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Securities Operations BootCampSM

January 26 - 28, 2009
New York City, Bayard's, One Hanover Square
21 CPE Credits

Hours: 9:00 am - 4:30 pm each day; Registration/Breakfast begins at 8:30 am

This intensive seminar introduces the players and processes that constitute the "back office" of the securities and investment industries, including broker/dealers, investment managers, hedge funds, custodians and depositories. Participants will learn about the key players and how different departments support the trading and safekeeping of securities and alternative investments, both in the US and globally. Beginner to Intermediate Level

 Part One - The Key Players and Their Roles in Securities
 Operations and Processing

  • Organizations
      -- Broker/Dealers
      -- Custodians
      -- Investment Managers
      -- Industry Utilities, e.g., Depositories and Clearinghouses
      -- Stock Exchanges and Regulators

  • Departments
      -- Receive and Deliver
      -- Purchase and Sales
      -- Corporate Actions
      -- Dividends
      -- Reconciliation


 Part Two - Lifecycle of a Trade from Trade Processing to Settlement

  • Review of Asset Classes
      -- Equities
      -- Fixed Income
      -- Foreign Exchange
      -- Mutual Funds
      -- Listed Derivatives
      -- OTC Derivatives
      -- Syndicated Commercial Loans
      -- Hedge Funds, Fund of Funds

  • Order and Trade Management

  • Matching, Comparison and Confirmation

  • Clearance and Settlement

  • Stock Transfer


 Part Three - Post-Trade and Asset Servicing

  • Income Collection

  • Corporate Actions Processing

  • Securities Lending

  • Reconciliation and Exception Management

  • Reporting


 Part Four - Global Securities Services

  • Global Market Structure

  • Clearance Systems and Central CounterParties

  • Global Clearance and Settlement

  • Global Income Collection and Tax Withholding

  • Global Corporate Actions Processing

  • Global Securities Lending and Repo

  • Intro to FX


 Part Five: Current Industry Issues in Securities Operations

  • Industry Standards and Best Practices

  • The Role of Information Technology and Data Management

  • Straight Through Processing

  • Career Planning for Securities Operations

  • Securities Operations Resources

  • Industry Organizations Supporting Securities Operations

  • Regulation

  • Innovation

  • Wrap Up, Summary and Sources of Further Information

 Securities Operations BootCamp is a Registered Service Mark of FMW Media
 Holdings Inc. and Financial Markets World.
 





 
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