Certified Securities & Capital Markets Professional Program

This course equips students with the essential knowledge about securities operations and the life cycle of a trade. We delve deeper than just the basics, exploring the "why" and "how" behind each business process, supported by real-world examples.

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Course curriculum

1. Day 1 Introduction
2. Introduction to Capital Markets
3. Comparison - Investment Bank V/S Investment Management firms
4. Primary & Secondary Markets
5. Buy Side V/s Sell Side Firms
6. Market Participants - Issuers
7. Market Participants - Investment Banks
8. Market Participants- Broker Dealers
9. Market Participants - Investors
10. Securities Market Ecosystem - Trading Venues
11. Securities Market Ecosystem - Clearing House, Depository and Custodian
12. Securities Data Providers
13. Regulators
14. Closing comments
15. Quiz - Market Participants
1. Day 2 - Intro
2. Introduction to Investment Instruments
3. Equities
4. Fixed Income Securities
5. Mortgage Backed Securities
6. Asset Backed Securities
7. Debt Securities - Day Count Convention
8. Risk in Fixed Income Securities
9. Derivatives
10. Quiz - Investment Instruments
1. Introduction to Pooled Investment
2. Mutual Funds
3. ETFs
4. REITS
5. Hedge Funds
6. PE Funds
7. Quiz - Pooled Investments
1. Introduction to Client Onboarding & Static data setup
2. Regulatory Onboarding
3. Functional Architecture - KYC Platform
4. Static Data setup
5. Static data set up screen mockup
6. Quiz - Client Onboarding
1. Introduction - Reference Data & Market Data
2. Introduction - Securities Reference data
3. Instrument Data
4. How Reference data is created
5. Source of Reference data - Netflix IPO document
6. Entity Data
7. Reference data system - Data feed processing
8. Functional Architecture - Reference data system
9. Understanding Market Data
10. Market Data Journey
11. Reference data & Market Data quiz
1. Introduction to Front Office
2. Investment Research
3. Investment Research - Fundamental Analysis
4. Investment Strategies - Institutional Asset Managers
5. Investment Strategies - Hedge Funds
6. Model Management
7. Role of IT in Inv Research and Model Management
8. Front Office Quiz
1. Introduction
2. Investment Management Models1 - Outsourced CIO & Fiduciary Management
3. Investment Management Models 2 - Inhouse Management & Consultant model
4. Investment Management services marketing
5. Investment Management deal process
6. Investment Policy Statement
7. Portfolio Construction
8. Portfolio Management System
9. Pretrade Compliance
10. Pretrade Compliance Rules Engine
11. Quiz - Front Office 2
1. Introduction to Trading
2. Transition to Electronic Trading
3. Equity Trading
4. Fixed Income Trading
5. Order Simulation
6. Trade Execution
7. OMS EMS
8. Order flow and FIX messaging
9. Order Types
10. Module Quiz
1. Introduction
2. Trade Life Cycle
3. Trade Capture
4. Trade Enrichment
5. Trade Validation
6. Trade Reporting
7. Introduction to Trade Matching , Affirmation & Confirmation
8. Trade Affirmation & Confirmation
9. Trade Matching
10. Clearing & Settlement Forecasting
11. Module Quiz
1. Introduction to settlement
2. Settlement Instructions
3. Communication of Settlement Instructions
4. Settlement Terminologies
5. Settlement Process
6. DTC Settlement Flow
7. Failed Trades
8. Module Quiz
1. Introduction
2. What are Corporate Action Events
3. Corporate Action event announcement
4. Corporate Action event types
5. Why companies announce corporate action events?
6. Corporate Action event processing
7. Key dates in corporate action event processing
8. Risk in corporate action event processing
9. Recap
10. Corporate action events and terminology pdf
11. Corporate Action Quiz
1. Introduction
2. Introduction to NAV
3. Book of Records - ABOR , IBOR , TBOR
4. Key Accounting Terms
5. Fund Accounting cycle
6. NAV Calculation
7. Cost Basis
8. Module Quiz
1. Introduction to Hedge Funds
2. Hedge Fund Subscription Redemption Mechanics
3. Hedge Fund Structure
4. Hedge Fund Fees
5. Module Quiz
1. Introduction to Reconciliation
2. The Reconciliation Process
3. Reconciliation Breaks
4. OTC Reconciliation
5. Quiz - Reconciliation
1. Introduction and Market Participants
2. The Trade
3. Settlement
4. Trade Revenues
5. Trade Execution
6. Trade Lifecycle - Termination
7. Trade Lifecycle - Corporate Events
8. Default and Interest Rate Risks
9. Market Place Structures
10. Product Infrastructure and Summary
11. Module Quiz
1. Derivatives Definition
2. Introduction to OTC
3. Types of Derivatives - ETD, CCD, OTC
4. Swaps Trade Life cycle
5. Interest Rate Swap
6. Total Return Swap
7. Currency Swap
8. Credit Default Swap
1. Introduction to Collateral Management
2. Collateral Management Terminology
3. Collateral Management Process
4. Collateral Management in Motion - Example
5. Uncleared Margin Rules
6. Quiz - Collateral Management
1. Introduction
2. Market Risk
3. Credit Risk
4. Liquuidity Risk
5. Operational Risk
1. Introduction to Performance
2. Terminologies - Performance Measurement
3. Time Wighted Return - Money Wighted Return
4. Attribution
5. Benchmark

About this course

Free
161 lessons
12 hours of video content

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Certified Securities & Capital Markets Professional Program

Course curriculum

Overview of Securities Market Participants - Role & Revenue Model

Investment Instruments - Equity, Fixed Income and Money Market products

Pooled Investment products - Mutual Funds, ETF, REITS, Hedge Funds, PE.

Client Onboarding & Static Data set up

Securities Data Management - Reference Data & Market Data

Front Office : Investment Research, Inv Strategies & Model Management

Front Office : Portfolio Construction, Risk Analysis, Portfolio Compliance

Trade Lifecycle 1: Order Management and Trade Execution

Trade Lifecycle 2: Trade processing (Middle Office)

Trade Lifecycle 3: Securities Settlement

Corporate Action - Event Processing Lifecycle & Technology Platform

Fund Accounting concepts & Functional Architecture

Hedge Fund Accounting concepts

Reconciliation : Cash & Securities Recon

Securities lending

Overview of OTC Derivatives - Products & Trade lifecycle.

Collateral Management concepts & practices

Overview of Risk Management in securities industry

Investment Analytics & Client Reporting.

About this course

Discover your potential, starting today