Get in Touch

Course Outline

Global Capital Markets

  • Defining a 'financial market place'
  • The historical evolution of today's global financial markets
  • The influence of financial media
  • Architecture of major capital markets:
    • Exchanges, Clearing Houses, and Regulatory Bodies
    • The contemporary surge in global investment
    • Various types of 'Stock Exchanges'
    • The position of Stock Exchanges in modern markets
    • Comparative overview of US, European, Middle Eastern, and Asian Stock Exchanges

Regulation of Financial Markets

  • Capital Adequacy Requirements
  • Basel I Framework
  • Basel II Framework
  • Basel III and its broader implications
  • Innovations in New Product Development

Asset Classes and Their Respective Markets

  • Current instruments traded on Stock Exchanges
  • Equities: Common and Preferred shares
  • Bonds: Corporate and Government issues
  • Bond structures: Fixed, Floating, Zero coupon, and the Yield Curve
  • Money Market instruments
  • Currency markets
  • Investor motivations: drivers for buying and selling
  • Dynamics of Income versus Capital Gain
  • Interconnections among different asset classes
  • The relationship between Exchange-traded and Over-The-Counter (OTC) markets

Short-Term Money Markets

  • Certificates of Deposit
  • Treasury Bills
  • Commercial Paper
  • Trade Paper and Bank Acceptances (BAs)
  • Standard market norms and practices
  • Key market participants

Types of Stock Exchange Investors

  • Individual and Institutional Investors
  • Fund Managers
  • Hedge Funds
  • Direct Stock Exchange participants
  • Investment Banks, Stockbrokers, Hedge Funds, and Prime Brokers
  • Intra-market dynamics: the buy and sell sides of the industry

The Function of the Stock Exchange

  • Trading venues for various products
  • The significance of the OTC market
  • Historical development of Stock Exchanges
  • Leading Stock Exchanges in the current landscape
  • Distinguishing architectural features of US, European, and Asian markets
  • Asset classes traded on exchanges worldwide
  • Key Primary and Secondary markets
  • Major hubs: New York, Euronext, London, Shanghai, Hong Kong
  • Appeal of 'listed' companies to investors
  • Leveraging Stock Exchanges for liquidity pooling and capital raising
  • Strategies for Capital Raising
  • 'Floating' a company: various methodologies

Clearing and Settlement

  • Settlement mechanics and associated risks
  • Divergent Settlement Conventions across major markets
  • Processing Equities, Bonds, and Derivatives
  • Procedures for Derivatives Clearing
  • The role of the Central Counterparty (CCP)
  • CCP services delivered to Stock Exchanges
  • Margin requirements
  • The security trade settlement workflow
  • Pre-settlement processes
  • Final Settlement
  • Potential issues: unmatched trades, settlement delays, and failed deliveries
  • Stock Exchange Settlement protocols
  • The 'life cycle of a trade': tracing the path from execution to settlement
  • The function of International Central Securities Depositories (ICSDs) and Central Securities Depositories (CSDs): LCH.Clearnet, Euroclear, Crest, Clearstream International, and DTC

Custody Services

  • The role of Custodians in stock markets
  • Settlement and safekeeping of assets
  • Income collection and Corporate Actions processing
  • Cash management and funding transactions
  • Supplementary services
  • Accounting procedures
  • Stock Lending and collateral management
  • Trustee services
  • Valuation reporting

Alternative Investments

  • Defining Alternative Investments
  • Structured products: risk and return profiles
  • Hedge funds: risk management and control
  • Venture Capital: valuation challenges, risk, and control
  • Private Equity and Angel Financing
  • Application of derivatives in Asset Management
  • OTC versus ETD markets
  • Derivative instruments utilized in Asset Management
  • Futures contracts
  • Options
  • Risk controls for derivatives, covering documentation, valuation, and reporting

Managing Quoted Equity Investments

  • Risks involved in acquiring securities
  • Risks involved in managing securities portfolios
  • Risks stemming from corporate actions
  • Pricing mechanisms for quoted equity investments
  • Primary sources of risk
  • Standard controls within equity investment management
  • Risks specific to international equity markets

Managing Quoted Fixed Income Investments

  • Risks associated with buying and selling fixed income securities
  • Utilization of credit ratings and related risk considerations
  • Pricing risks for fixed income securities
  • Risk and control frameworks for corporate fixed income processing
  • Risks specific to Government Securities
  • Sovereign risk assessments
  • Valuation methods for government securities
  • Risk and control measures for sovereign bond processing

Market and Credit Risks in Global Market Investing

  • Identification of Market risks
  • Value at Risk (VAR) calculations
  • Modelling Market risk
  • Assessment of Credit Risks
  • Metrics for measuring Credit risk
  • Global Market specific risks
  • Money Market specific risks
  • OTC market risks
  • Exchange-related risks
 14 Hours

Number of participants


Price per participant

Testimonials (1)

Upcoming Courses

Related Categories