Outcomes
By the end of this training course, trainees will be able to:
- Audit Forex and equity trading activities within investment and brokerage companies.
- Identifying key risks, evaluating governance and control frameworks, assessing trading lifecycle processes, and designing risk-based audit programs tailored to trading environments.
Target Group
- Internal auditors, risk and compliance officers, brokerage operations professionals, and investment control staff.
Contents
- Forex and equity trading mechanisms.
- Brokerage business models and revenue structures.
- Trading lifecycle and operational controls.
- Key risks: market, leverage, liquidity, counterparty, operational.
- Governance, supervision, and client protection.
- Margin controls and valuation integrity.
- Regulatory and compliance considerations.
- Risk-based audit planning and execution.
- Practical cases.