Booking options
€260
+ VATCourse Images
Advanced Securities Dealing & Risk Management
Dates
View Dates Hide Dates
- Delivered Online• to
- Delivered Online• to
Highlights
Live Online
6 CPD Units | 6 Hours
The EIMF Live Online Learning Experience
Participants will receive access to the recorded sessions of the course.
EIMF subject-matter experts deliver engaging and interactive courses across a broad spectrum of areas, that can be enjoyed in the comfort of your own chosen environment. Read more
Course Overview
This intensive training programme provides a structured professional development framework for Dealers in Securities, covering both client and broker (dealing in own account activities).
Designed predominantly around the EU regulatory environment, it equips participants with advanced market and product knowledge, including derivatives, CFDs, and securities trading fundamentals.
The programme emphasises risk management and compliance, focusing on liquidity, capital requirements, and hedging strategies for complex exposures. Participants will also gain a thorough understanding of regulatory obligations, such as suitability assessments, KYC, leverage and margin rules, transaction reporting, and market abuse prevention.
With a strong focus on best execution practices and market microstructure, the programme blends technical expertise with regulatory insight, enabling dealers to anticipate market shifts, manage risks effectively, and operate within a robust compliance framework.
Training Objectives
By the end of the programme participants will be prepared to navigate dynamic markets with confidence and integrity, specifically they will be able to:
Understand financial instruments: Identify and explain characteristics of derivatives (especially CFDs) and their correlation with underlying assets.
Identify Brokerage models: Differentiate between traditional brokers and CFD brokers, including reference to CFD pricing, spreads, margin requirements, and risk/exposure assessment.
Learn Market microstructure: Explain liquidity providers, order routing, broker execution models, and the role of proprietary trading within regulatory boundaries.
Describe Market analysis & dealing setup: Describe how market analysis supports anticipation, preparation, and execution in dealing operations.
Implement Risk management: Identify five major risks in dealing, apply effective risk management techniques, and implement hedging strategies for securities/CFDs while ensuring compliance.
Understand Liquidity & capital requirements: Understand and comply with capital adequacy, liquidity, leverage, and margin rules to protect clients and support sustainable performance.
Ensure Client protection & classification: Getting involved in Suitability and KYC requirements and describe differences in treatment between retail and professional
Meet Regulatory obligations: Fulfil transaction reporting duties, detect and escalate suspicious activity, and integrate compliance frameworks into daily operations.
Apply Best Execution principles: Describe what Best Execution means and demonstrate how to apply these principles in practice.
Implement Compliance integration: Embed regulatory compliance and risk management into daily dealing operations to uphold market integrity, client trust, and long-term sustainability.
Training Outline
Core Market & Product Knowledge
Understanding derivatives and correlations with underlying assets
Advanced CFD trading mechanics: pricing, spreads, margin requirements
Market microstructure: liquidity providers, order routing, execution models
Securities trading fundamentals, core assets: equities, FX, commodities
Advanced market analysis & Ability to anticipate market shifts
Exercise: Markets Analysis Skills - Preparation and Execution
Risk Management & Compliance
Risk Identification and Management
Adhering to liquidity and capital requirements for trading activities
Hedging strategies for Securities/CFD exposures & compliance
Proprietary Trading: Hedging, Leverage and Regulation
Exercise: Capital Adequacy: Covering excess
Regulatory Compliance: Suitability, Reporting and Best Execution
Suitability and KYC and Regulatory frameworks
Leverage and Margin Requirements - Regulatory frameworks
Transaction Reporting and Authorized Trade Repositories
Market Abuse Regulation and Reporting
Best Execution - Regulatory frameworks
Exercise:
- Market abuse - Front-Running
- Best Execution Measures
Who Should Attend
The programme is ideal for:
Front Office / Dealing Desk Roles: CFD Dealers / Traders / Dealing officers/Trading officers
Sales Traders / Account Managers / Customer support - Focus on Dealing matters
Risk & Compliance Functions: Risk Managers / Risk Monitoring officers
Compliance officers
Chief Risk Officer (CRO) / Head of Compliance
Middle Office Roles: Operations Analysts, Regulatory Reporting Specialists
Management & Oversight: Head of Dealing / Trading Desk Managers
Training Style
This intensive programme combines interactive lectures, real-life case studies, and practical simulations to deepen participants' market and product knowledge. The focus will be on active learning, where participants engage with complex scenarios to assess their strengths and areas for improvement.
Through feedback and hands-on exercises, participants will be able to apply risk management and compliance strategies to real-world trading environments. The training ensures that participants not only understand key concepts but can implement them confidently in their daily operations, enhancing their decision-making and market anticipation skills.
CPD Recognition
This programme may be approved for up to 6 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
In-house Training
For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.
Facilitators
Marios Kyriakou
Marios C. Kyriakou has been working in the financial services industry for more than 10 years taking on various roles. Professional Educator, Trading instructor, Technical Analyst, MQL Programmer, experienced Dealer, Trader and Portfolio Manager. Marios is dedicated to understanding the intricacies of the markets, refining his own personal strategies and educating those interested in delving deeper into the world trading and investing online.