Securities Settlements, Clearing and Global Custody

Agenda Summary ï Introduction to Settlement ï The Role of the Exchanges and Clearing Houses ï The Role of the Operations Team ï Settlement Conventions ï Settlement Processes in Detail ï Introduction to Global Custody and Derivatives Clearing ï Global Custody ñ Core Services ï Global Custody ñ Value-Added Services ï Corporate Actions ï Overview of Operational Risk Workshops ï Road Maps 1 - Explaining the relationships with the counterparties dealt with in the settlement of a typical trades on and off exchange ñ equities ñ debt ñ derivatives ï Road Maps 2 - Explaining the high level process flow from trade to settlement for ñ equities ñ bonds ñ derivatives Describing the margin call process Understanding the basics of collateral management ï Wrap-up Workshop - Delegates will produce a detailed overview of the clearing and settlement environment including key players, processes and issues for a new hire in the audit department