capital market

Capital Markets Training

Capital markets training course describes how the capital markets operate and examines the features and characteristics of the wide variety of instruments traded in the market. We cover equities, fixed income, foreign exchange and commodities.Fundamentals of economics and interest rates are explored and their relationships to asset values are described. All of these courses can be individually tailored to meet your specific needs. If a particular subject matter is not listed, please get in touch with us.

Domain Training Objectives
  • Understanding securities industry, Exchanges/OTC and different players in the market.
  • Understanding Equities
  • Understanding Bonds
  • Understanding the Money Markets and FX
  • Understanding Financial Maths
  • Treasury Management
Compliance and Regulatory Training Objectives

Today's numerous regulation and compliance requirements continue to expand ever since the credit crisis hit the financial services industry hard. Whether you are an investment advisor, broker/dealer, hedge fund or financial institution, there doesn’t seem to be any end in sight.

On the regulatory compliance side — anti-money laundering, anti-fraud, anti-corruption, supervision, suitability, books and records, and the SEC Net Capital Rule — all continue to remain at the forefront of the industry's concerns. The newer regulations, including the the Dodd-Frank Act, Volcker Rule and Basel III, have created even more extensive compliance requirements, resulting in added costs to the financial services industry.

The Great Financial Crisis created many challenges for financial institutions and regulators alike. The implementation of the new Basel III risk-based capital standards was intended to address the risks that were inadequately addressed by the Basel II regime. While there are clearly many positive aspects of the new international proposals, it is also clear that there are many implementation issues from both a global and regional perspective.

Our training provides a concise but in-depth overview of the key components of the Basel III framework, including specific exercises which reinforce the various methodologies used to calculate capital and provision requirements under this new regulatory regime. In addition to the regulatory requirements, practical considerations to facilitate the implementation of an appropriate risk management program. Risk management has become ever more important as the complexity of banking has increased and regulators attempt to more closely match capital with risk profiles. From a regulator's point of view, the most desirable aspect of banking is survivability rather than profitability – and the key to survivability is risk management.

Risk/Compliance Course Objectives:

  • Dodd-Frank Act - An Overview
  • Discuss significant changes relative to the Basel II framework
  • Recognize updated capital definitions (Tiers 1, 2 and 3)
  • Identify risk-based capital ratio and explain capital charges for Systemically Important Financial Institutions (SIFIs)
  • Explain the approaches to
    • Credit risk
    • Counterparty risk
    • Market risk
    • Operational risk
    • Liquidity risk
  • Foreign Account Tax Compliance Act (FATCA)
  • European Market Infrastructure Regulation (EMIR)

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