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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
Foundations of Investment Management and Buyside Operations
Available Dates:
There are no dates available.
Course Code: 116
Duration: 1 day
Level: Basic
Fee: $795.00
CPE Credits: 7
Prerequisite: No Prerequisite Required

This one-day program uncovers the foundations of the investment management business, often referred to as the "buyside" of the financial industry, and the operation and infrastructure that supports it. Program content covers the sequential chain of activity, from investment decision making by portfolio managers through the settlement, portfolio accounting and asset services provided by custodian and administrators. Current regulatory topics and industry trends will be highlighted throughout the program.

Topics for Discussion Include:

How Investment Management firms are organized

  • Types of businesses: Asset Management, Investment Advisors, Mutual Funds, Hedge Funds, Private Wealth Management
  • Front, Middle, and Back Office functions
  • Sales, types of clients, and motivations
  • Role of the portfolio manager, research providers, and trading functions
  • Regulatory and Compliance Issues

    Portfolio Management and Trading Activity

  • How asset allocation is determined
  • Types of investment Management strategies
  • Research providers
  • Differences between '40 fund managers and hedge funds
  • Interaction between the buyside of the industry and broker/dealers during the trading process
  • Access for the investment managers to equity, fixed income, and derivative markets
  • The search for liquidity

 Post-execution Trade Processing

  • Trade Allocations
  • How trades and confirmed/affirmed in matched after the trade is executed
  • Interaction among the investment manager, the broker/dealer and the custodian
  • Areas of operational risk and suggested control functions
  • Transfer Agents and Mutual Funds   

Custody and Safekeeping

  • Role of the custodian
  • Fund administrators and the support they provide
  • Hedge funds and prime broker relationships
  • Collateral Management
  • Asset Services including income processing and corporate actions
  • Regulatory impact of the Dodd-Frank Act, EMIR, and MiFID to the investment management industry

Overview of Portfolio and Customer Accounting

  • At a high level, understand the functions of both investment and portfolio accounting
  • Discuss the information and its sources required for both
  • Recognize what type of reporting result from investment and portfolio accounting