This practical course provides comprehensive coverage of securities trading and brokerage operations, focusing on the end-to-end processes involved in executing trades and managing brokerage activities. Participants will learn about different trading venues, order types, execution strategies, and the operational aspects of clearing and settlement. The curriculum covers equity trading, fixed income trading, and derivative trading operations, along with regulatory requirements and compliance procedures. Through trading simulations and operational exercises, learners will develop the skills needed to navigate modern trading environments and manage brokerage operations effectively.
Securities Trading and Brokerage Operations
Banking, Insurance and Financial Services
October 25, 2025
Introduction
Objectives
Upon completion of this course, participants will be able to:
- Execute various types of securities trades
- Understand different trading venues and their characteristics
- Manage brokerage operations and client accounts
- Navigate clearing and settlement processes
- Apply regulatory requirements in trading operations
- Develop effective trading strategies
- Manage operational risks in brokerage
- Utilize trading technology and platforms
- Analyze trade execution quality
Target Audience
- Trading Desk Professionals
- Brokerage Operations Staff
- Compliance Officers
- Investment Advisors
- Back Office Operations Staff
- Financial Services Professionals
- Aspiring Traders
Methodology
- Trading simulation exercises
- Operations workflow case studies
- Regulatory compliance scenarios
- Technology platform demonstrations
- Risk management workshops
- Client service role-playing
Personal Impact
- Enhanced trading operation skills
- Improved risk management capabilities
- Stronger regulatory knowledge
- Better client service abilities
- Enhanced operational efficiency
Organizational Impact
- Improved trading operations efficiency
- Enhanced regulatory compliance
- Reduced operational risks
- Better client satisfaction
- Increased operational scalability
Course Outline
Unit 1: Trading Fundamentals
Market Structure- Types of trading venues and exchanges
- Market participants and their roles
- Trading hours and sessions
- Market data and information flow
Unit 2: Order Types and Execution
Trading Mechanics- Different order types and their uses
- Execution strategies and algorithms
- Trade execution quality analysis
- Best execution requirements
Unit 3: Brokerage Operations
Client Services- Account opening and maintenance
- Client money handling procedures
- Trade confirmation and reporting
- Client relationship management
Unit 4: Clearing and Settlement
Post-Trade Processes- Trade confirmation and affirmation
- Clearing house operations
- Settlement cycles and procedures
- Fail management and resolution
Unit 5: Regulatory Compliance
Legal Framework- Key trading regulations overview
- Market abuse and insider trading
- Client asset protection rules
- Reporting and disclosure requirements
Unit 6: Trading Technology
System Infrastructure- Trading platform functionalities
- Algorithmic trading systems
- Risk management technology
- Data analytics for trading
Unit 7: Risk Management
Operational Controls- Market risk in trading operations
- Operational risk management
- Credit risk with counterparties
- Business continuity planning
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