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Overview and Trends: Trade Desk Risk Management and Compliance


In this course you will learn about the equity, fixed-income, and institutional trade desk environments – for example, how to execute an equity trade. You will gain knowledge of risk management controls and the various steps in the trading process. From a fixed-income perspective, you will learn about advanced trading strategies and risk management control options.

With this background, the focus shifts to the regulatory environment and supervision in particular. You will learn the rules and guidelines pertaining to trading, supervision structures, and the impact of high frequency trading on the marketplace.

Who should enroll?

  • This CE course is suitable for investment representatives, investment advisors, traders, institutional supervisors and compliance personnel who would like to learn more about the equity, fixed-income, and institutional trading environments and associated risk management strategies and controls
  • Individuals licensed to sell securities that are subject to Compliance/Professional Development CE requirements
  • Investors wanting to further their knowledge of the trading environment and learn about the various associated risk management strategies and controls