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
- Operations / middle office
- Other support functions
- The investment cycle for debt and equity
- Transaction life cycle
- Asset servicing
- Stock borrowing
- Fund accounting