CAPITAL MARKETS OPERATIONS

The pace of technological development in the financial services sector has created an industry that is on a constant path of evolution. From a changing opportunity set, to unanticipated risks, banks and other financial companies are using data to better understand themselves and the developing marketplace. This one day course will examine how data is collected, how it is used and what affect big data has on the financial services industry.  Using examples, exercises and a case study, the participant will receive a thorough introduction into the industry’s current condition.

Duration:  One day

Program Level:  Basic

Prerequisites:  There are no prerequisites

Even in its infancy, Financial Technology (FinTech) has already had an impact on many facets of the financial services industry. Although a relatively new phenomenon, Fintech is rapidly becoming an indispensable tool for many business lines.  Fintech is all about disruption, transformation and innovation and will continue to change the way the financial world operates. This one day course will explore how Fintech has developed, the current marketplace and its many uses.  Participants will learn what Fintech encompasses, who the participants are and what the advantages and disadvantages are that come with progress.

Duration:  One day

Program Level:  Basic

Prerequisites:  There are no prerequisites

Repurchase agreements (repos) and securities lending have long been central activities in the broker/dealer universe.  This one-day course demystifies both the mechanics and economics of these related activities.  Explained from the perspective of both the broker/dealer and the external client, course participants will learn how practitioners benefit from these types of secured financing.

Duration:  One day

Program Level:  Basic

Prerequisites:  There are no prerequisites

This one-day class provides participants with a thorough understanding of the activities that underpin post-trade processing.   The course will identify the main participants in post-trade processing and walk through the key steps and risks involved in the transfer and settlement of equities.

The remainder of the program will give an overview of corporate actions which involve more complex settlement procedures that require extensive manual processing.  This section will detail how event information is collected and describe the validation processes at each step in the life cycle of a corporate action. Various real-world examples will highlight the extent to which different securities from the same issuer are impacted from one or a series of corporate actions.

Duration:  One day

Program Level:  Basic

Prerequisites:  There are no prerequisites

Derivatives have become critical financial instruments for both the corporate end-user and the investing professional.  Yet, key legal and operational risks in the global use of financial derivatives remain a mystery, even to many practitioners in this rapidly growing global industry. Transacting derivatives is detailed and document intensive. The architecture of derivatives’ front, middle, and back office functions can present numerous challenges to both on-site and off-site bank examiners, auditors, and compliance professionals. These professionals require specialized and routinely upgraded supervisory skills to meet their demanding objectives.

Duration:  One day

Program Level:  Basic

Prerequisites:  There are no prerequisites

This introductory course will provide participants with an in-depth examination of what a modern treasury does and how it functions. In this highly interactive program, participants will gain an understanding of corporate funding, cash management and asset liability management.  Risk management is also a crucial component of the modern treasury and techniques to mitigate operational, reputational and market risk (such as FX risk and interest rate risk) will studied.

At larger treasury operations, active participation in the capital markets is also a function of the treasury and this responsibility will be addressed through the use of in-class exercises and role play.   An examination of the current treasury in light of recent scandals, changes in technology and regulations will complete this class.

Duration:  One day

Program Level:  Basic

Prerequisites:  There are no prerequisites