The FSA is increasingly concerned about financial firms’ breadth and depth of understanding in the operational process – concern that many involved in managing operational processes and risk, do not see the full context of what they are dealing with and all the stakeholders involved.  This one-day programme works through the full lifecycle of a physical security trade (as opposed to a derivative trade), looking at parties, processes involved and risks involved.

Who should attend?

Anyone who needs a fuller understanding of the third parties involved, the processes and data flows and the risks at each stage. Particularly useful for those who sit in support/infrastructure functions, but also the front office and client relationship managers/directors who want to be able to better understand ‘behind the scenes’. Functions that typically attend:

  • Recent hires into asset management in all areas
  • Technology
  • Risk
  • Compliance
  • Operations / middle office
  • Other support functions


  • The investment cycle for debt and equity
  • Transaction life cycle
  • Asset servicing
  • Stock borrowing
  • Operations
  • Fund accounting