SIFMA FMS Fundamental Training Securities Operations

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