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Prime Brokerage - An Introduction

Prime brokerage grew from a need to process and control more efficiently the trades of institutions such as hedge funds, money managers, and investment advisers. These institutions are advised on different strategies and, to pay for this advice, they place trades through prime brokerage facilities. The commission charged for the trade pays for the research and other services provided.

 

This course explains prime brokerage and the benefits it provides to different institutions. The course also discusses the prime brokerage trade process, the participants in the process, and the roles of these participants.

  • OBJECTIVES

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

    Describe prime brokerage and list its benefits to the institutional customer

    Understand the relationship between prime brokers and executing banks or broker/dealers

    Explain the role that an executing bank or broker/dealer fills in the prime brokerage process

  • COURSE OUTLINE

    Topic 1: Prime Brokerage and the Executing Bank or Broker/Dealer

    Benefits of Prime Brokerage for Executing Bank or Broker/Dealer and Prime Broker

    Topic 2: Services Provided by Prime Brokers

    Trade Execution and Settlement

    Recording Keeping and Reconciliation

    Asset Servicing

    Securities Lending

    Trade Financing

    Start-up Services

    Capital Introductions

    Topic 3: Overview of Prime Brokerage

    What is Prime Brokerage?

    Institutional Need for Prime Brokerage

    Trade Processing with Prime Brokerage

    History of Prime Brokerage

  • PREREQUISITE KNOWLEDGE

  • ESTIMATED COMPLETED TIME

    60 Minutes

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