This in-depth program is offered as a two (2) day course and examines the important aspects of Securities Process of Trading/Settlement/Operations/Products and Regulatory supervision. This level two course covers the more complex processes and key concepts such as accounting, margin practices, settlement compliance, firm reporting and regulatory reporting. Accreditation is awarded upon completion of Level I and Level II.
All course materials are provided. Upon confirmation of registration, the student will receive a free one-year subscription to Investment Executive, Canada's Newspaper for Financial Advisors.
| Day 1 | Day 2 |
Accounting 101
Brokerage Accounting
Financial Reporting
Stock Record
General Ledger
Internal Controls and Reconciliation
|
Settlement and Custody
Credit and Risk
Treasury
Regulatory Reports
|
- Persons presently outside the industry looking to increase specific financial knowledge or seek entry to the industry
- Operational and administrative staff new to the financial and/or securities industry
- Investment firm IT staff new to the financial and/or securities industry
- Investment firm staff with limited knowledge of the entire operations process
- Investment firms' counter parties at banks
- Clearing corporation and depository staff
- Employees of regulatory agencies
- Institutional client personnel
- Industry vendors' employees
- Comprehend the final step of the"life of a trade" - settlement processing
- Thorough understanding of the foundations of the back office: Stock Record, General Ledger and Brokerage Accounting
- Describe how products are financed and the alternatives available
- Thoroughly comprehend margining concepts
The instructor will be announced prior to course delivery.
Follow SUI