Terminal Objective:

By the end of this module, participants will be able to identify the process of securities trading, derivatives dealing and settlement in order to advise and monitor the on current processes and practices. 

Enabling Objectives:  

• Differentiate the obligations and rights between counterparties of a securities trade and derivatives dealing
• Identify products, relevant rules and regulations for securities trade and derivatives dealing and settlement
• Explain all deals in the trading system in accordance with procedures and regulations
• Identify the types of trade and margin required for settlements
• Outline the process for payment and transfer of securities stipulated in the rules, regulations and procedures
• Outline the process and procedures for cash settlement or physical delivery according to contract specifications and/or client’s instruction
• Identify issues arising from Digital Technologies and other technological advancement