Learning Platform - "Trade Compliance & Surveillance"
Course: Brokers & Brokerage Services
About the online training programme
This course contains animation-style videos with narration (and subtitles) which set out the role of brokers in the over-the-counter markets. Attention is given to brokerage services, the different types of brokers, the regulations they face and the communication tolls they have available to reach their clientele and, thus, market participants.
Course Contents
This course covers the following video lessons:
- Introduction
- Interdealer broker
- Broker-dealer
- Service level
- Crossing orders
- Client account & transactional account
- Brokerage fee
- Transaction costs
- Regulation – Best price execution
- Regulation – Post-trade central clearing
- Commodity brokers
- Broker industry bodies
- Communication tools – Private & group communication
- Communication tools – Voice-brokering
- Communication tools – Advertisement screens
- Communication tools – Electronic trading platform
This course also includes examination and certification.