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CMP0997 Mastering MiFID II for Senior Compliance Leaders at Financial Institutions

$199.00
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A tailored course, built for your situation

Mastering MiFID II for Senior Compliance Leaders at Financial Institutions

A structured path to owning transaction reporting, trade surveillance, and best execution decisions independently

$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.
Spending cycles reconciling trade data formats or defending reporting thresholds to legal?

The situation this course is for

Regulatory clarity is increasing, but ambiguity in implementation still forces teams to escalate routine decisions, delaying compliance readiness and diluting ownership.

Who this is for

Senior compliance leader at a global financial institution managing MiFID II transaction reporting and trade oversight

Who this is not for

Entry-level analysts, external auditors, or teams focused solely on MiFID I legacy frameworks

What you walk away with

  • Own final decisions on transaction reporting scope including dark pool and OTC trade inclusion
  • Set trade surveillance alert thresholds without legal or senior review
  • Define best execution data formatting and disclosure cadence independently
  • Resolve timestamp reconciliation exceptions within compliance team workflow
  • Document decision rationale to satisfy internal and external auditors preemptively

The 12 modules (with all 144 chapters)

Module 1. Understanding ESMA’s Updated Technical Standards on Transaction Reporting
Break down the latest amendments to RTS 28 and RTS 27 with a focus on practical impact for custodial firms. Learn which fields are now mandatory, optional, or deprecated in trade submissions.
12 chapters in this module
  1. Identifying changes in RTS 28 transaction reporting obligations
  2. Mapping new algo order type classifications to internal systems
  3. Handling dark pool trade reporting under amended transparency rules
  4. Timestamp precision requirements down to the microsecond level
  5. Reconciling OTC derivatives trade reports with double volume indicators
  6. Applying amended waiver criteria for systematic internalisers
  7. Tracking changes in client order status notification fields
  8. Updating instrument classification under new ESG tagging mandates
  9. Integrating non-EU broker reporting requirements into local workflows
  10. Validating LEI and ISIN mapping accuracy in real-time feeds
  11. Adjusting for post-trade transparency thresholds after market close
  12. Documenting exceptions for delayed public dissemination scenarios
Module 2. Designing Internal Transaction Reporting Scope
Define what trades enter the reporting pipeline, who owns classification, and how edge cases are escalated, ensuring consistency across desks and regions.
12 chapters in this module
  1. Establishing criteria for reportable vs exempt transactions
  2. Setting thresholds for manual vs automated submission handling
  3. Classifying systematic internaliser activity across asset classes
  4. Determining responsibility for cross-border trade tagging
  5. Incorporating client-side execution venue disclosures
  6. Handling partial fills and staggered settlement reporting
  7. Tagging proprietary trading vs client-matching activity
  8. Assigning ownership for derivative vs cash trade classification
  9. Defining scope for pre-arranged deals and riskless principal trades
  10. Managing reporting for non-deliverable forwards and swaps
  11. Clarifying treatment of tri-party repo trades under MiFID II
  12. Documenting rationale for excluding low-volume instruments
Module 3. Trade Surveillance Alert Threshold Configuration
Set calibrated thresholds for trade clustering, rapid order turnover, and size-to-volume anomalies without requiring legal or compliance council approval.
12 chapters in this module
  1. Calculating normalised volume deviation thresholds by asset class
  2. Setting velocity alerts for high-frequency order patterns
  3. Defining threshold adjustments for illiquid securities
  4. Configuring sensitivity levels for dark pool sweep detection
  5. Benchmarking alert rates against peer institution baselines
  6. Integrating market-wide volatility into threshold logic
  7. Calibrating thresholds for algorithmic trading strategies
  8. Adjusting for pre-trade quote stuffing detection
  9. Establishing escalation paths for false positive review
  10. Validating threshold effectiveness using historical trade data
  11. Updating rules quarterly based on new trading behaviour patterns
  12. Documenting calibration methodology for audit readiness
Module 4. Best Execution Reporting Framework Design
Own the structure and content of best execution reports, including data sources, frequency, and benchmarking methodology, without external review.
12 chapters in this module
  1. Selecting representative benchmark venues for execution quality
  2. Determining minimum data retention periods for reporting
  3. Choosing timeframes for periodic public disclosure
  4. Integrating non-displayed liquidity sources into analysis
  5. Weighting venue performance by trade size and instrument type
  6. Defining client-specific execution quality metrics
  7. Standardising latency measurement across trading desks
  8. Incorporating dark pool fill rate comparisons
  9. Applying FX spot trade execution benchmarks
  10. Reporting on algorithmic strategy performance
  11. Updating benchmarks semi-annually per market changes
  12. Publishing methodology appendices with each disclosure
Module 5. Exception Handling and Regulatory Inquiry Response
Resolve reporting discrepancies and regulator questions internally with documented protocols that satisfy ESMA expectations.
12 chapters in this module
  1. Categorising error types by severity and regulatory risk
  2. Establishing SLAs for internal resolution of data mismatches
  3. Documenting root cause analysis templates for audit use
  4. Preparing explanations for timestamp reconciliation gaps
  5. Responding to requests for missing or delayed reports
  6. Handling regulator follow-ups on trade clustering alerts
  7. Generating internal status updates without escalating
  8. Maintaining chain-of-custody for inquiry responses
  9. Using anonymised examples in cross-team training
  10. Archiving responses for future regulator reference
  11. Updating playbooks after each inquiry resolution
  12. Coordinating legal input only when liability is material
Module 6. Internal Audit Readiness for MiFID II Reporting
Align documentation and control mapping to support audit teams without rework or clarification loops.
12 chapters in this module
  1. Mapping transaction reporting fields to internal data sources
  2. Validating control ownership for each reporting component
  3. Creating traceability logs from trade capture to submission
  4. Demonstrating threshold calibration with historical data
  5. Documenting version history of reporting logic changes
  6. Integrating automated monitoring into audit workflows
  7. Providing sample evidence packs for common audit requests
  8. Aligning playbook content with internal auditor checklists
  9. Scheduling pre-audit walkthroughs with compliance leads
  10. Updating control documentation post-audit findings
  11. Linking trade surveillance logic to firm-wide risk framework
  12. Ensuring documentation survives team member transitions
Module 7. Cross-Functional Workflow Integration
Embed MiFID II reporting logic into trading, technology, and operations teams’ workflows without creating bottlenecks.
12 chapters in this module
  1. Aligning trade classification rules across desks
  2. Integrating order type tagging into front-end systems
  3. Synchronising timestamps across global trading locations
  4. Establishing feedback loops from reporting to trading teams
  5. Training desk heads on classifier impacts to workflows
  6. Managing change control for reporting-critical systems
  7. Integrating exception dashboards into daily operations
  8. Defining handoff points between compliance and IT
  9. Coordinating system upgrades with reporting deadlines
  10. Validating data pipelines before new instrument launches
  11. Supporting onboarding of new trading partners
  12. Maintaining compatibility across legacy and new platforms
Module 8. Data Quality Management for Regulatory Submissions
Ensure accuracy, completeness, and consistency of trade data flowing into regulatory reports with automated checks.
12 chapters in this module
  1. Validating completeness of required transaction fields
  2. Detecting missing LEI or ISIN identifiers in trade records
  3. Monitoring for duplicate or orphaned trade submissions
  4. Tracking data latency across reporting stages
  5. Setting automated alerts for format compliance failures
  6. Auditing time synchronisation across capture systems
  7. Profiling data distributions for anomaly detection
  8. Enforcing mandatory field population at point of entry
  9. Benchmarking reporting coverage against trade volume
  10. Integrating error logs into daily operational dashboards
  11. Running pre-submission validation batches
  12. Generating reconciliation reports between systems
Module 9. Technology System Configuration for MiFID II
Configure trade reporting engines, surveillance tools, and data pipelines to reflect policy decisions without developer dependency.
12 chapters in this module
  1. Configuring trade classification logic in reporting engine
  2. Setting up automated alert generation for review
  3. Integrating timestamp reconciliation modules
  4. Applying client-specific reporting rulesets
  5. Managing user access and role-based permissions
  6. Updating system dictionaries for new instrument types
  7. Scheduling automated test runs before submission
  8. Troubleshooting failed submissions with error codes
  9. Auditing system change logs for compliance tracking
  10. Integrating with external vendor reporting platforms
  11. Validating system-to-system data integrity
  12. Maintaining configuration documentation for audits
Module 10. Client Communication Strategy Under MiFID II
Develop consistent, compliant messaging around best execution and reporting practices for client-facing teams.
12 chapters in this module
  1. Crafting standard responses to client best execution queries
  2. Developing FAQs for periodic disclosure releases
  3. Training client advisors on data limitations
  4. Explaining dark pool trade reporting implications
  5. Communicating changes in reporting scope or format
  6. Handling requests for granular execution data
  7. Aligning marketing claims with actual execution quality
  8. Updating client documentation post-rule changes
  9. Managing expectations around latency metrics
  10. Responding to due diligence questionnaires
  11. Providing access to published reports securely
  12. Tracking client engagement on disclosure materials
Module 11. Scenario Planning for Regulatory Evolution
Anticipate upcoming changes in MiFID II implementation and position your team to lead revisions.
12 chapters in this module
  1. Monitoring ESMA consultation timelines and feedback
  2. Identifying potential impact of proposed RTS amendments
  3. Assessing readiness for transaction report format changes
  4. Preparing mock submissions for new field requirements
  5. Updating internal playbooks ahead of enforcement dates
  6. Engaging with trade associations on policy development
  7. Benchmarking against peer firm implementation timelines
  8. Planning resource allocation for major updates
  9. Simulating regulator stress tests on reporting systems
  10. Integrating proposed rules into training materials
  11. Building cross-functional readiness checklists
  12. Scheduling internal dry-runs before official deadlines
Module 12. Sustaining Independent Oversight Post-Implementation
Maintain control and ownership of MiFID II decisions long-term with self-reinforcing documentation and training.
12 chapters in this module
  1. Incorporating new team members into decision frameworks
  2. Updating playbooks after organisational restructuring
  3. Handling leadership transitions without control loss
  4. Preserving institutional memory through documentation
  5. Conducting peer reviews of threshold calibrations
  6. Running annual refreshers on reporting logic
  7. Integrating framework updates into onboarding
  8. Creating downloadable reference guides for stakeholders
  9. Maintaining version-controlled change logs
  10. Archiving deprecated policies securely
  11. Linking to related regulatory frameworks like MAR
  12. Ensuring framework survives external consultant turnover

How this maps to your situation

  • Quarterly regulatory update integration
  • Internal audit preparation cycle
  • Cross-functional policy alignment
  • Regulator inquiry response readiness

Before vs. after

Before
Relying on legal or senior review for transaction reporting design and trade surveillance thresholds
After
Owning final decisions on scope, thresholds, and reporting formats with documented rationale ready for audit

What's included with your purchase

  • 12 modules with 12 chapters each (144 chapters)
  • 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: 90 minutes of focused learning, designed to be completed in one session or spread across a week.

If nothing changes
Continuing to escalate routine decisions slows response time, dilutes accountability, and delays your team’s ability to set the pace on future regulatory rollouts.

How this compares to the alternatives

Unlike generic MiFID II overviews, this course delivers specific decision frameworks used by leading financial institutions to own reporting scope, surveillance thresholds, and best execution disclosures without external review.

Frequently asked

Does this course cover transaction reporting for non-equities?
Yes, the course includes detailed modules on fixed income, derivatives, and FX trade reporting under MiFID II, including instrument classification and venue mapping.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Will this help with ESMA inquiry responses?
Absolutely. Module 5 provides templates and protocols for responding to regulator questions on trade surveillance and reporting gaps.
$199 one-time. 90 minutes of focused learning, designed to be completed in one session or spread across a week..

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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