Investment Operations

T + 1 Implications for Operational Risk Frameworks

Course Instructor

Course Level

Intermediate

Certification

4.0 CPE Credits

Delivery

Via Zoom

Hours (EST)

12:00pm​ - 4:00pm

Description

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

Date: June 7

This 4-hour virtual program will cover the implications and challenges of T+1 settlement. Participants will examine the implications of this move and the fundamentally new strains on operations. Through the use of interactive discussions from today’s markets, the participants will have the opportunity to understand the risk management structure and controls necessary for this new environment 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. Understand the T + 1 regulatory timeline
  2. Explain the tasks now needed for T + 0
  3. Describe the roles of the various participants in trade and post-trade processing
  4. Identify Critical risk events
  5. Identify potential sources, control measure, recovery measures and potential consequences
  6. Distinguish between clearance and settlement procedures
  7. Understand the challenges of T + 1

Agenda

Introduction

  • T + 1 timeline
  • Assets and products
  • Major global markets and exchanges
  • Participants

Operational Risk Infrastructure

  • Workflow timing
  • Questions to be answered
    • How many manual interventions are currently needed
    • How much of our daily operational procedures will need to change to support a compressed timeline?
    • How is exception management addressed?
    • Which business lines will be affected by accelerated settlement?
  • T + 0 activities
    • Trade day requirements
  • Risk management
    • Identifying critical risk events
    • Preventative action
      • Identifying and quantifying sources of risk
      • Control measures
    • Corrective action
      • Recovery measures
      • Potential consequences
  • Benefits of T + 1
    • Risk mitigation
    • Capital efficiency gains
    • Reduction of margin requirements.

Technology

  • Straight-through-processing (STP)
  • Technology requirements
  • Automation
  • Current issues and solutions
    • Crypto assets

Summary and 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.

2023 Training Calendar

Training Catalogue

Course Instructor

Course Level

Intermediate

Certification

4.0 CPE Credits

Delivery

Via Zoom

Hours (EST)

12:00pm​ - 4:00pm

Description

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

Date: June 7

This 4-hour virtual program will cover the implications and challenges of T+1 settlement. Participants will examine the implications of this move and the fundamentally new strains on operations. Through the use of interactive discussions from today’s markets, the participants will have the opportunity to understand the risk management structure and controls necessary for this new environment 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. Understand the T + 1 regulatory timeline
  2. Explain the tasks now needed for T + 0
  3. Describe the roles of the various participants in trade and post-trade processing
  4. Identify Critical risk events
  5. Identify potential sources, control measure, recovery measures and potential consequences
  6. Distinguish between clearance and settlement procedures
  7. Understand the challenges of T + 1

Agenda

Introduction

  • T + 1 timeline
  • Assets and products
  • Major global markets and exchanges
  • Participants

Operational Risk Infrastructure

  • Workflow timing
  • Questions to be answered
    • How many manual interventions are currently needed
    • How much of our daily operational procedures will need to change to support a compressed timeline?
    • How is exception management addressed?
    • Which business lines will be affected by accelerated settlement?
  • T + 0 activities
    • Trade day requirements
  • Risk management
    • Identifying critical risk events
    • Preventative action
      • Identifying and quantifying sources of risk
      • Control measures
    • Corrective action
      • Recovery measures
      • Potential consequences
  • Benefits of T + 1
    • Risk mitigation
    • Capital efficiency gains
    • Reduction of margin requirements.

Technology

  • Straight-through-processing (STP)
  • Technology requirements
  • Automation
  • Current issues and solutions
    • Crypto assets

Summary and 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.

2023 Training Calendar

Training Catalogue

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