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FINANCIAL MARKET COURSES

Life of a Trade – Pre-Trade

This course focuses on activities that occur pre-trade. It describes the client onboarding process, including the various regulatory and compliance checks to ensure that an institution is legally permitted to retain the client. The course also explores various aspects of pre-trade planning, including client motivations for trading, view formation, transaction cost analysis, and pre-trade risk controls.

  • OBJECTIVES

    On completion of this course, you will be able to:

    Recognize the importance of the client onboarding process that an institution must go through before accepting a new client

    Identify other pre-trade activities that an institution must undertake prior to trading

  • COURSE OUTLINE

    Topic 1: Client Onboarding

    What is Client Onboarding?

    Onboarding Process

    o Soliciting & Facilitating the Onboarding Request

    o Performing Client Due Diligence

    o Establishing the Credit Terms

    o Managing Legal Agreements

    o Setting Up the Client in the System

    Client Due Diligence

    o Anti-Money Laundering (AML) & Combating the Financing of Terrorism (CFT)

    o FATF Recommendations

    • Customer Due Diligence (CDD)

    • Politically Exposed Persons (PEPs)

    o Know Your Client/Customer (KYC)

    Topic 2: Pre-Trade Planning

    Motivations for Trading

    o Cash Needs

    o Hedging

    o Diversification

    o View Monetization

    o View Formation

    • Fundamental Analysis

    • Behavioral Analysis

    • Low-Latency Strategies

    o From View Formation to View Monetization

    Pre-Trade Transaction Cost Analysis

    o Explicit Costs

    o Implicit Costs

    o Opportunity Costs

    o Process

    Pre-Trade Risk Controls

  • PREREQUISITE KNOWLEDGE

  • ESTIMATED COMPLETED TIME

    60 Minutes

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