Course Outline
 

Course Title

  

Overview of Operations

Course Category

    Online
Target Audience  

Back office and operations personnel in banks, securities firms, trust companies, and transfer agents.
Also appropriate for compliance staff, lawyers, accountants and asset managers who require an understanding of securities clearing and settlement.

Continuing Education

  

3 MX CE Credits

Prerequistes

   Introduction to Financial Markets, or a familiarity with securities transactions involving equities, debt instruments, options and futures, and the basic features of these instruments.
Objectives   Upon completion of this course, participants will be able to:
1.List the basic functions of a securities firm.
2.List the general principles of securities regulation, and differentiate between the Canadian and the U.S. securities industry regulation.
3.Describe the roles and functions of each department within a securities firm.
4.List the types of products used by a securities firm.
5.List the types of clients that are serviced by a securities firm.
6.Identify and list the functions of the operations department.
7.List the different suppliers of operations systems.
8.Identify the various reports created by a record book system.
Subject by level  

Topics  

Section 1: Securities Firms
-  Securities Firms and Markets
-  Regulation of the Securities Industry
-  Regulation of the Canadian Securities Industry
-  Regulation of the U.S. Securities Industry
-  Member Regulation
-  Market Regulation

Section 2: Organization of a Securities Firm
-  Roles and Functions of Each Department
-  Types of Products
-  Types of Clients

Section 3: Operations Department
-  Organizational Structure of the Operations Department

Section 4: Operations Department Tools: Book of Record Systems and Reports
-  Traditional Systems Overview
-  Derivatives Systems Overview
-  Reports: Blotters and Transcripts
-  Comparing Reporting Systems Activity

Conclusion

 
Duration   This online course is equivalent to an in-class course with a duration of 3 hours. Online courses are self-paced, and the time necessary to complete each course will vary with each student
Time to comple the course   Six months (user account can be deactivated after this period)
Date   Available now
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