A comprehensive program equipping learners with a deep understanding of global financial markets, securities trading, custody, and settlement systems.
Online / Hybrid
1-hour CISI online examination with 50 multiple-choice questions
The Global Securities Operations program, offered in collaboration with the Chartered Institute for Securities & Investment (CISI, UK) , equips learners with a deep understanding of global financial markets, securities trading, custody, and settlement systems. This course is designed for aspiring professionals in investment banking operations, fund administration, and global custody services.
To ensure learners acquire the knowledge and practical understanding of global securities services, market participants, and post-trade operations relevant to investment and financial institutions. The program aligns with international standards and prepares candidates for operational excellence in the financial services industry.
The 1-hour exam consists of 50 multiple-choice questions distributed as follows:
The syllabus is divided into six key elements, each focusing on a vital aspect of global securities operations.
Covers ordinary/preference shares, bonds, fixed-income, Depositary Receipts (ADRs, GDRs), warrants, and derivatives.Also includes understanding of equity/bond markets, trading principles, and settlement timelines.
Learning Outcomes:
Explores key players like institutional investors, brokers, custodians, depositories (ICSDS/CSDs), Euroclear, Clearstream, and T2S systems. Covers communication standards (SWIFT, FIX) and the role of FinTech.
Learning Outcomes:
Focuses on pre-settlement, settlement, and failed settlement processes. [cite: 29] Covers clearing via CCPs, [cite: 30] payment systems (TARGET2, CHAPS, CLS, Fedwire), [cite: 31] DvP, netting, reconciliation, [cite: 32] and the impact of DLT. [cite: 33]
Learning Outcomes:
Covers post-settlement services like safekeeping of client assets, nominee structures, corporate actions (dividends, mergers), cash management, securities lending, and ESG integration.
Learning Outcomes:
Introduces taxation in cross-border trading, including income/capital gains tax, Withholding Tax (WHT), double taxation treaties (DTTs), and FATCA/CRS compliance.
Learning Outcomes:
Focuses on risk management and compliance, covering risk categories (credit, market, operational), mitigation through reconciliation, ISAE 3402/SSAE 16 reports, and regulatory frameworks.
Learning Outcomes:
Graduates of this program can pursue roles in:
Take the next step in your career with a globally recognized certification. Enroll today and gain the skills to excel in the financial industry.
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