Key Details

Duration: 3 Days

Delivery method: In-house

Overview

Global Securities Operations is one of 15 technical units available as part of the Investment Operations Certificate (IOC) which has more than 12,000 exams taken annually worldwide. The unit offers an introduction to global securities, focusing on the main industry participants, settlement characteristics, other investor services and aspects of taxation...

Global Securities Operations is one of 15 technical units available as part of the Investment Operations Certificate (IOC) which has more than 12,000 exams taken annually worldwide. The unit offers an introduction to global securities, focusing on the main industry participants, settlement characteristics, other investor services and aspects of taxation and risk.

Who is this for?

This unit is aimed at operations and administration staff and those involved in all aspects of global custody and settlement.

There are no pre-requisites for this CISI exam.

Securities

  • Securities
  • Principles of Trading

Main Industry Participants

  • Investors and Custody Service Suppliers
  • International Central Securities Depositories and Central Securities Depositories
  • Communications and Technology

Settlement Characteristics

  • Pre-settlement
  • Settlement
  • Failed Settlement

Other Investor Services

  • Safekeeping
  • Corporate Actions
  • Cash Management
  • Securities Lending

Aspects of Taxation

  • General

Risk

  • Identifying and Managing Risk
  • Mitigating Risk through Reconciliation
  • Regulation

Our classroom training is delivered in-house and can be tailored to your Firm's requirements and the ability of the audience preparing for CISI exams.

Face to face training
Our recommended approach includes face to face training with one of our CISI expert trainers who will guide participants through the syllabus in a structured, engaging and interactive manner.

Practice tests and mock exams
Our face to face training days commence with a ‘kick-off’ test, testing the participants on their existing capabilities, and finish with a ‘progress’ test assessing their progress on the days topics.

As part of our in-house CISI study programmes, participants have access to chapter by chapter practice questions and a mock exam that simulates the real CISI examination.

These tools provide valuable feedback and monitoring to track the participants’ performance throughout the study programme and are vital in effectively preparing participants for success in their CISI exam.