FINANCIAL MARKET COURSES
Japanese Equity Market
Receivable Finance (New)
Lending - An Introduction
The Lending Cycle
Commodities - An Introduction (Revised)
Commodities - Trading (New)
Commodities - Livestock (New)
Commodities - Softs (New)
Primer – MiFID II/MiFIR (New)
Understanding Private Wealth Management Business
Private Wealth Management Products & Services
Primer – Smart Beta (New)
Available on iPad and Android tablets as well as desktop
Role of a Custodian
The provision of custody services – basically the ability to gather assets from clients, hold them in safekeeping, and service them – is essential to the proper functioning of financial markets today. The custody business can trace its origins to the days when securities and other assets existed only in paper or certificate form and investors needed a safe place to hold these certificates. As the investment industry grew and became more sophisticated, so too did the custody business.
This course proves an overview of the role of custodians in modern-day financial markets. It explains the different aspects and dimensions of the custodial business, describes some of the basic tools used by custodians, and describes the key services they provide to their clients.
On completion of this course, you will be able to:
• Explain the fundamental business of custodians and differentiate between the different types of custodian
• Describe some of the basic tools used by custodians in their business
• Understand the key role of custodians in relation to safekeeping, possession, and control of assets
• Outline some of the ancillary services provided by custodians
Topic 1: The Custodian as a Business
• What is A Custodian?
• Custodian or Clearing House?
• Different Dimensions
• Key Tasks
• Who is the Custodian?
Topic 2: Custodian Database
• Acquiring Client Information
• Client Master Database
• Asset/Security Master Database
Topic 3: Safekeeping, Possession, & Control
• Registration of Assets/Securities
o Beneficial Owner (Actual) Vs Nominee Name
• Possession & Control
o Handling Loan Transactions & Collateralization
Topic 4: Ancillary Services
• Income Distributions
• Mergers, Acquisitions, and Other Actions
• Reporting Requirements
• Regulatory Requirements
Trade Processing – An Introduction - View Now
ESTIMATED COMPLETED TIME
Role of a Custodian in Trade Processing & Settlement
This course looks at the role played by custodians in the processing of trades, from trade execution right through to trade settlement.
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