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This program starts with activities that occur after trade settlement. This includes buy-ins, financing, margin, income collection, corporate action processing and activity, balance & position reporting. Our examination includes participants involved with these activities, value and importance of each activity. We will also identify the regulators, self-regulatory organizations (SRO and significant regulations that oversight servicing activities. Valuation of these products as well as the importance of fixed income reference data will be addressed as well.
| Topics include: |
- Interest collection processes
- Corporate action events
- Financing alternativess
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- Buy in and Close out practices
- Participants involved in asset servicing
- Valuation challenges and responses
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| Benefits of attendance: |
• Examine risks and potential remedies
• Identify the associated processes
• Learn how service providers address needs |
• Recognize the touch-points between processes
• Track the interest collection process
• Understand how technology supports participants |
| Staff from the following areas should attend: |
• Corporate Actions
• Custody
• Information Technology |
- Middle Office
- Operations
- Regulatory Reporting
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Knowledge of trade lifecycle activities helpful |
