Available Dates:
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| Course Code: 402 |
| Duration: 1 day |
| Level: Advanced |
| Fee: $795.00 |
| CPE Credits: 7 |
| Prerequisite: No Prerequisite Required. |
Upon completing this seminar, participants will be able to recognize potential breakdowns in a corporate action process flow, and develop controls and procedures that can improve the overall work flow while limiting exposure. Principles of corporate actions processing and today's standard industry practices will be examined to ensure an understanding of regulatory and compliance issues, audit check points, capital change awareness and protection for the firm and client.
Liabilities and Exposure Issues; Information Services and Use
- Vendors
- Depositories
- Exchanges
- Clearing Agencies
Lottery Requirements
- Call Bonds
- Account Processing
Regulatory Issues
- Exchange Rules
- Audit Points
- Ensuring Compliance to Regulatory Issues
Interactions between DTCC and the Exchanges
Exception Processing
System Benefits
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