Certified Securities Operations Professional (CSOP)

Available Dates

Jan-06-2025

Barcelona
Jan-20-2025

Barcelona
Feb-03-2025

Barcelona
Feb-17-2025

Barcelona
Mar-03-2025

Barcelona
Mar-17-2025

Barcelona
Apr-07-2025

Barcelona
Apr-21-2025

Barcelona
May-05-2025

Barcelona
May-19-2025

Barcelona
June-02-2025

Barcelona
June-16-2025

Barcelona
June-30-2025

Barcelona
July-07-2025

Barcelona
July-21-2025

Barcelona
Aug-04-2025

Barcelona
Aug-18-2025

Barcelona
Sep-01-2025

Barcelona
Sep-15-2025

Barcelona
Sep-29-2025

Barcelona
Oct-06-2025

Barcelona
Oct-20-2025

Barcelona
Nov-03-2025

Barcelona
Nov-17-2025

Barcelona
Dec-01-2025

Barcelona
Dec-15-2025

Barcelona
Dec-29-2025

Barcelona

Dates in Other Venues

Jan-06-2025

Dubai
Jan-13-2025

Kuala Lumpur
Jan-13-2025

Istanbul
Jan-20-2025

Paris
Jan-27-2025

Amsterdam
Jan-27-2025

London
Feb-03-2025

Dubai
Feb-10-2025

Istanbul
Feb-10-2025

Kuala Lumpur
Feb-17-2025

Paris
Feb-24-2025

Amsterdam
Feb-24-2025

London
Mar-03-2025

Dubai
Mar-10-2025

Kuala Lumpur
Mar-10-2025

Istanbul
Mar-17-2025

Paris
Mar-24-2025

Amsterdam
Mar-24-2025

London
Apr-07-2025

Dubai
Apr-14-2025

Istanbul
Apr-14-2025

Kuala Lumpur
Apr-21-2025

Paris
Apr-28-2025

London
Apr-28-2025

Amsterdam
May-05-2025

Dubai
May-12-2025

Kuala Lumpur
May-12-2025

Istanbul
May-19-2025

Paris
May-26-2025

London
May-26-2025

Amsterdam
June-02-2025

Dubai
June-09-2025

Kuala Lumpur
June-09-2025

Istanbul
June-16-2025

Paris
June-23-2025

London
June-30-2025

Dubai
June-30-2025

Amsterdam
July-07-2025

Dubai
July-14-2025

Kuala Lumpur
July-14-2025

Istanbul
July-21-2025

Paris
July-28-2025

London
July-28-2025

Amsterdam
Aug-04-2025

Dubai
Aug-11-2025

Istanbul
Aug-11-2025

Kuala Lumpur
Aug-18-2025

Paris
Aug-25-2025

Amsterdam
Aug-25-2025

London
Sep-01-2025

Dubai
Sep-08-2025

Istanbul
Sep-08-2025

Kuala Lumpur
Sep-15-2025

Paris
Sep-22-2025

London
Sep-29-2025

Amsterdam
Sep-29-2025

Dubai
Oct-06-2025

Dubai
Oct-13-2025

Istanbul
Oct-13-2025

Kuala Lumpur
Oct-20-2025

Paris
Oct-27-2025

Amsterdam
Oct-27-2025

London
Nov-03-2025

Dubai
Nov-10-2025

Istanbul
Nov-10-2025

Kuala Lumpur
Nov-17-2025

Paris
Nov-24-2025

Amsterdam
Nov-24-2025

London
Dec-01-2025

Dubai
Dec-08-2025

Kuala Lumpur
Dec-08-2025

Istanbul
Dec-15-2025

Paris
Dec-22-2025

London
Dec-29-2025

Amsterdam
Dec-29-2025

Dubai

Course Details

The securities industry is a complex, highly regulated field that plays a critical role in financial markets, requiring precision, regulatory knowledge, and risk management. For professionals in securities operations, understanding the processes, structures, and compliance requirements involved is essential to ensuring smooth transactions, safeguarding assets, and meeting legal standards. The Certified Securities Operations Professional (CSOP) course provides in-depth training on the responsibilities of securities operations professionals, covering everything from the types of securities to regulatory compliance and risk management strategies.

This five-day course guides participants through key areas such as securities processing, reconciliation, audit practices, and the structure of the industry. With a focus on real-world applications, the CSOP course equips attendees with the expertise to manage trading risks, ensure compliance with federal regulations, and navigate the various roles within securities operations.

Upon completion of the Certified Securities Operations Professional (CSOP) course, participants will:

Identify the roles and responsibilities of securities operations professionals in the financial sector.
Describe the structure and functioning of various securities and financial products.
Understand regulatory frameworks that impact securities, including federal and self-regulating organizations (SROs).
Ensure compliance with federal regulations and SRO standards applicable to securities operations.
Develop risk management strategies to mitigate risks in securities processing.
Apply reconciliation procedures and audit practices to manage and monitor securities risks.
Recognize the roles of key industry structures, such as exchanges, depositories, and clearing corporations.
Understand securities identifiers and the process involved in securities transfer.

The Certified Securities Operations Professional (CSOP) course is ideal for professionals working in securities operations and related areas, including:

Security Operations Analysts
Compliance Officers
Risk Management Specialists
Trade Operations Specialists
Settlement Officers
Financial Auditors
Treasury Analysts
Investment Analysts
Financial Services Associates
Clearing and Settlement Officers

Our courses in Barcelona are held at the LPC office located at:

Passeig de Gràcia, 21, planta principal, 08007 Barcelona, Spain

Once you register, we will subsequently send you the course details, including the location, trainer, and other logistical information.

Pay Attention, Please! The course location at our offices is subject to availability. Should our office be unavailable, we will secure an alternative nearby venue and promptly inform you of the change. The exact time and location will be confirmed one week prior to the course commencement.

Course Outline

5 days course

Day 1

Day 2

Day 3

Day 4

Day 5

Introduction to Securities Types and Products

Definition and significance of securities operations
Identifying the role and responsibilities of securities operations professionals
Discovering the structure of corporate equity and corporate debt securities
Identifying the features and trading practices of U.S treasury and agency securities
Understanding municipal securities and its categories
Describing the money market instruments and repurchase agreements

More Types of Securities and Related Products

Understanding how pay-down securities work
Examining pooled / collective investments in financial markets
Discovering types of derivative instruments
Exploring international securities and specialized investment products
Navigating class action settlements
Describing the procedures of tax reclamation and their role in security operations

Regulators, Regulation and Compliance

Recognizing the importance of compliance with laws and regulations
Reviewing federal laws and regulations applicable to securities operations:

Securities Acts of 1933 & 1934
SEC rules and regulations
NASD rules and regulations
MSRB/GSA rules and regulations
NYSE rules and regulations

Explaining the role of regulators and their impact on securities operations
Understanding self-regulating organizations (SROs) and their functions
Best practices to ensure compliance and alignment with federal and SRO standards

Controls, Reconciliation and Audit

Overview of the process of creating and managing a properly controlled processing environment
Describe the role of the securities operations department in managing trading risks
Discussing the methodology of implementing controls for managing risks
Discovering reconciliation methods and tools in securities operations
Strategies for establishing regular audit practices and procedures to monitor and validate controls

Industry Structure

Overview of the key roles of industry structures in the security operation industry
Distinguishing between major exchanges: NASD vs. NYSE
Examining the role of depositories and clearing corporations in security operations
Analyzing the benefits and limitations of electronic communication networks (ECNs)
Exploring securities identifying entities and their purpose
Explaining the process of securities transfer and identifying parties involved

Certified Securities Operations Professional (CSOP)

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