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Global Financial Markets Institute»Securities Lending and Borrowing – An Operations Perspective

Securities Lending and Borrowing – An Operations Perspective

This one-day course provides a “behind-the-scenes” perspective of a business that has experienced record levels of growth, producing a critical source of revenue for both the buy-side and the sell-side of financial industry. It is intended for an audience who is interested in receiving an overview of the securities lending business, including the motivation of participants, the lifecycle of a securities lending transaction, and resulting risks.

The main types of securities lending transaction activity will be covered, including stock borrow/loan, repo/reverse repo, tri-parties, buy/sell backs, and dollar rolls. Participants will gain perspective on the historical evolution of this market, its place in the international financial markets today, as well as regulatory considerations, both for the US markets and abroad.

The role of institutions, investment managers, bank broker/dealers, custodians, prime brokers and industry organizations such as clearing houses and centralized securities depositories will be examined. The program will also provide insight into the “Lessons Learned” from the recent global financial crisis, and trends in the securities lending business in the post-Lehman era.

Course Objectives

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

  • Discuss the securities lending market including:
    • Identifying participants and their different motivations
    • Explaining reasons for borrowing/lending
  • Recognize and comprehend the different types of securities lending transactions
  • Explain the lifecycle of a securities lending transaction
  • Review and assess collateral management
  • Identify and discuss risk management and regulatory considerations
    • Review applicable case studies

Suggested Prerequisites:

  • Fundamentals of the Capital Markets / Securities Industry
  • Equity Markets
  • Fixed Income or equivalent knowledge

Program Level:Foundational

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 7

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  • Securities Lending — Repurchase Agreements
  • Securitization Course – Structured Finance
  • Structured Products
  • Wealth Management
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  • 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
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