WEBINAR
Principles of Investments
- Do you have Brokerage Sales Assistants, Administrative Assistants, Investment Assistants and Operations staff who would perform their tasks more effectively if they understood more about the basics of Investments?
- Have you had turnover in the Administrative Assistant and Operations staff positions and find it hard to find the time to train them?
- Have the regulators / auditors suggested you should do more staff training?
- Are you finding the new hires in these positions expect career development training?
If the answer to any of these questions is yes, READ ON to learn more about these five foundational educational topics delivered in this webinar series.
A FIVE-SESSION EXPLORATION OF ETHICS, INVESTMENT STRATEGY, AND COMPLIANCE
Designed for staff of fiduciary organizations who want to deepen their expertise, this five-session online seminar series provides a comprehensive guide to the principles, strategies, and regulatory requirements of fiduciary investment. Each session builds on the latter, offering practical insights and advanced knowledge to ensure fiduciary organizations uphold the highest standards of professionalism, care, and compliance.
SESSION ONE – Introduction to Fiduciary Investments
Start the journey by building the foundation. This session introduces the evolution of investing, from the invention of fungibility to the role of investment discretion. Gain an understanding of key investment vehicles, including stocks, bonds, pooled investments, options, futures, forwards, and swaps.
SESSION TWO – Investment Industry Overview
Explore the ethical frameworks and regulatory structures that guide fiduciary investing. This session delves into the role of broker-dealers, FINRA, and the concept of suitability. Build a solid understanding of how discretion and ethics intersect to meet complex needs and industry best practices.
SESSION THREE – Theories of Investment
Step into the world of investment theory. Learn how capital market efficiencies, modern portfolio theory, and performance metrics shape fiduciary decisions. This session covers risk and return dynamics, efficient frontiers, and key models like CAPM, arbitrage pricing theory, and total return analysis.
SESSION FOUR – Allocation and Diversification
Master the tools of allocation and diversification. Explore asset types, asset categories, and risk appetite. Learn practical strategies to manage and mitigate risk while aligning investments with fiduciary objectives.
SESSION FIVE – Investment Review and Oversight
Bring it all together with an in-depth look at the investment review and at oversight. This session covers Regulation 9, the backbone of the industry. It also explores shadow posting, and the critical role of the trust oversight committee. Learn about compliance, accountability and the six lines of defense framework, including the intricacies of outsourcing, reconciliation, and effective oversight practices.
Pohl Consulting and Training is pleased to offer a cost-effective solution to your training needs. Take advantage of our knowledge, experience and expertise and give your staff what they need.
Audience: Brokerage Assistants, Trust Operations Staff, Trust Administrative Assistants, Middle Office Staff, Investment Assistants.
- Training is presented live and is interactive. It is not computer-generated nor does it require travel. Sessions are recorded and can be provided to those who were unable to participate in a particular session.
- Each module is self-contained and does not require pre-work or completion of another course.
- Discussion topics to facilitate in-house mentoring are provided for each segment.
We conduct 5 Webinars on a schedule that works for your team. Each Webinar will be approximately 1 hour in length. Each session is recorded for those that miss a session.
Investment Options:
- $3950 for the Program. ($3500 for retainer clients) This allows your institution unlimited seats for the webinar.
- If you would prefer to conduct one webinar on a specific topic, it will be $1250 per webinar. ($1000 for retainer clients)
Michael Daly is Director of Risk Management and Operations at Pohl Consulting and Training. He knows firsthand the importance of education as an essential guide to the various routes to success.
With over 25 years’ experience in trading, operations management, product development and risk management, he’s watched regulations and technology evolve and support fiduciary businesses.
Mike provides high energy storytelling to simplify complex regulations, and both history and logic to define and clarify fiduciary fundamentals. He’s been a trainer and national conference speaker for the ABA and for over a decade served as Chair of the ICB/ABA Certification of Securities Operations Professionals (CSOP). For eight years he served on the Board of Directors for the Fiduciary and Investment Risk Management Association (FIRMA) and has authored numerous industry articles.
His certifications include Securities Operations Professional (CSOP), Fiduciary and Investment Risk Specialist (CFIRS), Corporate Trust Specialist (CTTS), and Project Management Risk Management Professional (PMIRMP). He holds an MBA in International Business from the Thunderbird School of Global Management, Arizona State University.
Please fill out the form below to get in contact with our team about this webinar series.
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