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Lucas & Associates

Lucas & AssociatesLucas & AssociatesLucas & Associates
Home
ABOUT
Services
Course Library
Training Curriculum
  • Financial Accounting
  • Alternative Investments
  • Banking & Regulations 1
  • Banking & Regulations 2
  • Capital Markets
  • Capital Market Operation1
  • Capital Market Operation2
  • Corp Finance Mergers & AQ
  • Derivatives 1
  • Derivatives 2
  • Crypto Currencies
  • Equities
  • Excel & Financial Model
  • Fixed Income
  • Portfolio & Wealth Mgmt.
  • Risk Management 1
  • Risk Management 2
Clientele
CONTACT
More
  • Home
  • ABOUT
  • Services
  • Course Library
  • Training Curriculum
    • Financial Accounting
    • Alternative Investments
    • Banking & Regulations 1
    • Banking & Regulations 2
    • Capital Markets
    • Capital Market Operation1
    • Capital Market Operation2
    • Corp Finance Mergers & AQ
    • Derivatives 1
    • Derivatives 2
    • Crypto Currencies
    • Equities
    • Excel & Financial Model
    • Fixed Income
    • Portfolio & Wealth Mgmt.
    • Risk Management 1
    • Risk Management 2
  • Clientele
  • CONTACT

Lucas & Associates

Lucas & AssociatesLucas & AssociatesLucas & Associates
  • Home
  • ABOUT
  • Services
  • Course Library
  • Training Curriculum
    • Financial Accounting
    • Alternative Investments
    • Banking & Regulations 1
    • Banking & Regulations 2
    • Capital Markets
    • Capital Market Operation1
    • Capital Market Operation2
    • Corp Finance Mergers & AQ
    • Derivatives 1
    • Derivatives 2
    • Crypto Currencies
    • Equities
    • Excel & Financial Model
    • Fixed Income
    • Portfolio & Wealth Mgmt.
    • Risk Management 1
    • Risk Management 2
  • Clientele
  • CONTACT

capital markets operations 2

While portfolio managers, investment bankers and traders receive most of the headlines from activity in capital markets, personnel in the middle and back offices of financial services firms play critical roles in the enabling of trading and markets in general to function smoothly and efficiently.  These inner workings can be complex and involve intricate processes.   Far from the mundane, much of this important part of capital markets is undergoing drastic changes due to financial innovation, new technology and faster transaction and settlement speeds.

Lucas and Associates offers a wide variety of courses that range from traditional capital markets topics to new ones like Block Chain and FinTech.

Big Data: Application and Risks

FinTech: Opportunity & Risks

Repurchase Agreements & Securities Lending

Equity Trade & Corporate Action Lifecyles

Life Cycle of a Financial Derivative

Treasury Management

Prime Brokerage and Prime Services

prime Brokerage and Prime Services

This one day program will focus on the business of prime brokerage and prime services, with a particular emphasis on latest market developments. The course will introduce the participant to the development and history of this business, what services it may (and may not) provide to the client, who the major participants are, what the current state of the business is and why it is so competitive.  With banks focusing on fee generating businesses, prime brokerage is a critical operation and an understanding of its role in the capital markets arena is critical to understanding how the markets currently operate.



Duration:  One day

Program Level:  Basic

Prerequisites:  There are no prerequisites


Learning Objectives

  • Describe what a prime broker does and why it exists
  • Identify other services that may be offered through a prime brokerage arrangements
  • Explain the different participants and their roles and motivations in a prime brokerage arrangement
  • Understand what makes this business so competitive and why some banks are committing more capital to it and some are dropping out
  • Describe the impact that recent regulatory changes has had on this business

outline/topics

1 Day Program

  • What are Prime Services?
  • Prime Services
    • Concierge services
    • Competitive landscape
    • Current players
    • Case Study: financial crisis
  • Stock Lending
    • What is stock lending
    • Participants
    • Rates & Specials
    • Stock lending versus Repos
  • Custodial Services
    • History
    • Custodial operations
    • Lending and financing
    • Corporate Actions
    • Processing and clearing
    • Reporting

For a detailed outline and additional information on this course or to find out about our other courses, contact us at (917) 306-7132 or MPorio@Lucasnassoc.com 

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