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Course List
Introduction to the Securities Industry
 
Introduction to the Securities Industry
Introduction to U.S. Securities Processing
Securities Lending and Borrowing : An Operations Perspective
Foundations of Investment Management and Buyside Operations
Dealing with Change in the Financial Markets
Collateral Management: An Operations Perspective
International Issues
 
International Securities Operations
International Portfolio Accounting
Foreign Currency: Markets, Clearance, Settlement & Accounting
Foreign Exchange: Lifecycle of a Trade
Corporate Actions
 
U.S. Domestic Corporate Actions
Global Corporate Actions
Capital Markets
 
Capital Markets Overview
Capital Market Economics - Investigating the Linkages Between the Real Economy and the Financial Markets
Portfolio Management
 
Portfolio Management
Securities Analysis
Managing Risk
 
Risk in a Global Market - Management and Operational Challenges Looking Forward
Financial Management
 
Financial Accounting and Financial Mathematics
Financial Statement Analysis
Fixed Income Securities
 
Bond Math: Mathematics of the Fixed Income Market
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)
Fixed Income Analytics
Interest Rate Swaps and Credit Default Swaps
Fixed Income Securities Trade Processing and Operations
Accounting, Regulatory & Management
 
Stock Brokerage Accounting & Securities Regulations
Introduction to Private Equity Markets
Trading After the Volcker Rule
Dodd-Frank for Non-US Derivatives Users
Complying with the MiFID II/MAR Rules
Derivatives
 
Introduction to Derivative Products
Derivatives: Markets, Operations, Accounting & Control
Derivative Products: Risk Management and Valuation
Option Valuation and Trading
Equity Derivatives: Futures and Swaps
Interest Rate Futures and Swaps
Introduction to Options: Products, Trading & Processing
Swaps Processing and Operations
Commodity Futures: Energy, Metals and Agricultural
Equity Options: Strategies, Accounting and Operations
Mutual Funds
 
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Risk in a Global Market - Management and Operational Challenges Looking Forward
Available Dates:
There are no dates available.
Course Code: 304
Duration: 1 day
Level: Management level
Fee: $795.00
CPE Credits: 7
Prerequisite: College level management training and ten years experience working in the securities industry is recommended (but not required) with senior management responsibilities.

Globalization of financial markets, changing international banking regulations, the recent credit crisis, and the complexity of financial products call for a dramatic change in risk management practices throughout the market. Yet many industry leaders remain skeptical about an institution's ability to manage risk in a depressed market.

Effective risk management practitioners must be responsible for understanding operational and performance impact of risk, theories and regulations that shape business practices.  Managers throughout organizations must be able to evaluate the effectiveness and efficiency of your organization's risk management practices and anticipate the consequences of conflicting objectives and failures in judgment and control.

 

The implications of global networks and related operational components require careful analysis and understanding of business regulations, technology vulnerabilities and work processes across the market cycles. Each wave of innovation in products, technological and societal change creates a new set of demands for financial services organizations related to risk management. To effectively mitigate risks associated with the latest wave, organizations need to make major cultural shifts.

 

This one-day seminar has been structured to examine the elements of risks from a management perspective within the securities industry. As business practices are overhauled in the wake of the banking crisis, the risk paradigms will change, and management objectives and operational practices of the past will become less effective. Participants in the workshop will examine the broad implications of risk in today's financial services organizations. Many factors come to bear. Managers at all levels of an organization must:

 

  • Understand the operational environment and the organization's role
  • Develop a common theme and dialogue for risk mitigation
  • Define the initiatives that will immediately shape organizational practices
  • Devise a framework to communicate and conduct risk practices to assure confidence among all stakeholders

This session will introduce the dimensions of risk and provide participants with practical management tools that will build risk awareness in the global market.

 

  • Business environment: where we have been and where we are going
  • Trends in business practice that change the nature of risk
  • Building a framework for evaluating exposures and risk mitigation
  • Best practices to shape risk management across and down each organizational
  • Current Risk mitigation themes in the financial industries