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Starting with fail control, learn about the myriad of activities that occur after settlement. These include buy-ins, financing, margin, position reporting, inventory control, income collection, corporate action events and stock record. Topics also include major equity servicing participants and self-regulatory organizations (SROs).
| Topics include: |
• Dividend processing procedures
• Fail control practices |
• Methods of financing
• Role of reference data throughout servicing activities |
| Benefits of attendance: |
• Examine risks and potential remedies
• Identify the associated processes
• Increase understanding of the servicing lifecycle |
• Learn how service providers address needs
• Recognize the touch-points between processes
• Understand how technology supports participants |
| Staff from the following areas should attend: |
• Corporate Actions
• Custody
• Information Technology |
• Middle Office
• Operations
• Regulatory Reporting |
Knowledge of trade lifecycle activities preferred |
