Order Management and Compliance

Course title
Order Management and Compliance
2 days


This training provides a comprehensive description of the two modules Order Management for Fund Administrators and Negotiators and Compliance for Fund Managers and Compliance Officers.
Effective order capture and management depends on tightly defined processes between portfolio management, trading desks and external counterparties. FusionCapital Sophis/ FusionInvest caters for these requirements with functionality that enhances the OM process due to the degree of workflow customisation at general, user and group levels, coupled with comprehensive and dynamic reporting.
Establishing and managing regulatory (E.g. UCITS) and in-house compliance rules, ensuring the requisite association between compliance rules and portfolios and reporting on pre and post-trade compliance breaches represent other topics that complete the learning outline of this course.


Recommended Courses
•FusionInvest Getting Started or FusionCapital Sophis Getting Started

Participants should have general understanding of the trading (order management process) and a basic understanding of financial markets and the securities trading lifecycle.

Course Agenda

• FusionCapital Sophis/FusionInvest’s Shared and User Blotter
• Blotter Business Cases and Configurations
• Order Workflow
• Pre-Trade Compliance
• Order Origination, Portfolio Management and Trading Business Case
• Rule administration
• Compliance Sessions and Scheduler
• Reporting
• Alert Management

What's included

Course includes all training presentation materials, trainee workbooks and hands-on exercises. The exercises will be on live systems, through Misys Academy Labs.

Delivery dates

  • TBD