Course Code: 307

Duration: 1 day

Level: Basic

Fee: $795.00

CPE Credits: 7

Prerequisite: No Prerequisite Required.

This one-day class is based on 20 years of success in fixing, designing or replacing systems in capital markets, clearance, custody and asset management areas. The observations are based on principles and have universal applicability.

The IT area has a number of planning and reporting techniques which are applicable to all large-scale projects.  These coordinating tools and timelines fix task responsibility and are useful and necessary to control the coding and testing of large-scale projects (these IT techniques are NOT covered in this course). 

Suggestions for improving systems outcomes based on the practical experience of an operations and financial general manager trying to improve IT outcomes will be discussed (a pragmatist's guide to improving systems project outcomes).

Topics for Discussion Include:

Define the problem or opportunity upfront

Get Early Metrics or Estimates of Current Upfront Situation

Define Likely Path to Solution

Design Key Management Summary Reports

Intangibles for Success

Risk Considerations in Systems Design

CSI - Case Studies Selectively Reviewed

Summary and Questions

Observations on Securities Processing:

• Eyeballing the Future
• Tighter Settlement Cycles
• Generic Ability to Control /Report on New/Evolving Products
• Distributive Journal
• Risk Management
• Productivity Tools
• Use of Inspector Generals/Experienced Generalists
• Strategic Considerations