Introduction to Securities Operations and Risk Management – Infact Pro

Course Content

Overview of Securities Operations

What are securities? Types: Equities, Bonds, and Derivatives

Key participants: Issuers, Investors, and Intermediaries

Life cycle of a trade: Trade execution, clearing, and settlement

Role of Securities Operations

Facilitating seamless trade execution

Managing back-office functions

Ensuring compliance with regulatory standards

Understanding Risk Management in Securities

Risk management techniques: Internal controls, automation, and audit

Regulatory Framework and Compliance

Importance of adhering to SEBI, RBI, and international standards

Role of depositories (NSDL, CDSL) and custodians

Anti-money laundering (AML) and KYC requirements

Emerging Trends in Securities Operations

Impact of technology: Blockchain, AI, and robotic process automation (RPA)

Rise of algorithmic trading and its operational implications

Globalization and cross-border securities transactions

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