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Risk Management
Total risk management is the combination of all the elements of risk management into a consistent strategy...
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Training - Equity Market & Investment
Companies
Brokerage Operations:
Two days
From the placement of a trade order through final settlement,
this detailed program provides step-by-step analysis of how a
full-service broker-dealer operates. First, the role and
relationship of each back - office department related to the
transaction is explained; then the focus shifts to the
departments involved in maintaining customer accounts.
Technology staff and employees new to the securities industry
will benefit. Highlights: step-by-step transactions, order
room, purchase and sales, Cashier Department, clearing
corporations, depository functions, maintaining customer
accounts.
Day 1
Overview of Products and Participants
* Corporate Issues
* Common and Preferred shares
* Depositary Receipts
* Warrants and Rights
* Fixed and floating rate Bonds and Notes
* Commercial Paper and Commercial loans
Other issuers of Debt Instruments
* Agency issues
* Municipal Products
Bank Issued
* Bankers Acceptances and Certificate of Deposit
* Private Label - Asset Backed securities
Mutual Funds
* Open end, Closed end
* Types
* ETF
Derivative products
* Listed and Over the Counter Options
* Currency and Currency Futures
* Swaps
Hedge Funds
Participants
* Broker Dealer
* Broker
* Dealer, Market Maker, Trader
* Clearing / Non-Clearing
* Prime Brokerage
Overview of Transaction processing
* Security Master database
* Client Master database
* Trade flow
Functions of the order management system
* Workings of the market: Bid - Offer
* Types of orders: Market, Limit, Short Sale, Stop FOK, AON,
IOC
* Class exercise
Trade Processing Function
* Trade Figuration
* Comparison
* NSCC’S Netting and CNS
* Confirmation
* Introduction to the Margin Department
Day 2
Cashiering
* Receive and Deliver
* Vaulting
* Transfer
* Corporate Action
* Banking Loan
* Stock Loan/ Stock Borrow
Introduction to accounting
* Assets, Liabilities, Expense, Revenue and Net Worth
* Debit vs. Credit
* Balance Sheet vs. Profit and Loss Statement vs. Statement of
Cash Flow
Brokerage Accounting
* Securities vs. Cash
* Type of accounts
* Entry Exercise
* Flow to Stock Record /General ledger
Stock Record
* Daily Activity
* Position Record
General Ledger
* Daily Cash Listing
* Trail Balance
* Balance Sheet/ Profit and Loss Statement
Regulatory Reports
* FOCUS [a.k.a. 15c3-1]
* Customer Protection [a.k.a. 15C3-3]
Dividend and Bond Interest Processing
* Declaration Date, Ex Date, Record Date, Payable Date
* Interest accrual
Course Fees
VAT to be included at the local rate, if applicable. Costs
shown are per delegate inclusive of refreshments, lunches and
seminar materials. Cost of accommodation is not included.
GBP 2000
Certificates of Participation
Certificates of participation are remitted to course
participants upon request. |
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