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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
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
Derivatives: Markets, Operations, Accounting & Control
Available Dates:
There are no dates available.
Course Code: 801
Duration: 1 day
Level: Basic
Fee: $795.00
CPE Credits: 6
Prerequisite: No Prerequisite Required.

Participants will learn about the various derivative instruments to better appreciate and handle operations and clearance procedures, issues and problems. Participants need not have any background in derivative products, but should be familiar with the more traditional products and securities processing.

Understanding Interest Rate and Foreign Currency Risk

  •  The Yield Curve
  •  Implied Forward Rates
  •  Maturity and Credit Segmentation
  •  Foreign Exchange Relationships
  •  Arbitrage Opportunities

Analysis of Forwards and Futures

  •  Credit Risk, Market Mechanics
  •  Forward Rate Agreements
  •  Options and Related Derivatives Products
  •  Calls, Puts
  •  Floors, Caps

Introduction to Interest Rate Swaps

  •  Origin and Growth of the Market
  •  Swap Market Operations
  •  Role of the International Swap Dealers Association (ISDA)

Collateral Required for Derivatives & Related Agreements

  •  Margin Accounts for ERISA Accounts
  •  Responsibility of the Custodian/Trustee
  •  Brokerage Customer Agreements
  •  Regulation T
  •  Escrow Receipts
  •  Guarantee Letters
  •  Other Types of Collateral

Dealer Consideration and Swap Book Management

  •  Termination Values
  •  Understanding Credit Risks
  •  Dealer Documentation & Convention
  •  Accounting Issues
  •  Market Data, Pricing, Risks