Led by former-FCA regulator Sophia Fulugunya, this training covers the major themes in Transaction Reporting Governance, key roles and responsibilities for each and oversight expectations from a regulatory perspective.
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.
• 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
• Wednesday 4 December, 2024, 9.30am - 11.30am
• 2025 Dates Coming Soon
• 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
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.
The cost of the course is £375 + VAT.
Once you’ve registered for the course, you will be invoiced and payment needs to be made in full prior to the course start date.
If you cannot see a registration form above, please send an email to info@qomply.co.uk
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.
Want to know more or just want to phone us up for a chat?
+44 (0)20 8242 4789