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FINANCIAL MARKET COURSES

Prime Brokerage - The Institution's Viewpoint

The selection of a prime broker by an institution is a critical and multifaceted decision. It is critical because institutions have different goals, finances, and structures, and they require different levels and types of service. This course provides an overview of the relationship between an institution and the prime broker. It explains the importance placed on the timeliness and accuracy of trade execution and data recording, and elaborates on the various other needs of institutions (or their clients). Finally, the course explains some of the ancillary services provided by a prime broker to its institutional clients.

  • OBJECTIVES

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

    Identify the key elements of the relationship sought by an institution with its prime broker

    Describe the importance placed on timeliness and accuracy in relation to trade execution and data recording

    Outline the needs of the clients of an institution

    Explain some of the ancillary services provided by prime brokers to an institution

  • COURSE OUTLINE

    Topic 1: Locating the Right Prime Broker

    The Search for a Prime Broker

    Finding the Right Match

    Finding the Right Match – Key Considerations

    o Product Considerations

    o Marketplace Considerations

    o Service Considerations

    o Risk Considerations

    Topic 2: Trade Execution & Data Recording

    Timeliness of Executions

    Timeliness and Accuracy in Data Recording

    Topic 3: Ancillary Services

    Various Ancillary Services

    o Comprehensive Risk Management Systems

    o Real-Time Research Service

    o Access to Funds

    o Access to New Products or Providers

    Recent Trends

    Topic 4: The Institutions Clients

    Client Considerations

    Other Considerations

  • PREREQUISITE KNOWLEDGE

  • ESTIMATED COMPLETED TIME

    60 Minutes

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