360 Capital Markets

Securities Operations Bootcamp

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Today’s ever challenging world is overtaken by incorrect or inappropriate securities valuations, Financial Derivatives, High-Frequency Trading and Ponzi schemes; it is therefore critical for the buy-side, sell-side and banks to have a good understanding of exactly what are the roles and responsibilities of each part of US Securities Operations, from audit, to securities valuations to trade clearing and settlement.

We will gain an understanding of the life cycle of a securities transaction within the U.S. markets and compare to Global markets – from a Pre-IPO & IPO through Trade initiation & settlement – as well as post-settlement custodial activities – especially discussing Corporate Actions and why it is such a difficult an error-prone activity. We will also discuss the role of the U.S. Central Securities Depository (CSD) in this flow (DTCC, NSCC & FICC) as well as the regulators.

In this 10-module Bootcamp on Capital Markets/Securities Operations, we will look at, and gain an understanding of, all aspects of Securities “Operations.” This will include detailed discussions and analysis of US Financial Markets, including IPO’s for Primary and Secondary Trading of both Equities and Fixed-Income to Securities Valuations, Trade Execution, Reporting, Clearing, Settlement, Accounting, Servicing, Corporate Actions, Audit, Compliance and Risk Management – the full transaction lifecycle of a US security

We will discuss why and how trades fail and how to mitigate that risk. We will also discuss the issues created by Madoff’s Ponzi scheme and how it should have been found years earlier by an “appropriate” audit of either Madoff or of the Feeder Funds.

We will end with a final review of a detailed flow of Equity and Fixed Income transactions and a brief review of Derivative transactions. We will discuss all areas of the financial marketplace, including Methods of Execution, Types of order Execution, the various Order Management Systems as well as all mid-office and back-office requirements, including Compliance & Risk management.

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