With the rise of non-traditional products such as OTC derivatives, bank loans and others, reconciliation and collateral management has become substantially more complex. Many of these products are the result of unique agreements between the two counterparties and there may be little standardization from deal to deal. Understanding Reconciliation and Collateral Management explores key functions performed by the investment manager, their custodians and other third parties.

This class will provide the participant a solid understanding of the key steps within reconciliation and collateral management and the challenges that are faced in managing these processes. The course is designed as an overview for operations and support personnel, IT professionals, marketing and sales and anyone else that needs an understanding of the processes and challenges involved in these functions.

Seminar Contents

1.0 TYPE

1.1 Transaction

1.2 Portfolio

1.3 Collateral


2.1 Investment Manager

2.2 Prime Broker

2.3 Custodian

2.4 Broker/Dealer

2.5 Industry Utilities

2.6 Other Agents


3.1 Cut off Times

3.2 T vs. T+1 vs. T+?

3.3 Global

3.4 Reactive vs. Positive

4.0 DATA

4.1 Required

4.2 Accuracy

4.3 Format

4.4 Delivery

4.5 Tolerances

4.6 Netting


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