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Introduction to the Securities Industry
 
How the Securities Industry Works
Introduction to U.S. Securities Processing
Introduction to Buy Side Securities Processing
Straight Through Processing (STP)
Fundamentals of Securities Income
Securities Industry Principles
Introduction to Investment Management
Securities Lending and Borrowing : An Operations Perspective
Securities Industry Basics and Trends
International Issues
 
International Securities Operations
International Portfolio Accounting: Basic Level
International Portfolio Accounting: Intermediate Level
Withholding Tax Relief Worldwide
Foreign Currency: Markets, Clearance, Settlement & Accounting
Internet and Technologies
 
Information Security for Banking & Brokerage Professionals
XML and STP - The Trading Life Cycle in a T+1 Environment
Corporate Actions
 
Corporate Actions Processing: Basic Level
Corporate Actions Processing: Advanced Level
Global Corporate Actions Processing: Basic Level
Global Corporate Actions Processing: Advanced Level
Capital Markets
 
Capital Markets Overview
Capital Market Economics
Portfolio Management
 
Portfolio Management
Securities Analysis
Managing Risk
 
Risk in a Global Market - Management and Operational Challenges in 2009
Managing Operational Risk
Understanding and Managing Classic and Systemic Risks
Financial Management
 
Introduction to Supervision for Financial Services Professionals
Challenges in Supervision for Financial Services Professionals
Client Service and Building Client Loyalty for Financial Service Professionals
Introduction to Management for Financial Services Professionals
Financial Accounting and Financial Mathematics
Financial Statement Analysis
Fixed Income Securities
 
Bond Math: Mathematics of the Fixed Income Market
Fixed Income Trading and Processing
Structured Securities: MBS, ABS, CDOs
Introduction to Fixed Income Products
Accounting for Fixed Income Securities and Derivatives
Mortgage-Backed Securities
Collateralized Debt Obligations and Credit Default Swaps (CDOs and CDS)
Accounting, Regulatory & Management
 
Brokerage Accounting and Regulations
Stock Brokerage Accounting & Securities Regulations
Introduction to Margin
Introduction to Private Equity Markets
Blitz Accounting
IT Project Management for Financial Services Professionals
Derivatives
 
Introduction to Derivative Products
Derivatives: Markets, Operations, Accounting & Control
Derivatives and Hedge Accounting
Interest Rate Futures and Swaps
Introduction to Options: Products, Trading & Processing
Swaps Processing
Equity Options: Strategies, Accounting & Operations
Mutual Funds
 
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Information Security for Banking & Brokerage Professionals
Available Dates:
Course Code: 302
Duration: 1 day
Level: Basic
Fee: $795.00
CPE Credits: 7
Prerequisite: No Prerequisite Required.

Participants will learn to identify the components of an overall security program and to distinguish risk factors relating to the Internet and the financial services industry. They review a checklist of procedures and protocols used to reduce online security risks, and explore regulatory issues that will govern financial transactions over the Internet

The Six Basics of Information Security

Different Risks and their Impact

Certificate Authorities

Digital Signatures

Encryption and Message Security

Public Key Infrastructure (PKI)

Types of Security Risks, including:

  •   Data destruction
  •   Interference and rerouting
  •   Repudiation
  •   Distributed denial of service
  •   Trojan horse
  •   Worms, viruses

Methods of Authentication

  •   Biometrics and Smart Cards

Protecting from the Outside

  •   Firewalls, Intrusion Detection and Other Safeguards

Protecting on the Inside

  •   Enterprise security management
  •   Monitoring, Logging, Reporting and Auditing

Wireless, "pervasive" IP

Applications to Trading

Applications to Corporate Actions

Applications to Processing

Privacy versus Security

The post-September 11 Environment

Legal Issues and Implications

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