Capital Markets Trading Operations

Risk and Control guide to Front, middle and Back Office with AI Applications in Capital Market Operations

Capital Markets Uncovered: Infrastructure, Risk, and the Future of Trading

Navigate the complex world of capital markets with this comprehensive guide, offering an in-depth look at the infrastructure, participants, risks, and controls that define modern trading. This book provides detailed analyses of capital markets trading operations infrastructure; market participants; trade life cycle operations framework, risks and controls; increased use of cloud-based solutions in capital market operations; application of Artificial intelligence on capital market operations; and the Volker Rule, revision to the Volker Rule, and new Volker Compliance regime; major trading scandals during the past; and a case study of UBS Bank trader fraud.

Key topics covered include:

• Market Infrastructure and Participants: Explore the roles of key players, including buy-side and sell-side firms, liquidity providers, and the underlying systems that facilitate trade execution and settlement.

• The Trade Life Cycle: Gain a detailed understanding of the end-to-end operational framework, from trade execution up to the settlement, and the inherent risks involved.

• Risk Management and Controls: Learn how financial institutions manage exposure, ensure compliance with internal policies and market regulations, and implement controls to mitigate potential losses.

• Technological Transformation: Examine the increased application of Artificial Intelligence (AI) in all areas of capital market operations and cloud-based solutions in capital market operations offering enhanced speed, security, scalability, etc.

• Regulatory Landscape: Review the historical context, revisions, and compliance regimes of the Volcker Program which aims to prevent banks from engaging in speculative proprietary trading with customer deposits.

• Major Trading Scandals: Analyze significant historical frauds, including a detailed case study of the infamous UBS Bank trader fraud, to understand how breaches in controls and risk mismanagement can lead to catastrophic outcomes.

Whether you are a seasoned professional or new to the industry, capital markets uncovered equips you with the knowledge to navigate the intricacies of the financial markets and stay ahead of the curve in a rapidly evolving landscape.