SIFMA FMS Fundamental Training Securities Operations

Date

November 10, 2017

Location

New York, NY

Hosted by

SIFMA FMS Society

Registration Rates – Until 11/10/17

  • Member $45
  • Member - Webinar $45
  • Non-Member $130
  • Non-Member - Webinar $130

Overview

The session will cover the life-cycle of a trade from booking through its accounting on books and records. The session will also cover control environments around securities operations and will be aimed at junior Operations and Finance members as a way to show how the trade life cycle relates to regulatory and financial reporting.

  • Pillars of Operations (Processing, Trade Flow, Books & Records, Reconciliations)
  • Checkpoints Built into the Settlement Cycle (ie. Fraud Prevention)
  • Control and Supervision of Broker/Dealer Securities Operations

Pricing

Member
Registration Rates $45
Member - Webinar
Registration Rates $45
Non-Member
Registration Rates $130
Non-Member - Webinar
Registration Rates $130
Pricing
Member Member - Webinar Non-Member Non-Member - Webinar
Registration Rates $45 $45 $130 $130

Programs

8:00am – 8:30am

Registration

8:30am – 12:00pm

Participants

Patrick Consola, Rosemarie Fanelli, Anthony Stucchio

Speakers

Patrick Consola

Executive Director - Compliance

JPMorgan Chase & Co.

Patrick Consola’s Biography

Rosemarie Fanelli

Deputy Unit Leader, Member Regulation - Risk Oversight and Operational Regulation (ROOR)

FINRA

Rosemarie Fanelli’s Biography

Anthony Stucchio

Managing Director, COO- DCRO America's Head & Chief Operations Officer

Deutsche Bank Securities Inc.

Anthony Stucchio’s Biography

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accomodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900

Accredidation

Eligible for 2.5 Credits
Field of Study: Accounting
Program Level: Beginner
Delivery Method: Group-Live or Webinar
No Advanced Preparation or Prerequisites Required

*CEU Institute to provide CPE Certificates

* CEU Institute 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 submitted to the National Registry of CPE Sponsors through its website:www.learningmarket.org