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.

How much does it cost?

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.