Instructor: Ken Kapner

Objectives:
 To develop the fundamental understanding of the capital markets and how they operate

  • Build a working knowledge of capital markets terminology
  • Understand how products are used in the capital markets
  • To examine the features and characteristics of fixed income and equity securities


Instructor: Ken Kapner

Objectives:
By the end of this session the course participants will be able to:

  • Understand how the fixed income markets operate
  • Understand the features and characteristics of fixed income securities
  • Price a bond
  • Develop understanding of fixed income market participants
  • Identify the risks associated with these instruments


Instructor: Neale Steiniger

Objectives:
By the end of the course, the participants will be able to:

  • Understand the features and characteristics of equity
  • Discuss how the equity markets operate
  • Develop understanding of equity market participants
  • Identify the different equity products
  • Understand different valuation methods (overview)


Instructor: Ken Kapner

Objectives:
By the end of the course, the participant will be able to:

  • Understand the features and characteristics of futures, swaps and options
  • Comprehend the risks associated with these derivative products
  • Discuss the basics of pricing
  • Apply derivatives in trading and portfolio management


Instructor: Neale Steiniger

 


Instructor: Charlotte Scott

Course Overview and Objectives:
This one day program introduces operations and technology personnel to the trade lifecycle and its related infrastructure from the perspective of both the U.S. and international markets. Product focus includes both equity and fixed income instruments. Participants follow the sequence of activity that occurs “behind the scenes” on trade date once a customer’s order is executed through the final exchange of assets on settlement date. This class is also important in light of the asset management initiatives of SIFMA that rely on an understanding of trade flow. As a result of this class, attendees will be able to:

  • Identify the critical functional areas related to the lifecycle of a trade from the inception of the customer’s order through the settlement, as well as the follow-up required for the effective management of failed trades.
  • Distinguish types of operational risks that have a potential impact on the firm and their customers, in both the domestic and international arenas.
  • Analyze the source of costs per trade and its relationship to trading profitability.
  • Gain perspective on the relationship between the customer and the broker/dealer in the flow of post-execution activity.

 

Location and Time

All training classes will be held at SIFMA’s New York office in midtown Manhattan:
Global Financial Markets Conference Center 360 Madison Avenue (entrance on 45th Street), 17th Floor New York, NY 10017

All classes will begin at 8:30 a.m. with registration and breakfast at 8:00 a.m. There will be a one-hour lunch break, with lunch provided and two additional breaks. Classes will end by 5 p.m. and the instructor will be available after class to answer additional questions.

 

SIFMA has teamed up with GFMI, an international financial training provider of courses in Capital Markets, Fixed Income, Derivatives, Foreign Exchange, Options, Swaps, Equity, Portfolio and Risk Management, among other topics.

“A knowledgeable staff is a valuable staff”

Global Financial Markets Institute, Inc. is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site: www.nasba.org.