A highly interactive training course on

Securities Exchange Operations and Technology

Coventry Academy -  Securities Exchange Operations and Technology

Course Schedules

 17-21 Jun 2024
 02-06 Sep 2024
 09-13 Dec 2024

Training course overview

Welcome to the Securities Exchange Operations and Technology Training Course! This intensive program is tailored to provide participants with a comprehensive understanding of the intricate workings of securities exchanges and the pivotal role of technology in shaping their operations. Over the course of five days, we will delve into the fundamental principles of securities trading, clearing, settlement, risk management, and regulatory compliance, while also exploring the latest technological innovations driving efficiency and innovation in the industry. Through engaging lectures, interactive discussions, case studies, and practical exercises, participants will gain valuable insights and skills essential for navigating the dynamic landscape of securities exchange operations and technology.

What are the goals?

By the end of this training course, participants will be able to:

  • Develop a comprehensive understanding of securities exchanges, including their structure, functions, and regulatory framework
  • Gain insights into the technological infrastructure supporting securities exchange operations, including trading platforms, clearing and settlement systems, and market surveillance tools
  • Acquire proficiency in executing various trading strategies and order types on securities exchanges, leveraging advanced trading techniques and tools
  • Understand the role of clearinghouses, central counterparties (CCPs), and settlement systems in mitigating counterparty risk and ensuring smooth post-trade processing
  • Explore best practices in risk management, including market risk, credit risk, operational risk, and regulatory compliance requirements applicable to securities exchange operations
  • Identify emerging technologies and trends reshaping the landscape of securities exchanges, such as algorithmic trading, blockchain, machine learning, and cloud computing
  • Apply theoretical knowledge to real-world scenarios through case studies, simulations, and hands-on exercises, enhancing critical thinking and decision-making skills
  • Collaborate with peers, industry experts, and instructors to exchange ideas, insights, and best practices, fostering a collaborative learning environment conducive to professional growth and development

Who is this training course for?

This training course is designed for professionals across various sectors of the financial services industry who seek to deepen their knowledge and expertise in securities exchange operations and technology. It is particularly relevant for:

  • Securities traders, brokers, and dealers
  • Operations and technology professionals at securities exchanges and brokerage firms
  • Risk managers, compliance officers, and internal auditors
  • Regulators, policymakers, and legal professionals in the financial sector
  • Financial analysts, investment managers, and portfolio managers
  • Software developers, IT professionals, and data scientists interested in financial markets and technology integration

How will this training course be presented?

This training course will utilize a variety of proven adult learning techniques to ensure maximum understanding, comprehension and retention of the information presented. The facilitator will provide interactive presentation that incorporates slides, videos, group discussion, and practical exercises to examine all aspects of the topic.

Course Outline

Day One: Introduction to Securities Exchanges and Market Structure
  • Overview of securities exchanges: history, purpose, and functions
  • Types of securities exchanges: stock exchanges, commodities exchanges, derivatives exchanges
  • Market structure: order types, market participants, and regulatory framework
  • Introduction to key terms and concepts: trading, clearing, settlement, and risk management
Day Two: Trading Systems and Order Execution
  • Trading systems overview: electronic trading platforms, matching engines, and order books
  • Order types and execution methods: market orders, limit orders, stop orders, etc.
  • Order routing and execution strategies
  • Market data: types of market data, dissemination, and use in trading decisions
  • Hands-on exercises: simulated trading sessions and order execution scenarios
Day Three: Clearing and Settlement Processes
  • Clearing and settlement overview: roles of clearinghouses, central counterparties (CCPs), and settlement systems
  • Clearing processes: novation, netting, and risk management
  • Settlement processes: delivery versus payment (DVP), securities lending, and collateral management
  • Post-trade reconciliation and reporting
  • Case studies: real-world examples of clearing and settlement processes
Day Four: Risk Management and Regulation
  • Risk management in securities exchanges: market risk, credit risk, liquidity risk, and operational risk
  • Risk management techniques and tools: margin requirements, stress testing, and position limits
  • Regulatory framework for securities exchanges: securities laws, regulations, and oversight bodies
  • Compliance requirements for exchanges and market participants
  • Case studies: regulatory compliance and risk management failures
Day Five: Technology Infrastructure and Innovation
  • Technology infrastructure of securities exchanges: hardware, software, and network architecture
  • High-frequency trading (HFT) and algorithmic trading: principles, strategies, and challenges
  • Market surveillance and monitoring systems
  • Blockchain technology and its potential impact on securities exchanges
  • Future trends and innovations in securities exchange operations and technology

The certificate

  • Coventry Academy Certificate of Completion for delegates who attend and complete the training course

Coventry Academy
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