Investment Operations

Global Securities Trade Lifecycle

Categories Introductory, Operations

Course Instructor

Course Level

Beginner

Certification

Certificate

Delivery

Via Zoom

Hours (EST)

8:30 am - 12:30 pm​

Description

*This course can be offered upon request and can be customized to fit your team’s needs.

Date: May 29

This virtual program will cover the lifecycle of a global trade across assets classes and products.  Participants will track a transaction from the point in which a trade order is sent (including pre trade requirements) through execution, pre-settlement, asset servicing and regulatory compliance.  A distinction will be drawn between assets and products that are traded globally as opposed to domestically.  Through the use of interactive discussions and exercises drawn from today’s markets, the participants will have the opportunity to understand and internalize critical concepts as they progress through the program.  The course will focus on the practical application of knowledge and will enable the participants to use what they have learned immediately.

Learning Objectives

  1. Explain how different hedge funds strategies influence operational considerations
  2. Discuss regulatory issues that influence hedge fund operations
  3. Describe the roles of the various participants in trade and post-trade processing
  4. Distinguish between clearance and settlement procedures
  5. Understand the various functions of Capstone
  6. Understand the regulatory environment

Agenda

Introduction

  • Global assets
  • Financial products
  • Major global markets and exchanges
  • Participants

Global Trading

  • Basel guidelines
  • Major market regulations
    • Dodd Frank
    • EMIR
    • MiFid
    • Other
  • Emerging markets
  • Role of technology

Global Clearing and Settlements

  • Global trade flowchart
    • Pre trade
    • Execution
    • Trade capture
    • Clearing
      • Confirmations
      • Validation
      • Matching
      • Affirmations
    • Settlement
      • Fails
      • Post trade actions
      • Servicing
  • Roles
    • Front office
    • Mid office
    • Operations
  • Global custodians
  • Current issues and challenges

Summary & Questions

In-House Training

Custom Training can help you achieve your corporate training goals while staying on budget and focusing the content on the needs of your group. Email your questions regarding corporate training to training@investmentoperations.net.

2024 Training Calendar

Training Catalogue

Course Instructor

Course Level

Beginner

Certification

Certificate

Delivery

Via Zoom

Hours (EST)

8:30 am - 12:30 pm​

Description

*This course can be offered upon request and can be customized to fit your team’s needs.

Date: May 29

This virtual program will cover the lifecycle of a global trade across assets classes and products.  Participants will track a transaction from the point in which a trade order is sent (including pre trade requirements) through execution, pre-settlement, asset servicing and regulatory compliance.  A distinction will be drawn between assets and products that are traded globally as opposed to domestically.  Through the use of interactive discussions and exercises drawn from today’s markets, the participants will have the opportunity to understand and internalize critical concepts as they progress through the program.  The course will focus on the practical application of knowledge and will enable the participants to use what they have learned immediately.

Learning Objectives

  1. Explain how different hedge funds strategies influence operational considerations
  2. Discuss regulatory issues that influence hedge fund operations
  3. Describe the roles of the various participants in trade and post-trade processing
  4. Distinguish between clearance and settlement procedures
  5. Understand the various functions of Capstone
  6. Understand the regulatory environment

Agenda

Introduction

  • Global assets
  • Financial products
  • Major global markets and exchanges
  • Participants

Global Trading

  • Basel guidelines
  • Major market regulations
    • Dodd Frank
    • EMIR
    • MiFid
    • Other
  • Emerging markets
  • Role of technology

Global Clearing and Settlements

  • Global trade flowchart
    • Pre trade
    • Execution
    • Trade capture
    • Clearing
      • Confirmations
      • Validation
      • Matching
      • Affirmations
    • Settlement
      • Fails
      • Post trade actions
      • Servicing
  • Roles
    • Front office
    • Mid office
    • Operations
  • Global custodians
  • Current issues and challenges

Summary & Questions

In-House Training

Custom Training can help you achieve your corporate training goals while staying on budget and focusing the content on the needs of your group. Email your questions regarding corporate training to training@investmentoperations.net.

2024 Training Calendar

Training Catalogue

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