SOF Home
Training
Conferences
Publications
Research & Resources
SOFORUM TV
Home > Training > Course List & Descriptions

Course List
Introduction to the Securities Industry
 
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
Collateral Management: An Operations Perspective
International Issues
 
International Securities Operations
International Portfolio Accounting
International Portfolio Accounting: Intermediate Level
Withholding Tax Relief Worldwide
Foreign Currency: Markets, Clearance, Settlement & Accounting
Foreign Exchange: Lifecyle of a Trade
Internet and Technologies
 
Information Security for Banking & Brokerage Professionals
XML and STP - The Trading Life Cycle in a T+1 Environment
Improving Systems Project Outcomes in the U.S. Securities Industry
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 - 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
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
The Dodd-Frank Wall Street Reform and Consumer Protection Act
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 and Operations
Equity Options: Strategies, Risks and Rewards: Intermediate Level
Mutual Funds
 
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Corporate Actions Processing: Advanced Level
Available Dates:
There are no dates available.
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

  About SOF | Contact Info | Privacy Policy | Cancellation Policy

  SOF Home | Training | Publications | Conferences | Research & Resources

  Copyright 2009 Securities Operations Forum, a division of The Summit Group