BASIC
2010 and Beyond: Potential Regulatory Impact on Financial Markets - Virtual Recording
Anti-Money Laundering (AML) - Virtual
Anti-Money Laundering - Introduction to Bank Secrecy Act
Brokerage Operations - Evening
Brokerage Operations - Intensive
Brokerage Operations for Auditors
Compliance for the Securities Industry - Evening
Corporate Governance in an Era of Financial Crisis
Debt Instrument Transaction Processing
FOCUS and Out
Fraud Awareness and Compliance for Managers
Fundamentals of Corporate Governance
Fundamentals of International Corporate Governance
Global Securities Services Suite
Global Securities: Custody
Global Securities: Trading and Settlements
Insider Trading
Introduction to Net Capital Rule 15c3-1
Introduction to Operational Risk
Investment Adviser Regulation
Mutual Fund Regulation and Governance
Office Foreign Asset Control Compliance
Options Primer - From Trade to Expiration
Overview of Basel II
Overview of Corporate Governance - Virtual
Overview of Global Securities Services
Suspicious Activity Reports
INTERMEDIATE
2010 and Beyond: Potential Regulatory Impact on Financial Markets
Basel II and Credit Risk
Compliance for the Securities Industry - Day
Corporate Treasury Management
Corporate Treasury Management - Evening
Corporate Treasury Management - Two-Day Intensive
Customer Protection Rule 15c3-3
Derivative Product Transaction Processing
Hedge Fund Due Dilligence
Measuring & Managing Operational Risk: Basel II Compliance
Practical Applications of Sarbanes-Oxley
ADVANCED


Operations & Compliance

The ability to settle transactions accurately and efficiently has become crucial. Experienced operations personnel command the latest developments in trade processing and systems enjoy a premium pay scale. Our courses offer straight-through processing, equity and fixed income clearance, foreign exchange processing, and technology for the financial services industry.

Highlighted Course
Brokerage Operations - Evening

This course is essential for understanding which processes are brought into play after a trade occurs at a brokerage firm and provides a step-by-step analysis of how a full service broker-dealer operates. It is equally important to understand the non-trade related aspects of servicing clients’ accounts and the use of reconciliation controls. The processing and delivery requirements of various types of issues are explained as different trade flows are discussed. Learn more!

Suggested Courses
Anti-Money Laundering

Customer Protection Rule 15c3-3

Measuring & Managing Operational Risk: Basel II Compliance