more from the MiFIR or EMIR Refit Foundation courses before moving into governance-focused training.

  • Yes. The course focuses on oversight expectations from a regulatory perspective, including how firms can structure governance arrangements and define key responsibilities to support effective transaction reporting oversight.

  • The MiFIR and EMIR Refit Foundation courses focus on the fundamentals of specific reporting regimes. The Governance & Oversight course is broader and more senior in focus, looking at how firms oversee transaction reporting, assign responsibilities, manage governance processes and reduce the risk of non-compliance.