Understanding the Securities Industry - Two Day Course
February 23, 2010
CPE Credits: 14.0
Instructor: Phil Sindel, Director, Olmstead Associates, Inc. (Bio)
Level: Entry Level, Intermediate Level
Dates: February 23-24, 2010
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.
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 |
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.
