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Instructor: Phil Sindel, Director, Olmstead Associates, Inc. (Bio)
Level: Entry Level, Intermediate Level
Dates: July 16-17, 2012
Time: Two Days, 8:30 a.m. - 5:00 p.m.
This two-day seminar is tailored to individuals looking to better understand the securities industry and how it works. The course covers a description of securities types, the players and their role in the securities marketplace, important concepts related to business functions and current industry challenges.
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1.0 SECURITY TYPES |
| 1.1 Equities |
| 1.2 Debt |
| 1.3 Money Markets |
| 1.4 Mortgage Backeds |
| 1.5 Asset Backeds |
| 1.6 Derivatives (Futures, Options,CMOs, Swaps) |
| 1.7 Non-US Securities |
| 1.8 Foreign Exchange |
| 1.9 Mutual Funds |
| 2.0 SECURITIES MARKET MODEL |
| 2.1 Issuers |
| 2.2 Underwriters |
| 2.3 Investment Managers |
| 2.4 Brokers |
| 2.5 Exchanges & OTC |
| 2.6 Clearing/Depository Organizations |
| 2.7 Custody Banks |
| 2.8 Global Custodians |
| 3.0 INVESTMENT MANAGERS |
| 3.1 Trust Banks |
| 3.2 Broker Asset Management |
| 3.3 Insurance Companies |
| 3.4 Mutual Fund Companies |
| 3.5 Investment Advisors |
| 4.0 PORTFOLIO MANAGEMENT AND TRADING |
| 4.1 Research |
| 4.2 Analytics |
| 4.3 Investment & Trading Decisions |
| 4.4 Order Management |
| 4.5 Compliance |
| 4.6 Portfolio Valuation |
| 4.7 Performance Measurement |
| 4.8 Cash Management |
| 4.9 Risk Management |
| 5.0 POST TRADE PROCESSES |
| 5.1.0 CUSTODY AND SECURITIES OPERATIONS |
| 5.1.1 Trade Settlement |
| 5.1.2 Principal & Income Collection |
| 5.1.3 Cash Processing |
| 5.1.4 Corporate Actions |
| 5.1.5 Securities Lending |
| 5.1.6 Taxation |
| 5.1.7 Subcustodian Network |
| 5.1.8 Recon |
| 5.2.0 SECURITIES ACCOUNTING |
| 5.2.1 Gain/Loss |
| 5.2.2 Income & Expense Accruals |
| 5.2.3 Amortization & Accretion |
| 5.2.4 Multi-Currency Accounting |
| 5.2.5 Multiple Books |
| 5.2.6 Pricing & Currency Rates |
| 5.2.7 Net Asset Value |
| 5.2.8 Investment Ledger |
| 6.0 SECURITIES INDUSTRY CHALLENGES |
| 6.1 Mergers & Acquisitions |
| 6.2 Global Markets |
| 6.3 Electronic Trading |
| 6.4 New Securities Products |
| 6.5 Outsourcing |
| 6.6 Future Trade Flow |
Here are what a few of our previous attendees have said about this course:
"Very pertinent info and delivery was excellent."
"Phil is very knowledgeable, upbeat, and approachable. The class was informative and interactive."
"For an industry course, I found the class to be informative without being overwhelming."
"Best training I have been to in a very long time. Very informative - Phil knows his stuff."
"Usually these classes disappoint, but all of my expectations were exceeded. I will recommend this class to any new employee in my department."
"Great two day course. Very informative. Gave me a good idea of how the industry works. Phil Sindel is an amazing instructor! Kept us engaged, never found myself bored or disinterested in what he was discussing. Great back and forth."
Agenda Day I &II:
| 8:30 | Registration and Breakfast (there is no registration Day II) |
| 9:00 | Seminar Begins |
| 10:30 | Refreshment Break |
| 12:30 | Lunch Break* |
| 3:30 | Refreshment Break |
| 5:00 | Seminar Adjourns |
* This seminar includes a continental breakfast and two refreshment breaks. Lunch is not included. There is a one hour break provided at 12:30. A sampling of local restaurants can be found on the "Event Location" page.
