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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
International Issues
 
International Securities Operations
International Portfolio Accounting: Basic Level
International Portfolio Accounting: Intermediate Level
Withholding Tax Relief Worldwide
Foreign Currency: Markets, Clearance, Settlement & Accounting
Internet and Technologies
 
Information Security for Banking & Brokerage Professionals
XML and STP - The Trading Life Cycle in a T+1 Environment
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
Portfolio Management
 
Portfolio Management
Securities Analysis
Managing Risk
 
Risk in a Global Market - Management and Operational Challenges in 2010
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
Financial Reform 2010 - 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, Risks and Rewards: Basic Level
Equity Options: Strategies, Risks and Rewards: Intermediate Level
Mutual Funds
 
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Securities Industry Principles
Available Dates:
Course Code: 112
Duration: 1 day
Level: Basic
Fee: $795.00
CPE Credits: 7
Prerequisite: No Prerequisite Required.

All professional managers in the Securities Business cannot operate successfully unless they have mastered several sets of principles, which will help them in making timely, correct decisions. We will review and provide real life examples of the application of these principles. Among the principles that will be covered in one hour segments are:

The Principles of Effective Expense Control

The Principles of Managerial Accounting and Control

Principles of Operation Excellence--Metrics, Standards, Exception Focus

The Pivotal Role of Truthfulness and Honesty in Business- Leading by Example

Principles of Systems Output Design ? Building Better Product

Risk Awareness?Historical Problems/ Current Challenges

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