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Understanding the Securities Industry Seminar
focusing on
Business and Systems Challenges for Global Trading, Investment Management, Custody & Securities Processing and Securities Accounting.
 THE PROGRAM
Understanding the Securities Industry does not come easily. It is a very large and complex market where securities worth several billions of dollars are traded and settled every day.
- What are securities?
- Who are the players in the market and what are their roles?
- What are the key business and technology challenges for the new millennium?
UNDERSTANDING THE SECURITIES INDUSTRY is a training seminar based on an international securities industry model designed to help answer these and other questions in a succinct modular format. The seminar presents an overview of the various security products and a model of market participants and their roles. Within this model, business and systems requirements for international trading & investment management, custody, securities accounting, and securities processing are described for organizations such as:
- Banks
- Brokers
- Insurance Companies
- Mutual Funds
- Investment Managers
- Domestic & Global Custodians
Seminar Contents
Day One Morning
1.0 SECURITY TYPES
1.1 Equities
1.2 Debt
1.3 Money Markets
1.4 Mortgage & Asset Backeds
1.5 Derivatives (Futures, Options, CMOs, Swaps)
1.6 Non-US Securities & Foreign Exchange
Day One - Afternoon
2.0 SECURITIES MARKET MODEL
2.1 Issuers
2.2 Underwriters
2.3 Investment Managers
2.4 Brokers
2.5 Exchanges & OTC Markets
2.6 Clearing and Depository Organizations
2.7 Domestic & Global Custodians
3.0 INVESTMENT MANAGERS
4.0 PORTFOLIO MANAGEMENT
4.1 Research & Analytics
4.2 Investment Decision Making
4.3 Trading & Compliance
4.4 Funds Management
4.5 Performance Management
4.6 Risk Management
Day Two - Morning
5.0 CUSTODY & SECURITIES OPERATIONS
5.1 Trade Settlement
5.2 Cash Processing
5.3 SMF and Pricing
5.4 Corporate Actions
5.5 Securities Lending
5.6 Sub-Custodian Networks
6.0 SECURITIES ACCOUNTING
6.1 Gain/Losses
6.2 Income & Expense Accruals
6.3 Amortization & Accretion
6.4 Multi-currency Accounting
6.5 Fund Accounting & NAVs
6.6 Investment Ledgers
Day Two - Afternoon
7.0 MILLENNIUM CHALLENGES
7.1 Mergers & Acquisitions
7.2 Global Markets
7.3 Decimalization
7.4 After Hours Trading
7.5 T+1 Settlement
7.6 Straight Through Processing
"Bridging the gap" between business and technology
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