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ADVANCED ADVANCED CERTIFICATE IN CERTIFICATE IN GLOBAL SECURITIES GLOBAL SECURITIES OPERATIONS OPERATIONS

Introduction to the Advanced Certificate in Global Securities Operations The Advanced Certificate in Global Securities Operations is a new award, aimed at individuals working in operations and/or administration who are seeking to develop their professional and technical skills as operations specialists in the financial services industry. It will be of particular value to firms keen to prepare staff for more demanding roles which require a broader understanding of the environment in which the firm operates. As part of SIIs commitment to lifelong learning, candidates registering for the Advanced Certificate in Global Securities Operations become Student members of SII at no additional cost for the duration of the programme. The Advanced Certificate in Global Securities Operations is achieved through passing: Module 1 Global Securities Operations Module 2 Advanced Global Securities Operations Workbooks are available for both modules.

Module 2: Advanced Global Securities Operations The Advanced Global Securities Operations module is a three-hour manuscript examination, where candidates are required to answer a variety of short and case-study style questions. The examinations are held twice a year in June and December. (Commencing in December 2006). SII authoritative workbook available, sponsored by Scottish Investment Operations. Advanced Global Securities Operations Syllabus: Market regulations and taxes Settlements construction Trading and exchange analysis Cash management and reconciliation Custodian procedures Capital structure and process framework Client management Service level agreements Market developments and trends SII Membership If candidates are not already members of the SII, they must register as student members (at no additional cost) at the outset of the programme. On completion of the Advanced Certificate in Global Securities Operations, candidates can become Associate members (ASI) of SII. Successful candidates will only have to demonstrate three years of continuous professional development (instead of six) to become a full member (MSI) of SII.

Module 1: Global Securities Operations The Global Securities Operations paper is a onehour multiple choice examination, where For further information on the Advanced candidates are required to answer 50 questions. Certificate in Global Securities Operations and SII The examination is delivered through Computer Membership contact our Client Services team on Based Testing enabling candidates to sit the +44 (0) 20 7645 0680 or alternatively email examination when ready. SII authoritative clientservices@sii.org.uk. workbook available. This Certificate is a benchmark for the enhancement of Global Securities Operations Syllabus: expertise of all Operations personnel particularly those in Securities Foreign exchange the Global Custody business. It is an intrinsic part of the Main industry participants Diploma suite of qualifications that demonstrate Settlement characteristics commitment to improving knowledge and client service. Other investor services Iain Mailer Aspects of taxation Associate Director Risk Newton Investment Management

What Next? Flexible Pathways to the new SII Diploma in Investment Operations Diploma in Investment Operations

Advanced Investment Schemes Administration Module Global Operations Management Advanced Operational Risk Module

Advanced Investment Schemes Administration Module

Advanced Operational Risk Module

Advanced Certificate in Global Securities Operations

Advanced Certificate in Global Securities Operations

Advanced Global Securities Operations Module

Route 1: Advanced Certificate in Global Securities Operations plus Global Operations Management The Global Operations Management module is a three-hour manuscript examination, where candidates are required to answer a variety of short and case-study style questions. The examinations are held twice a year in June and December. Global Operations Management Syllabus: Instruments and characteristics Trading Settlement clearance Regulation & compliance Risks and controls Asset servicing and custody Passes in: Global Securities Operations Advanced Global Securities Operations (leading to ACGSO) Global Operations Management Route 2: Advanced Certificate in Global Securities Operations plus Advanced Operational Risk and Advanced Investment Schemes Administration modules Passes in: Global Securities Operations Advanced Global Securities Operations (leading to ACGSO) Advanced Operational Risk Advanced Investment Schemes Administration

Route 3: Three Advanced Modules This route has been created for practitioners who have significant industry experience within operations and who have not taken the IAQTM. This route leads directly to the Diploma in Investment Operations but without requiring separate Advanced Certificates. Passes in exam papers: Advanced Operational Risk Advanced Global Securities Operations Advanced Investment Schemes Administration SII Membership On completion of the Diploma in Investment Operations individuals qualify immediately for full Membership status (MSI) of the SII. For further information on the Diploma in Investment Operations and SII Membership contact our Client Services team on +44 (0) 20 7645 0680 or alternatively email clientservices@sii.org.uk.

This is just what the industry needs a relevant advanced Investment Operations qualification.

John Hogg UK Product Manager BNP Paribas Securities Services and Chairman of Scottish Investment Operations (SIO)