WE TRAIN HIGH QUALITY TRAININGS, WORKSHOPS AND SEMINARS ON FINANCIAL SERVICES

Transcription

1 EXECUTIVE TRAINING

2 HIGH QUALITY TRAININGS, WORKSHOPS AND SEMINARS ON FINANCIAL SERVICES Our classes are structured and delivered with a deep understanding and a forward-thinking view of the financial industry. We not only explain financial concepts but also provide insight as we strive to be ahead of the market and explain how upcoming changes may affect our customers. Expertise: Our training programs are delivered by expert active members of the industry. High-quality & up-to-date content: Our classes are developed based on data-driven research and consulting assignments making our lessons immediately useful. Flexibility to meet your needs: We work with our customers to select relevant topics maximizing the impact of each course. WE TRAIN

3 YOU GAIN DEVELOPING THE SKILLS AND EXPERTISE OF YOUR EMPLOYEES WILL TRANSLATE INTO SUSTAINABLE GROWTH Providing industry training to your team can help you differentiate your business from the competition, achieve and sustain high performance and empower your people to develop their full potential and strengthen their ability to adapt to changing market demands.

4 TRAINING COURSES Our training courses are designed for all players engaged or planning to engage in the financial industry. This includes representatives of broker-dealers, beneficial owners, asset managers, agent lenders, custodians, insurance companies, corporations, accountancies, regulators and financial industry technology providers. All courses can be customized according to your specific needs and are available from an introductory level to an advanced level. SECURITIES LENDING The New Securities Lending Business (SecLending 101) Securities Lending for Pension Plans and Asset Managers Fully Paid Securities Lending Evaluating Securities Lending Programs Organizational Strategies for Securities Lending Operations REPO Repo Market Structure and the Changing Business of Repo Funding, Repo, Liquidity and Collateral Repo for Cash Investors COLLATERAL MANAGEMENT Collateral Management and Optimization Collateral Management 201: Tactical Strategies for Revenue Optimization The Central Collateral Funding Desk Collateral and Central Counterparties Collateral Highways, Liquidity Hubs and Other Changes to the Collateral Landscape OTC Derivatives Clearing and Collateral REGULATION Federal Reserve Policies and the Impact on Liquidity Dodd-Frank for Capital Markets Basel III and its Impact on Capital Markets The OTC Derivatives Trading Landscape The New Exchange Market Structure MANAGING AND SELLING TECHNOLOGY Selling Technology to Banks for Funding and Prime Brokerage Selling Technology to Custodians Selling Technology and Outsourcing to Pension Plans and Asset Managers Integration Strategies with SunGard Loanet INVESTMENTS Exchange Traded Funds Alternative Mutual Funds The Government Bond Markets PRIME BROKERAGE AND CUSTODY Prime Brokerage and Custody Optimizing Separately Managed Accounts for Investors SEC Rule 15c3-3 Today and in the New Regulatory Landscape Hedge Funds, Leverage and Prime Brokers

5 SECURITIES LENDING The New Securities Lending Business (SecLending 101) A basic overview of the securities lending business for beginners. Course is appropriate for accounting, legal and operational professionals who need an overview of the mechanics and functionality of securities lending. Securities Lending for Pension Plans and Asset Managers Provides an understanding of securities lending specifically for pension plans, asset managers and other beneficial owners. Topics include setting policy, deciding on collateral reinvestment strategies, selecting and evaluating agent lenders, regulatory oversight and routes to market. Target Audience: Beneficial owners Fully Paid Securities Lending Provides a detailed look at the business, regulatory, legal, compliance, operational and technology requirements for running a fully paid retail securities lending program at a broker-dealer. This course offers competitive analysis and recommendations on best practices. Target Audience: Broker-dealers and Registered Investment Advisors Evaluating Securities Lending Programs Employing Finadium s tested methodologies, we offer strategies, tips and techniques used when evaluating securities lending programs today. We provide a case study and walk through of how Finadium evaluates a securities lending program to assist course attendees in conducting their own. Target Audience: Beneficial owners Organizational Strategies for Securities Lending Operations Learn prime strategies for efficiently staffing your Securities Lending Operations staff organization, division of work, operational workflow, staffing skills and numbers from Rick Stinchfield, former head of product management and client services for Loanet. Rick and the teams he ran oversaw client installation, conversions and training for more than 25 years. Rick has an unparalleled understanding of vendor and internal systems, workflows, and best practices in securities lending operations. Target Audience: Securities lending operations leads; middle office leads; securities lending desk managers Length: 2 day seminar, 4 hours each day

6 REPO Repo Market Structure and the Changing Business of Repo This course is a deep dive into the markets and regulatory structure of repo today. We look at existing business models, matched books, the Leverage Ratio, Liquidity Coverage Ratio and Net Stable Funding Ratio, netting and other factors immediately impacting the repo business. Length: 6 Hours Funding, Repo, Liquidity and Collateral This course discusses the strategies available for banks, brokers, asset managers and hedge funds in managing their funding requirements using repo and other collateralized trading. We emphasize the continuum now available of funding products including bilateral and centrally cleared transactions. This course looks at today s practical realities and offers forward-looking guidance for developing strategies in the new regulatory environment. Repo for Cash Investors This course targets the interests of cash investors in the repo market. We look at repo investment strategies, direct repo versus credit intermediation, alternatives to repo, the Federal Reserve s Reverse Repo Facility, collateral analysis and selecting counterparties. We also discuss major regulation impacting the repo markets. Target Audience: Cash Investors

7 COLLATERAL MANAGEMENT Collateral Management and Optimization This introductory course covers the basic concepts of collateral management and its importance as a method of credit enhancement and risk mitigation. We also discuss the pressure that regulatory requirements puts on both supply and demand of high quality collateral, the problems and risks associated with collateral management and explain the latest trends and best practices available for collateral optimization. Collateral Management 201: Tactical Strategies for Revenue Optimization This intermediate course will be a deep dive into collateral optimization and will explain the different strategies and methods that financial institutions are adopting to make the best use of their available assets. We also discuss the steps that firms are taking to implement a more sophisticated optimization strategy, available technology and common issues encountered when trying to achieve collateral optimization. The Central Collateral Funding Desk This program is designed for market practitioners wanting to establish a CCF desk in their organizations. This class will help you accelerate the development of a business plan and have a better understanding of the needs, functionality and operations of a CCF desk.

8 COLLATERAL MANAGEMENT Collateral and Central Counterparties This class is designed for banks, regulators, asset managers and other investors that use or are impacted by collateral policies of CCPs. It will help attendees have a better understanding of CCP rules, roles and rationale for decision-making in the collateral management space. The class will cover the core functions of a CCP, collateral management as risk management, the role of technology, collateral management as a competitive edge and the future landscape of CCPs. Target Audience: Banks, regulators, asset managers and other investors Collateral Highways, Liquidity Hubs and Other Changes to the Collateral Landscape Everyone agrees that collateral needs to be optimized globally and that one pool of collateral beats multiple pools. This training will explain the different models available from the big players, their perspectives and their prospects. OTC Derivatives Clearing and Collateral This course will help you enhance your capabilities to manage the ongoing development of mandatory OTC derivatives clearing and collateral management. We will discuss how financial institutions are reviewing their business practices related to their trading strategies, choices for clearing, collateral optimization, reduction of capital costs and risk and exposure management.

9 PRIME BROKERAGE AND CUSTODY Prime Brokerage and Custody This course discusses prime custody as a prime brokerage alternative and evaluates how it could add value to funds when the two services are combined and where it makes more sense to keep them separate. Optimizing Separately Managed Accounts for Investors This course looks at the investment and structure options for investors in separately managed cash and collateral accounts. The course looks at short-term investment options that may offer greater returns and/or risk than money market funds. It also considers which service providers are best suited to offering separately managed accounts. SEC Rule 15c3-3 Today and in the New Regulatory Landscape SEC Rule 15c3-3 (the Customer Protection Rule) is the foundation for a broker s relationship with their customer. It governs the extension of credit, segregation of customer securities, and almost all other basic responsibilities a broker has to protect customer assets. This course will discuss how in the changing regulatory landscape, and the increasingly sophisticated business model arranged financing, enhanced leverage, fully paid lending maintaining compliance with the rule is not as simple as just calculating cash reserves and securities segregation. Hedge Funds, Leverage and Prime Brokers This course for non-specialists reviews the options available to hedge funds and prime brokers in providing leverage. We cover physical margin and short selling, synthetic prime brokerage and listed derivatives. The course provides current trends and pricing incentives and disadvantages with each option for leverage.

10 REGULATION Federal Reserve Policies and the Impact on Liquidity Central Banks are important players in liquidity and collateral. This course reviews how Central Banks impact collateral using the Federal Reserve as the chief example. The course reviews supply, demand, pledgibility, and the role of Central Bank money on collateral and liquidity. Dodd-Frank for Capital Markets This course will review the principles of the Dodd-Frank legislation and its impact for Capital Markets. We will discuss the potential benefits of the law in reducing regulatory oversight gaps and systemic risk as well as how it impacts the equities, derivatives and fixed income markets. The class will also review the challenges that the rule presents for capital markets and for the regulators themselves. Basel III and its Impact on Capital Markets In this course we will be reviewing the new guidelines in Basel III and will explain its overall impact on the capital markets business model. The OTC Derivatives Trading Landscape The post-crisis regulatory reform affecting OTC derivatives, especially Dodd-Frank keeps shaping the trading landscape. This training reviews the regulatory impact in OTC derivatives and discusses the key strategic and tactical decisions that participants have to make around their trading infrastructure, clearing houses and providers. The New Exchange Market Structure This training will provide an overview of the current exchange market structure, the main differences among the various markets and its main characteristics.

11 MANAGING AND SELLING TECHNOLOGY Selling Technology to Banks for Funding and Prime Brokerage This course for sales professionals is designed to train internal staff on the needs and interests of banks in funding and prime brokerage. We cover recent regulations, client developments, medium term business trends and other important considerations in the sales and demand cycle. Target Audience: Sales Professionals Selling Technology to Custodians This course for sales professionals is designed to train internal staff on the needs and interests of custodians. We cover recent regulations, client developments, medium term business trends and other important considerations in the sales and demand cycle. Target Audience: Sales professionals Selling Technology and Outsourcing to Pension Plans and Asset Managers This course for sales professionals is designed to train internal staff on the needs and interests of pension plans and asset managers. We cover recent regulations, client developments, medium term business trends and other important considerations in the sales and demand cycle. Target Audience: Sales professionals Integration Strategies with SunGard Loanet Learn prime strategies for efficiently integrating your upstream and downstream systems with SunGard s Loanet service. This two part seminar is hosted by Rick Stinchfield, former head of product management for Loanet, and 25 year veteran of all aspects of the Loanet system. Rick and the teams that he ran managed integration projects for Loanet for more than 100 different firms. Rick has an unparalleled insight into technical integration with this system. Learn how to make the most of what Loanet does, the data it contains, and the services it supports. Target Audience: Product managers in securities finance, risk, credit, accounting and regulatory reporting; systems integration and application development team leads; operations leads Length: 2 day seminar, 4 hours each day

12 INVESTMENTS Exchange Traded Funds This class provides a basic overview on Exchange Traded Funds (ETFs), how they work, their evolution, the different asset classes found in ETFs and its associated risks. Alternative Mutual Funds This training will explain what alternative mutual funds are, how they work and their associated risks. Alternative mutual funds, also called Liquid Alternatives, have emerged as a choice for investors looking for hedge fundlike structures in a mutual fund wrapper. We discuss the different types of funds, the strategies they employ to gain leverage and what kinds of service providers are important for their business. The Government Bond Markets Government bond markets around the world are changing as a result of financial regulation. This course reviews the drivers of change, current liquidity patterns and reasonable expectations for the future.

13 Our training programs are taught by industry specialists whose business expertise and field-based research create the enduring concepts that shape global best practices. Our courses draw upon real-world experience to help you develop critical thinking and decision-making skills that you can bring back to your organization.

14 Po Box 560 Concord, MA USA