Best Practices and Implementation

MiFID Industry Conventions and Regulator Expectations

Wednesday, 28 Feb 2024

In Qomply’s 30-minute webinar, we will delve into the industry conventions and the expectations of the regulator for MiFID transaction reporting. The benefits of having a robust systems & controls framework and practices around that framework will be discussed. Qomply's ReportAssure solution will be used to illustrate the implementation of best practices so that the audience benefits from the "theory" and the "application" of the principles discussed.

Topics include

1. Traceability, Accountability & Escalation
2. Risk Exposure & Mitigation
3. Demonstrating Effective Exception Handling
4. Evolving and Adapting Systems and Controls

The Qomply ReportAssure platform is tailored to support best practices in MiFID Transaction Reporting. It offers an array of features that can significantly ease your compliance journey.

This session is only open to direct, financial market participants.

Current Qomply clients will be exposed to features in the platform to assist with implementation of best practices.

Financial market practitioners will benefit from exposure to current industry trends and how firms are using tools available to them to demonstrate good governance and best practices.

We are unable to accept requests from registrants who are not directly related to a financial firm.

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Wednesday, 28 Feb 2024

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Sophia Malaika Fulugunya Sophia Fulugunya
Director of Transaction Reporting, Qomply

Sophia spent years at the UK Financial Conduct Authority (FCA) where she specialised in MiFID II Transaction Reporting within the FCA Markets Reporting Team (MRT) team.

The Qomply Trade Reconciler for MiFID II performs trade reconciliations across large data sets

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