Custodial Service Training - Programme Outline
1. Introduction to Securities Custodianship
- Definition of Securities Custodianship
- Role of a Securities Custodian
- Responsibilities of a Securities Custodian
2. Regulations and Compliance
- Overview of Securities Regulation
- Securities and Exchange Board of India (SEBI) Requirements
- Understanding Anti-Money Laundering (AML) and Know Your Customer (KYC) Regulations
3. Investment Products and Services
- Overview of Investment Products and Services
- Stocks and Bonds
- Mutual Funds and Exchange-Traded Funds (ETFs)
- Alternative Investments
4. Securities Processing and Operations
- Overview of Securities Processing and Operations
- Trade Settlements and Clearing
- Record Keeping and Reporting
- Reconciliation and Audit Procedures
5. Risk Management
- Overview of Risk Management
- Types of Risks in Securities Custodianship
- Implementing Risk Management Procedures
- Monitoring and Reporting Risk
6. Ethics and Professionalism
- Overview of Ethics and Professionalism in Securities Custodianship
- Fiduciary Responsibility and Confidentiality
- Ethical Standards for Securities Professionals
7. Conclusion
- Summary of Key Points
- Future Trends in Securities Custodianship
- Role of Technology
By attending this training programme, you will:
- Gain an in-depth understanding of the role of financial securities custodians and the latest industry standards and regulations.
- Learn about the best practices for risk management, compliance, and operational excellence in securities custody.
- Develop practical skills and knowledge to enhance your performance in the field of financial securities custody.
- Network and collaborate with other professionals in the financial sector.
