Trading Operations
The daily operating discipline of a licensed brokerage: order handling, client accounts and trade controls.
Programme overview
A practical programme for brokerage staff covering the full trade lifecycle from client onboarding and order receipt to execution records, error handling and end-of-day reconciliation.
Every module is anchored on the records an FRA inspection would request.
Key learning outcomes
- 01Open and maintain compliant client accounts
- 02Handle orders across channels with proper evidence trails
- 03Apply best execution and order priority rules
- 04Correct trade errors through the approved process
- 05Reconcile positions, cash and commissions daily
- 06Escalate exceptions and client complaints correctly
Curriculum
Onboarding
Account opening, documentation and client classification.
Order handling
Channels, recording, priority and best execution.
Execution & allocation
Fills, average pricing and allocation discipline.
Errors & complaints
Error accounts, corrections and complaint handling.
Reconciliation
Cash, positions, commissions and end-of-day reporting.
Prerequisites, assessment & certification
Prerequisites
None.
Assessment
Scenario-based multiple-choice examination.
Certification
Counts toward the Brokerage Professional Certification.
Other programmes in this track
Reserve a place on the next cohort
Member firms receive preferential rates and can nominate delegates directly through the secretariat. In-house delivery is available for cohorts of ten or more.