Exploring Transaction Reporting Operational Oversight and Assurance
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The Markets in Financial Instruments Regulation (MiFIR) text states that investment firms which execute transactions in financial instruments shall report complete and accurate details of such transactions. Review of regulatory reporting by the authorities is a crucial part of any investigation into alleged market abuse reported to the relevant authorities or identified through the NCA’s market surveillance activity.
This webinar will examine the critical risks to operational oversight and provide assurance. At the end of this webinar, delegates will:
Discuss the implications for failure to submit accurate transaction reports has the potential to hinder the Authority’s ability to detect and investigate suspected market abuse;
Establishing an operational approach to ensuring compliance in the new regulatory environment;
Exploring how firms manage outsourcing risk and due diligence with 3rd parties; and
Managing Transaction Reporting Systems Changes and the implication for firms.
Who is Vivienne Bannigan
Vivienne is a financial services professional with over 20 years’ experience in regulatory and operational risk in the United Kingdom, Europe and internationally. Vivienne has held various roles across several organisations including the Financial Conduct Authority (FCA), Royal Bank of Scotland and UK Finance. Vivienne has worked in wholesale policy covering the Market Abuse Regime, Markets in Financial Instruments Directive (I & II), Securities lending, Client Money , Transaction Reporting and mentoring her colleagues along the way. Vivienne designed and implemented training and communications to support programme delivery, including the Markets in Financial Instruments Directive and Client Money and Assets. Vivienne holds various qualifications including an M. Econ. Sc. in European Economics and Public Affairs. Vivienne is an accredited Dispute Resolution Mediator and is completing an MA in Community Psychology at the University of Brighton. Vivienne is passionate about sailing and supporting individuals to achieve their potential while at the same time, creating an environment that is professional, practical and participative.
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Duration - 1.5