Transaction Reporting Governance & Oversight Training

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.

Qomply Certified Logo
CISI Endorsed Training

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

Upcoming Dates & Times

• Wednesday 4 December, 2024, 9.30am - 11.30am
• 2025 Dates Coming Soon

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.

If you cannot see a registration form above, please send an email to info@qomply.co.uk


More Courses

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.

Sophia Fulugunya Qomply Director of Transaction Reporting

Qomply - Transaction Reporting Experts

Let's Get In Touch!


Want to know more or just want to phone us up for a chat?

+44 (0)20 8242 4789