E-Learning Course: Trading Operation Controls (Library of 4 courses)

  • ID: 3001310
  • Training
  • Region: Global
  • KESDEE Inc
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This e-learning course on Trading Operation Controls is designed to help users understand the logical sequence of events involved in trade life cycle. An in-depth discussion of role and structure of front, middle and back office.

Learning Objective:

Trading and operational activities in trade life cycle
Various functions performed by the front office
Various functions performed by the middle office
Various functions performed by the back office

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1. Trade Life Cycle
Topics covered include: Basic concepts in trade life cycle

Front office
Middle office
Back office

Logical sequence of events in trade life cycle
Concept of Straight Through Process (STP)

2. Front Office Controls
Topics covered include:

The role and structure of the front office in a trading institution
The importance of front office in the financial institution's trading activities
The different methodologies of measuring and managing market risk
The techniques used by trading institution to summarize market risk
The market-risk limits that are used to control the risks that arise in trading activity

3. Middle Office Controls
Topics covered include:

The techniques used for determining market prices for liquid instruments and illiquid instruments.
The valuation methodologies that are used in the middle office for marking tradepositions.
The pricing models which are used to value and hedge financial securities.
The characteristics of the pricing model review process.

4. Back Office Controls
Topics covered include:

Various functions performed by the back office
Processing of payments and delivery or receipt of securities, commodities,and written contracts by back office staff
Settlement of transaction process
Foreign payments
Reconciliations
Netting and types of netting
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