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    Buyside Operational Best Practices

    March 27, 2012      June 13, 2012

    Registration Fee: US$895.00        Register      Instructor


    Many classes sell out; we suggest registering at least one week in advance to ensure availability.

    Beginner/Intermediate Level, 7 CPE Credits
    Instructor: Jerry O'Connell
    Hours: 9:00 am - 5:00 pm; Registration/Breakfast begins at 8:30 am
    Location: New York City: Bayards  

    This class focuses on best practices in buy-side operations. With faster executions, ever-increasing automation and consolidation among services providers, best practices is critical to ensure the safety of the investor community. The recent credit crisis, fraudulent scams and bankruptcies of brokers and banks has elevated the need for best practices to the top of most firms' “to do” lists. 

    The Buy-side Operational Best Practices class follows the investment process, from the investor’s perspective with two critical focuses: (1) the macro steps in the process and (2) what the buy-side firm should expect to occur from their internal operations or external service providers to ensure that the process is performed in a complete and secure manner. The purpose and/or value proposition of each step will be reviewed as well what can go wrong and how to avoid it or identify the problem early in the process. Participants will be encouraged to raise specific issues of interest to their firm and to evaluate related case studies during the class.  

    • Types of Buy-side investors 

      • Mutual funds 

      • Hedge funds 

      • Corporate treasury 

      • High-net-worth investors 

    • Portfolio management 

      • Investment strategies 

      • Portfolio management 

      • Indication of Interest 

      • Selection of the marketplace  

      • Order placement 

      • Limit or Market Orders  

    • Execution 

      • Execution Management Systems 

      • Recording the trade 

      • Allocation 

      • Affirmation of a Trade 

      • Prime Broker 

    • Settlement 

      • Role of the Custodian 

      • Payment and receipt of cash and/or the security 

      • Financing 

      • Reconciliation 

    • Asset Servicing  

      • Income collection 

      • Corporate action event processing 

      • Collateral management 

      • Securities Borrow/Loan 

      • Portfolio Valuation 

      • Reporting 

    • Regulatory 

      • Industry regulators 

      • Significant regulations 

      • Compliance