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Books and Records, vital to the functioning of the securities industry, is an often misunderstood term. This program explores the regulatory and business activities associated with this function. Basic stock record concepts such as Trade Date vs. Settlement Date, breaks, "illogicals" and other exceptions are examined and their impact on the books & records is determined. Find out how the stock record function identifies exceptions, researches the activity and resolves exceptions.
| Topics include: |
• Associated activity, position and balance reports
• Basic terminology
• Importance of external reconciliations |
• Interaction between stock record and processing areas
• Regulations impacting the stock record function
• Reporting structure |
| Benefits of attendance: |
• Determine the skills to recognize, research and resolve stock record breaks
• Explore future trends for the stock record
• Increase awareness of regulations effecting stock record activities |
• Know what skills are needed to research and resolve breaks
• Learn activities, interfaces and processes reflecting activity/positions
• Understand stock record terminology |
| Staff from the following areas should attend: |
• Accounting
• Information Technology
• Investment Banking |
• Operations
• Prime Brokerage
• Trading |
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