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Transaction Reporting

This Transaction Reporting training course explains the importance of transaction reports and provides employees with an understanding of when and how transaction reporting applies in their day-to-day duties.

Geography Covered: EMEA | Duration: 30 minutes

Summary

Accurate and complete transaction reporting is a key tool that regulators around the globe use to meet their objectives of maintaining market confidence and reducing financial crime. The Financial Conduct Authority (FCA) uses transaction reports to detect and investigate suspected insider trading and market manipulation.

Transaction reports are a regulatory requirement and their rules are laid out in, and governed by, the Transaction Reporting User Pack (TRUP). These rules specify the information required to be included within the report, such as details about the firm that undertook the trade, the client on whose behalf the trade was executed, the transaction characteristics, and the date and time of execution. The TRUP also provides guidelines regarding which instruments are reportable, how transaction reports are submitted, data integrity and more. Proper transaction reporting training can help to support a culture of compliance and abide by regulations such as the FCA and TRUP.

The topics covered in the course include:

  • Importance of transaction reports
  • Reportable transactions
  • Content of transaction reports
  • Data integrity
  • Transaction reporting scenarios
    • Transaction Reporting (UK and Europe)
  • Like with all our courses, the Transcation Reporting training course was written by experts and powered by world-leading regulatory intelligence, which tracks more than 900 regulators and exchanges globally to ensure the course content is always up to date.

    All our training courses are driven by practical examples and interactive scenarios to ensure users truly understand and recognize the issues of most importance to your business and learn to instinctively act to support them.

    We employ instructional design techniques optimized for risk and compliance training, enabling your business to educate in a way that reduces risk and helps you build a culture of integrity and compliance.

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