Instructor Led Compliance Training in Greater London, uk

Risks Controls in Securities Operations OBJECTIVE The current environment and recent history has shown the dangers of ineffective or defective Operational Risk Control. Consequences can be massive in terms of financial losses, reputation besides personal career prospects. Regulators are now also paying much more attention to Risks and Controls in Operations in assessing a companya ™s safety, security, and hence Regulatory  more...

Covered Bonds ...ort staff a Operations & Back Office staff a Risk & Compliance managers a Accountants & Lawyers (CPD eligible) a IT & System executives involved in Fixed Income applications a Brokers, Bankers and IFAs looking at new investment opportunities a Dealers, Treasury, Control and Valuation staff Basic Fixed Income knowledge and some awareness of the basics of mortgages would be  more...

Distressed Debt ...ressed (including Bank Agency, Middle and Back Office and Compliance staff) a Private Equity and Venture Capital executives a Debt Traders a Hedge Fund managers looking for opportunities a Fixed Income Managers considering the Distressed Debt market a Support staff for those dealing in / investing / lending in the Distressed Debt area a Fund Managers a Institutional  more...

Bonds Fixed Income Markets Objective To provide a comprehensive overview of the major bond and fixed income markets, their instruments and their workings, assuming no prior knowledge. Delegates a Fixed Income Support and Settlement staff a Back and Mid Office Staff a Support Staff for Fund Managers a Compliance Officers a Auditors and Accounting Staff a IT and Systems executives designing systems for  more...

Fund Management Overview ... Trainee Fund Managers a Brokers and Custodians a Compliance Officers a Accountants and Actuaries a HR, Personnel and Recruitment managers No specific prior knowledge is assumed but delegates should have at least 3 months' experience in or close to a fund management operation Our Fund Management Overview course is held as a Public Course in London. Dates and Prices on  more...

Hedge Funds Overview Objective To provide a good overview of Hedge Funds assuming no prior knowledge. Delegates a Fund Managers a Fund Administration Staff a Marketing and Sales Managers and IFAs a Private Bankers a Custodians and Depositaries a Prime Brokers a Lawyers and Accountants (CPD credit) a Compliance Officers We also have another course Hedge Funds Styles & Strategies. This  more...

Understanding Financial Trading OBJECTIVE To provide anyone involved in or with traders with a firsthand experience of financial market trading. Having gained an insight into trading in financial markets participants should be able to: a Understand trading jargon a Discuss traders requirements with confidence a Offer better support and solutions for clients and colleagues Different products such as Equities, FX,  more...

Swaps Overview BACKGROUND Swaps have increased both in variety and use over the last few years. They underpin many trading strategies and numerous investment products. While simple to those in detailed daily contact with Swaps, they appear confusing to those with less experience or to those without formal training. This course provides a fairly detailed overview of Swaps, what they are, how they are used and  more...

Securities Lending and Borrowing Background The numbers of Securities Lending & Borrowing transactions have been growing steadily for years. They now represent a substantial part of the daily settlement value in most European markets and play an important role in facilitating market liquidity. Securities L & B markets are driven by a diverse set of considerations such as raising portfolio returns, taking positions, creating  more...

International Taxation Accounting of Investments Funds Background This course is a good solid introduction to the Accounting for Taxation of Investments and Investment Funds. It gives a thorough grounding in the basics of investments and is targeted specifically at those requiring a complete knowledge of the field of accounting for tax on an international basis. The course is an accounting course and not a technical tax course and is aimed  more...

Hedge Funds Styles Strategies Objective To give a reasonable knowledge of the types and varieties of Hedge Funds and the measures of assessing them. A basic knowledge of Hedge Funds is assumed: e. g. from our Hedge Funds Overview course, offered on the previous day. Delegates a Fund Managers a Fund Administration Staff a Marketing Managers and IFAs a Private Bankers a Custodians and Depositaries a  more...

Collateral Management Background OTC Derivatives, Repos and Securities Lending and Borrowing are now recognised as very sensitive areas inside many Securities Operations departments, whether on the Buy or Sell sides. As the demise of Lehman Brothers showed, besides a number of unpublicised hiccups, Collateral Management within these activities is a critical function in mitigating counterparty risk and in  more...

Assessing Display Screen Equipment ...E) or workstation assessments can deliver more than legal compliance. Improvements in performance, quality, comfort and satisfaction are all possible when assessments are performed by assessors who understand not only the legal requirements but also how to make practical improvements. This 2 day, in-house course provides a grounding in the legislation, supporting standards and best practice.  more...