Skip to content
+1 516.935.0923 consult@gfmi.com My Cart
GFMI logo
  • About Us
    • Our Story
    • Our Team
    • Our Clients
    • Strategic Alliance
    • Our Associations
  • Services
    • Virtual Instructor Led Seminars
    • Training Needs Analysis
    • Custom Built Training
    • Subject Matter Experts
  • Training Courses
    • Virtual Instructor Led Seminars
    • Alternative Investments
    • Asset Liability Management
    • Capital Markets
    • Commodities
    • Corporate Finance Course
    • Credit and Credit Analysis Course
    • Credit Derivatives
    • Derivatives
    • Digital Assets
    • Economics
    • Equities
    • Financial Statement Analysis Accounting
    • Fixed Income Courses
    • Foreign Exchange
    • Insurance
    • Municipals
    • Mutual Funds and ETFs
    • Operations
    • Portfolio Management
    • Quantitative Methods and Excel
    • Regulation and Compliance
    • Risk Management
    • Securities Lending — Repurchase Agreements
    • Securitization and Structured Finance
    • Structured Products
    • Wealth Management
  • Training Methods
    • Classroom Training
    • Virtual Instructor-Led Training (VILT)
    • Online Learning — eLearning
    • Financial Simulation
    • Blended Learning
  • Insights
    • eNews
    • Articles
    • Glossary
    • Blog
    • Case Studies
  • Contact us
DOWNLOAD OUR FULL COURSE LIST
Global Financial Markets Institute»Beyond the Trade Lifecycle – Operations Uncovered

Beyond the Trade Lifecycle – Operations Uncovered

This one-day program provides an overview of critical areas in Operations that support stock record, margin, securities lending and corporate actions. The assumption is that the participant has already taken the Lifecycle of a Trade course, which covers confirmation, clearance and settlement. Process flows that support these functional areas are a major focus of the program, but attention is also given to potential gaps and exposures that present operational risk. For example, the mishandling of corporate action events costs the industry millions of dollars each year in the form of direct losses because of operational errors, as well as sub-optimal trading decisions. This can result in a negative financial impact for investors and the service providers, whether brokers or custodians. Securities lending transactions and repo activity are discussed, not only in light of revenue generated, but also, identifying what can go wrong. Reg T margin is another important component of operations and this program provides an overview of how this activity is managed by the Broker/Dealer. Interdependencies in operations among entities such as investment managers, custodians, clearing houses and depositories are evaluated in light of recent trends in industry automation. Besides providing an overview of how these businesses are normally supported, the program content promotes discussion of real-life “war stories” that provide examples of how these events, if not properly managed and reported, can have a negative impact on broker/dealers, investors, custodians, and the financial markets.

Course Objectives

By the end of the course, participants will be able to:

  • Identify mission-critical functions within the Operations area that support Stock Record, Securities Lending, Margin Lending, and Corporate Actions
  • Compare the roles of broker/dealers, clearing firms, prime brokers and custodians and their interdependencies in supporting these areas
  • Describe the events and processes that occur because of both mandatory and voluntary Corporate Actions, such as mergers and acquisitions and tender offers
  • Evaluate the importance of how a stock record is used to demonstrate possession and control of both firm and client assets
  • Distinguish the areas of operational support needed for Reg T Margin processing
  • Analyze the process flows related to both stock loan and repo and the associated risks

Suggested Prerequisites:

  • Lifecycle of a Trade or equivalent knowledge

Program Level:Foundational

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 7

Find out how we can help your organization.

  • About Us
    • Our Clients
    • Our Story
    • Our Team
    • Our Associations
    • Strategic Alliance
  • Insights
    • Newsletter
    • Articles
    • Glossary
    • Blog
    • Case Studies
  • Services
    • Virtual Instructor Led Seminars
    • Training Needs Analysis
    • Custom Built Training
    • Subject Matter Experts
  • Training Methods
    • Classroom Training
    • Online Learning — eLearning
    • Virtual Instructor-Led Training (VILT)
    • Financial Simulation
    • Blended Learning
  • Training Courses
    • Virtual Instructor Led Seminars
    • Alternative Investments
    • Asset Liability Management
    • Capital Markets
    • Commodities
    • Corporate Finance
    • Credit and Credit Analysis
    • Credit Derivatives
    • Derivatives
    • Digital Assets
    • Economics
    • Equities
    • Financial Statement Analysis and Accounting
    • Fixed Income
  • Foreign Exchange
  • Insurance
  • Municipals
  • Mutual Funds and ETFs
  • Operations
  • Portfolio Management
  • Quantitative Methods and Excel
  • Regulation and Compliance
  • Risk Management
  • Securities Lending — Repurchase Agreements
  • Securitization Course – Structured Finance
  • Structured Products
  • Wealth Management
SIGN UP FOR OUR NEWSLETTER

Connect with us

Ⓒ 2018 Copyright Global Financial Markets Institute.

Powered by Power On Marketing

Privacy Policy

  • About Us
    ▼
    • Our Story
    • Our Team
    • Our Clients
    • Strategic Alliance
    • Our Associations
  • Services
    ▼
    • Virtual Instructor Led Seminars
    • Training Needs Analysis
    • Custom Built Training
    • Subject Matter Experts
  • Training Courses
    ▼
    • Virtual Instructor Led Seminars
    • Alternative Investments
    • Asset Liability Management
    • Capital Markets
    • Commodities
    • Corporate Finance Course
    • Credit and Credit Analysis Course
    • Credit Derivatives
    • Derivatives
    • Digital Assets
    • Economics
    • Equities
    • Financial Statement Analysis Accounting
    • Fixed Income Courses
    • Foreign Exchange
    • Insurance
    • Municipals
    • Mutual Funds and ETFs
    • Operations
    • Portfolio Management
    • Quantitative Methods and Excel
    • Regulation and Compliance
    • Risk Management
    • Securities Lending — Repurchase Agreements
    • Securitization and Structured Finance
    • Structured Products
    • Wealth Management
  • Training Methods
    ▼
    • Classroom Training
    • Virtual Instructor-Led Training (VILT)
    • Online Learning — eLearning
    • Financial Simulation
    • Blended Learning
  • Insights
    ▼
    • eNews
    • Articles
    • Glossary
    • Blog
    • Case Studies
  • Contact us