Financial Markets and Investment Banking- Advanced Level

Financial Markets and Investment Banking- Advanced Level

MVLCO offers a comprehensive training program extensively focused on global financial markets. The course focuses on developed countries, mainly USA, Europe and India. The intensive program is designed to give you a thorough and comprehensive understanding of financial market operations.
The participants will learn how the global financial markets operate. This intensive course uses a balance of lectures, workshops, case studies and discussions. The program emphasizes on active participation from delegates and includes exercises and case studies.
The course is mainly directed to those wishing to work in financial markets and Investment Banking or those who provide services to financial markets.

Delivery mode: Classroom

Duration: Two full days

Course level: Advanced level

Delivery mode: Classroom

What will you learn?

When you complete this course, you will have understanding of :

  • Different types financial market products
  • How financial markets operate
  • How treasuries operate in banks
  • Risks involved in financial products and transactions
  • How trading takes place in global financial markets

Course content:

Recalling Foundation level concepts

Brief introduction to treasury

  • Front office
  • Mid office
  • Back office

Contracts with investment bank/brokers

Secondary Market Operations

  • Players in secondary market
  • Stages in secondary market trading

Transactions/order type

  • Market order
  • Limit order
  • Stop order
  • Stop limit order
  • GFD/GTC order
  • Fill or kill order
  • More order types mainly applicable to USA market
  • Smart routing/order routing systems/SuperDOT system
  • Automated trading, including algorithmic and high-frequency trading

Trade lifecycle overview

  • Pretrade activities o Trade activities
  • Post trade activities

Pre-trade activities

  • Front/mid/back office set up
  • Risk management policy and limits
  • Static data management
  • Counter-party limit management
  • Margin and collateral requirements
  • Depository/custodian set-ups
  • Trading books and stragegies e.g. held for trading, available for sale and held till maturity
  • Order placement and order routing
  • BIC

Trade cycle

  • Static data
  • Trade execution and capture
  • Trade enrichment
  • Trade validation
  • Trade agreement
  • Transaction reporting
  • Trade settlement
  • Settlement failures
  • Position and trade related operations
  • Funding
  • Securities lending and borrowing
  • Safe custody
  • Corporate actions
  • Reconciliation
  • Accounting
  • Valuation of securities
  • Sub-ledger
  • Constituents ledger

Post-trade activities

  • Confimation of trade values o Pre-trade settlement status o Trade settlements
  • Methods of settlement e.g. DVP, DWP, FOP etc.
  • Types of settlement e.g. full, partial, netted etc.
  • Funds settlement and securities settlements
  • Handing trade settlement failures
  • Trade accounting and trade reconciliations
  • Accounting entries
  • Types of reconciliations and methods of reconciliations
  • Income collection and income accounting
  • Capital gains
  • Interest/dividend
  • Fractional shares and miscellaneous income
  • Withholding taxes

Corporate actions

  • Benefits
  • Re-organisations
  • Multifaceted corporate actions
  • Securities borrowing and lending

Issues in market activities e.g. insider trading, market manipulation

Regulation and regulatory reporting

  • Basel I, II and III requirements
  • Dodd Frank Regulation, the CHOICE Act impact
  • MiFID II and ESMA/European Commission guidance
  • Transparency requirements
  • Investor protection mechanism
  • Regulatory reporting and client reporting
  • Tax reporting

SWIFT MT and SWIFT MX (ISO20022/ISO15022) messages

T2S and TARGET2, Use of BICs and IBANs

Applicable accounting standards/GAAPs (in brief)

  • IFRS
  • US GAAP

Derivative products (in brief)

  • Derivative basics
  • Types : plain vanilla and exotics
  • Brief on derivative pricing
  • Options
  • Call
  • Put
  • Option strategies
  • Option Greeks
  • Futures
  • Forwards/FRA
  • Swaps
  • Swaptions
  • Derivatives for
  • Credit risk
  • Market risk

Foreign exchange products (in brief)

  • Interbank market process and merchant market process
  • FX rate determination mechanism
  • FX deal types

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