Financial Technologies Forum LLC -

Custody & Securities Operations Seminar (Half-Day)

April 3, 2013

Bayards, One Hanover Square, New York, NY

CPE Credits: 3.5

Instructor: Phil Sindel, Director, Olmstead Associates, Inc. (Bio)
Level: Entry - Intermediate Level
CPE Credits: 3.5
Time: 1:00 p.m. - 4:30 p.m. (Half-Day Course)

(Click here to view morning session Understanding Portfolio Management & Trading Seminar. Each course sold separately.)

What happens after the investment decision is made and the trades are executed? Understanding Custody & Securities Operations explores this key post-trade function performed by the investment manager, their custodians or both. This class will provide the participant a solid understanding of key custodial and operational functions such as trade settlement, principal & income collection, corporate actions and securities lending. The course is designed for front office staff that need to understand what happens in operations and support personnel, IT professionals, marketing and sales and anyone else that needs a deeper understanding of post-trade functionality.

1 Trade Settlement
           1.1 Dealer to Dealer Trade Flow
           1.2 Institutional Trade Flow
           1.3 Cross Border Trade Flow

2 How to Maintain Reference Data

3 Principal & Income Collection
3.1 Pass-Through Payments

4 Cash Processing

5 Corporate Actions

6 Securities Lending
            6.1 Loan Types
            6.2 Lending Market Model
            6.3 Trading
            6.4 Loan Processing

7 Taxation
7.1 Tax Reclaim

8 Sub-Custodian Network

9 Reconciliation

Agenda:

1:00	Registration and light lunch
1:30	Seminar Begins
3:00	Refreshment Break
4:30	Seminar Adjourns