Capital Markets: Products and Risks

In this three-day, hands-on capital markets class, participants will learn about capital markets from the perspective of risk. In addition to discussing the types of capital market securities, the student will develop an understanding of the relationships between them. Case studies and class assignments will be used to further the students understanding regarding topics discussed in class.

08-May-2012 -- 10-May-2012Toronto, CanadaUSD$3375
New York Institute of Finance - Toronto9:00am - 4:30pm Instructional Method:
Group-Live
Instructor(s): [ Various Instructors; ] Tue Wed Thu Level: Intermediate

27-Jun-2012 -- 29-Jun-2012New YorkUSD$3375
NY Institute of Finance - Midtown9:00am - 4:30pm Instructional Method:
Group-Live
Instructor(s): [ Various Instructors; ] Wed Thu Fri Level: Intermediate

30-Jul-2012 -- 01-Aug-2012New YorkUSD$3375
NY Institute of Finance - Midtown9:00am - 4:30pm Instructional Method:
Group-Live
Instructor(s): [ Various Instructors; ] Mon Tue Wed Level: Intermediate

26-Nov-2012 -- 28-Nov-2012Toronto, CanadaUSD$3375
New York Institute of Finance - Toronto9:00am - 4:30pm Instructional Method:
Group-Live
Instructor(s): [ Lance Eckel, CFA; ] Mon Tue Wed Level: Intermediate

CPE CREDITS
21.5
Anyone who has a need or desire to understand the capital markets from a risk perspective with specific attention given to audit risks.
No advance preparation required.
Students will be able to:
  • Demonstrate a practical understanding of the various components of the capital markets
  • Thoroughly be able to explain the types of capital market securities
  • Have the ability to understand the valuation techniques used for equities and fixed income securities
  • Demonstrate a working knowledge of the risks inherent in capital market instruments
None
  • Credit Derivatives: Intermediate
  • Fixed Income Suite
  • Advanced Alternative Investments
    • The course offered at our Toronto Facility is for two days only. CPE credits awarded will be 14.0.
    Background
    Session 1: Capital Markets Overview
    • Issuers and investors in capital markets
    • Key elements of the major pieces of legislation that govern US financial markets
    • Typical auditing procedures and controls for securities

    Session 2: Role of the Securities Firm & IPO Process

    • Key terminology used in the capital markets
    • Basic areas and job functions of a securities firm
    • Elements of corporate governance
    • Case study: Google IPO

    Equity and Debt Instruments
    Session 1: Equity Securities
    • Basic features of common and preferred stock and other equity-related securities
    • Differences in the equity markets
    • Typical auditing procedures and controls for equities
    • Trading of equity securities
    • Methods and inherent risks in equity valuation
    • Fair value measurement and issues

    Session 2: Fixed Income Securities

    • Bond properties and bond indenture agreements
    • Types of bonds and fixed income securities
    • Risks associated with fixed income instruments
    • Collateralized debt securities and associated risks

    Derivatives, Foreign Exchange and Alternative Investments
    Session 1: Derivatives
    • Define a forward contract
    • Distinguish between a forward and futures contract
    • Identify components of basic option contracts
    • Discuss the risks and rewards associated with options
    • Describe how swap contracts work, including credit default swaps

    Session 2: Foreign Exchange, ETFs and Mutual Funds

    • Explain the basics of the foreign exchange market
    • Distinguish among mutual funds and ETFs
    • Describe a basic structured product

    Session 3: Alternative Investments

    • Define the characteristics of hedge funds
    • Discuss the basic hedge fund strategies and risks
    • Explain the types of private equity vehicles

    Clients who register for this course will receive a complimentary 4-month subscription to FT.com. The Financial Times is the world's most respected financial newspaper, providing a broad assessment on finance, business and the industrial sector. The move to the electronic version follows an ongoing review of our environmental responsibilities as a global business and as part of the Pearson group. FT.com also has features that are not available in hard copy, such as: Special Reports, Alphaville, editor blogs, education sections and much more! Subscriptions will start within 6-8 weeks of the start of class and are limited to one subscription per client. (Please note: as of May 1, 2011, the electronic subscription replaces the hard-copy 3-month Financial Times subscription.)

    Lunch is included for all students taking day classes.