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FIN1625 Mastering MiFID II for Financial Data Leaders

$199.00
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A tailored course, built for your situation

Mastering MiFID II for Financial Data Leaders

How to align complex data governance with MiFID II requirements in global financial institutions

$199 one-time
24-hour access provisioning 30-day money-back guarantee Hand-built implementation playbook
12 modules. 12 chapters per module. 144 chapters total.
12 modules, each with 12 chapters (144 chapters total), text-based, plus downloadable templates and a hand-built implementation playbook delivered alongside course access.

Who this is for

Senior data and compliance professionals in financial services managing cross-functional data flows under MiFID II

Who this is not for

Entry-level analysts or those without responsibility for regulatory data frameworks

What you walk away with

  • Map MiFID II requirements directly to data pipeline controls
  • Lead cross-functional alignment sessions with compliance, trading, and ops teams
  • Produce auditable documentation that satisfies internal and external reviewers
  • Anticipate regulatory updates based on ESMA guidance patterns
  • Become the internal reference for data governance under MiFID II

The 12 modules (with all 144 chapters)

Module 1. Understanding MiFID II Objectives and Data Implications
Establish a foundational understanding of MiFID II’s core goals, market transparency, investor protection, and trade reporting, and how they directly impact data architecture, lineage, and ownership in financial institutions. Learn to distinguish obligations that flow to data teams versus front-office functions.
12 chapters in this module
  1. Origins of MiFID II and the the current cycle implementation wave
  2. Key differences between MiFID I and MiFID II reporting standards
  3. How transaction reporting requirements shape data models
  4. The role of LEIs and UTIs in trade data traceability
  5. ESMA’s oversight authority and enforcement patterns
  6. Data precision requirements for pre-trade and post-trade transparency
  7. Understanding RTS 22 and RTS 23 data mandates
  8. Recordkeeping obligations for algorithmic trading
  9. How MiFID II intersects with EMIR and SFTR
  10. Common misinterpretations of transaction scope
  11. The impact of double volume cap rules on data volume
  12. Case study: Data pipeline redesign at a Tier 1 investment bank
Module 2. Data Governance Frameworks Under MiFID II
Examine the specific governance structures required to maintain MiFID II compliance across data sourcing, transformation, and reporting layers. This module introduces frameworks for stewardship, accountability, and auditability tailored to financial data environments.
12 chapters in this module
  1. Defining data ownership in multi-jurisdictional reporting
  2. Establishing data quality KPIs for trade reports
  3. Building lineage tracking from source to regulator
  4. Version control for regulatory data pipelines
  5. Role-based access in compliance-sensitive environments
  6. Audit trail design for financial transaction data
  7. Documentation standards for internal reviewers
  8. Integrating data dictionaries with compliance workflows
  9. Vendor data sources and third-party accountability
  10. Data incident response under MiFID II timelines
  11. Aligning with ISO 8000 data quality standards
  12. Case study: Governance overhaul at a global broker-dealer
Module 3. Transaction Reporting Obligations and Data Mapping
Break down the detailed transaction reporting requirements under MiFID II, focusing on the 65+ data fields required per report, and how to map them accurately from internal systems to the ARMs and regulators.
12 chapters in this module
  1. Full list of reported fields under Annex IV
  2. Entity identifiers: LEI, UTI, and SSI definitions
  3. Instrument classification under CFI codes
  4. Trader ID and investment decision-maker reporting
  5. Time stamping requirements to UTC precision
  6. Handling OTC vs. exchange-traded instrument data
  7. Correcting erroneous reports within 24 hours
  8. Data mapping from order entry to execution
  9. Reconciling trade data with clearing systems
  10. Validation logic to catch reporting gaps
  11. Handling cross-border trades and dual reporting
  12. Case study: Reducing republish rates at a market maker
Module 4. Pre-Trade Transparency and Market Data Systems
Explore how pre-trade transparency rules affect data availability and collection, including requirements for quotes, order books, and liquidity data under different trading venues.
12 chapters in this module
  1. Defining liquid instruments under MiFID II
  2. LIS determination process and data requirements
  3. Order book depth reporting obligations
  4. Data handling for request-to-quote (RTQ) systems
  5. Trading venue classification: MTF, OTF, SEF
  6. Transparency waivers and their data impact
  7. Publication frequency for quotes and orders
  8. Dealing with dark pool data aggregation
  9. Instrument reference data from approved sources
  10. Monitoring for data completeness in pre-trade feeds
  11. Integrating transparency data into compliance dashboards
  12. Case study: Pre-trade reporting at a multi-venue broker
Module 5. Post-Trade Transparency and Delayed Publication
Detail the requirements for post-trade transparency, including publication mechanisms, delay protocols, and how data systems must handle large-in-size and large-in-scale trades.
12 chapters in this module
  1. Post-trade publication timing requirements
  2. Delayed reporting for large-in-size trades
  3. Calculating LIS thresholds dynamically
  4. Applying waivers for market abuse mitigation
  5. Data formats for public dissemination
  6. Handling intraday trading data bursts
  7. Reconciliation with time-averaged price reports
  8. Data retention for post-trade public records
  9. Integration with trade repositories
  10. Managing manual overrides with audit trails
  11. Real-time validation of publication datasets
  12. Case study: Post-trade data pipeline at a sell-side firm
Module 6. Algorithmic and High-Frequency Trading Controls
Address specific data and governance requirements for firms using algorithmic trading, including kill switches, latency monitoring, and pre-trade risk controls.
12 chapters in this module
  1. Defining algorithmic trading under MiFID II
  2. Pre-trade risk checks for automated systems
  3. Kill switch implementation and testing logs
  4. Latency measurement and reporting standards
  5. Market-making exemptions and data obligations
  6. Monitoring for quote stuffing and layering
  7. Data feeds for algo strategy backtesting
  8. Recordkeeping for model parameters and updates
  9. System resilience testing for trading algorithms
  10. Notification process for new algo deployment
  11. Data segregation for HFT vs. manual trading
  12. Case study: Regulatory review of an HFT platform
Module 7. Clock Synchronization and Timestamping Accuracy
Ensure data systems meet MiFID II's strict clock synchronization standards, critical for establishing event order and proving compliance during audits.
12 chapters in this module
  1. UTC precision requirement to one millisecond
  2. Clock source validation and traceability
  3. Network latency impact on timestamping
  4. Testing synchronization across distributed systems
  5. Hardware vs. software timestamping trade-offs
  6. Audit trail for clock adjustments and drift
  7. GPS and atomic clock reference standards
  8. Documentation for regulator inspection
  9. Handling daylight saving time changes
  10. Synchronization in cloud-hosted environments
  11. Reconciling timestamps across data sources
  12. Case study: Clock audit at a global trading desk
Module 8. Data Access and Third-Party Vendor Management
Manage external vendor relationships with confidence by understanding MiFID II's data access, audit rights, and accountability expectations.
12 chapters in this module
  1. Vendor SLAs for regulatory data availability
  2. Audit rights in vendor contracts
  3. Subprocessor disclosure requirements
  4. Data localization and cross-border transfer rules
  5. Vendor risk assessment for compliance functions
  6. Standardized data formats from external sources
  7. API design for compliance reporting
  8. Incident escalation paths with vendors
  9. Maintaining independence in outsourced functions
  10. Documentation for vendor review cycles
  11. Case study: Vendor audit triggered by regulator
  12. Negotiating contract terms with data vendors
Module 9. Compliance Monitoring and Internal Reporting
Design internal dashboards and alerts that proactively monitor MiFID II compliance, reduce manual oversight, and provide leadership with timely insights.
12 chapters in this module
  1. Key compliance metrics for executive review
  2. Automated gap detection in trade reporting
  3. Dashboard design for compliance officers
  4. Alert thresholds for data quality slippage
  5. Monthly internal review cadence
  6. Exception handling and resolution tracking
  7. Integrating transaction monitoring with AML systems
  8. Reporting on republish rates and error trends
  9. Audit readiness checklists
  10. Training materials for data stewards
  11. Documenting process changes
  12. Case study: Internal compliance automation
Module 10. Regulator Engagement and Audit Preparation
Prepare effectively for regulatory reviews by organizing data artefacts, documentation, and stakeholder coordination in line with ESMA expectations.
12 chapters in this module
  1. Common ESMA inspection focus areas
  2. Documenting data lineage for auditors
  3. Preparing for transaction reporting audits
  4. Responding to regulator inquiries within deadlines
  5. Organizing data artefacts for review
  6. Role of internal audit in MiFID II
  7. External auditor coordination points
  8. Gap analysis prior to inspection
  9. Corrective action planning
  10. Reviewing past enforcement actions
  11. Communication protocols during audits
  12. Case study: ESMA review at a UK investment firm
Module 11. Cross-Border Data Flows and Jurisdictional Alignment
Navigate MiFID II's application across EU and EEA jurisdictions, including equivalence decisions, passporting rules, and national regulator expectations.
12 chapters in this module
  1. Understanding passporting rights
  2. UK FCA and MiFID II post-Brexit
  3. Equivalence frameworks for non-EU firms
  4. National regulators and national competent authorities
  5. Reporting differences between EU and UK regimes
  6. Handling dual-regulatory obligations
  7. Data localization debates
  8. ESMA Q&As and guidance tracking
  9. Impact of Brexit on data routing
  10. Client categorization across borders
  11. Legal entity data management
  12. Case study: Cross-border reporting for a global client
Module 12. Future-Proofing MiFID II Compliance
Stay ahead of evolving requirements by tracking ESMA guidance, MiFID III anticipation, and regulatory technology trends shaping next-generation compliance.
12 chapters in this module
  1. Tracking ESMA public consultations
  2. Analyzing regulatory technical standards updates
  3. Anticipating MiFID III changes
  4. AI and machine learning in compliance monitoring
  5. RegTech adoption patterns
  6. Data standardization trends
  7. Interoperability with other regulatory regimes
  8. Sustainability reporting intersections
  9. Cloud-native compliance architectures
  10. Preparing for regulatory stress tests
  11. Building a MiFID II knowledge transfer plan
  12. Creating a living compliance playbook

How this maps to your situation

  • When transaction reporting scope changes
  • During vendor selection for data pipelines
  • Preparing for internal audit cycles
  • Responding to regulator inquiries

Before vs. after

Before
Relied on ad-hoc coordination with compliance and trading teams, often reacting to reporting gaps
After
Proactively aligns data governance with MiFID II, leading cross-functional sessions and shaping data strategy across business units

What's included with your purchase

  • 12 modules with 12 chapters each (144 chapters total)
  • Downloadable templates and worked examples for every module
  • Hand-built implementation playbook delivered alongside course access
  • 30-day money-back guarantee

Delivery and format

  • Course and learning environment access provisioned within 24 hours of purchase
  • Hand-built implementation playbook delivered alongside course access

Format: Text-based modules and chapters in the Art of Service learning environment, plus downloadable templates and worked examples for every chapter, plus the hand-built implementation playbook delivered alongside course access.

Time investment: Approximately 6, 8 hours total, designed for completion in short sessions over 2, 3 weeks.

How this compares to the alternatives

Unlike generic MiFID II overviews, this course delivers actionable data governance frameworks used by leading financial institutions to achieve audit-ready compliance without rework.

Frequently asked

How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Is the content relevant outside the EU?
Yes, global firms serving EU clients or operating in EU markets must comply, and many non-EU regulators reference MiFID II standards.
$199 one-time. Approximately 6, 8 hours total, designed for completion in short sessions over 2, 3 weeks..

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.

30-day money-back guarantee· 144 chapters· Hand-built playbook included· Account access within 24 hours
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