BASIC
Anti-Money Laundering - Introduction to Bank Secrecy Act
Back Office Primer
Back Office Primer - Virtual
Basel III and Emerging Market Banks
Brokerage Accounting and Regulatory Reporting for Operations Personnel - Evening
Brokerage Operations
Brokerage Operations - Evening
Brokerage Operations for Auditors
Corporate Governance in an Era of Financial Crisis
Debt Instrument Transaction Processing
Dodd-Frank and Energy Companies
Dodd-Frank's Immediate Impacts to Your Firm's Business Practices - Virtual
Financial Regulations' Impact on Community Banks and Credit Unions
From FOCUS to its Origin
Fundamentals of Corporate Governance
Fundamentals of International Corporate Governance
Global Securities Services Program
Global Securities: Custody
Global Securities: Trading and Settlements
Insider Trading
Introduction to Net Capital Rule 15c3-1
Introduction to Operational Risk
Investment Adviser Regulation
Middle Office Primer - Virtual
Mutual Fund Regulation and Governance
Net Capital – An Overview - Virtual
Options Primer - From Trade to Expiration
Overview of Basel III
Pension Liability Discounting: New Rules, Constant Realities, Long-Term Risks - Virtual
INTERMEDIATE
2013 and Beyond: Potential Dodd-Frank Regulatory Impact on Financial Markets
Basel III and Credit Risk Measurement
Basel III: Measuring & Managing Operational Risk
Compliance for the Securities Industry - Day
Corporate Treasury Management - (3-day course)
Customer Protection Rule 15c3-3
Derivative Product Transaction Processing
Hedge Fund Due Diligence
Margin Accounts
ADVANCED


Operations, Regulation & Compliance

The ability to settle transactions accurately and efficiently has become crucial. Experienced operations personnel command the latest developments in trade processing and systems enjoy a premium pay scale. Our courses offer straight-through processing, equity and fixed income clearance, foreign exchange processing, and technology for the financial services industry.

Highlighted Course
Brokerage Operations

Participants are taken through the steps from order entry through trade processing to final record keeping and regulatory reporting for many of the industries products. Learn more!

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2013 and Beyond: Potential Dodd-Frank Regulatory Impact on Financial Markets

Corporate Treasury Management - (3-day course)