Introduction to Financial Markets

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Explore in this Introduction to Financial Markets course how the financial market works, its major participants and their value objectives, and the typical instruments used.

  • Price discovery
  • Corporations
  • IPO
  • Fund managers
  • Banks
  • Market makers
  • Stocks
  • OTC markets
  • Fixed Income
  • Credit ratings
  • ETF
  • Liquidity discovery
  • Issuance
  • M&A
  • Hedge funds
  • Broker dealers
  • Equity
  • Exchanges
  • Electronic trading
  • Bonds
  • Index
  • Foreign exchange

Delivery options

  • Classroom session (1 day)
  • Virtual classroom (series of 1 to 1.5-hour webinars)
  • In-house

Option 1: classroom

You attend alongside other market participants: £695

Option 2: virtual classroom

You attend alongside other market participants via an interactive online classroom: £595

Option 3: In-house

This course can be tailored specifically for your organisation and delivered at your offices, offering a cost effective solution for more than 5 employees.

  • What is the function of a financial market? Who are the participants in the markets? What are their objectives? What are the businesses of the “middlemen”: the banks, brokers and market makers? What is a stock, a bond, a loan and a currency? How are these instruments quoted and traded? How to think about their value and risk? What are derivatives? This class provides answers to these basic but important questions about the financial markets from an overview perspective
  • Learn in this Introduction to Financial Markets course the financing activities of corporations, different types of funds and their investment propositions, and the roles of financial intermediaries with respect to liquidity in the financial markets
  • Learn in this Introduction to Financial Markets course the typical products in the equity, fixed income and FX markets, how these markets trade and how investments are positioned with respect to risk and return
  • Get a brief overview in this class what derivatives are and how they are related to the cash instruments or physical underlying
  • People who are looking for a first level introduction to how the financial markets operate, the products used in them and the value objectives of the various participants
  • New joiners to the financial industry and graduate trainees
  • Professionals who have been working in a specific area in the financial industry and want a comprehensive refresher or to expand their view about financial markets
  • Professionals in support functions such as operations, technology, risk and financial controls of financial institutions who do not have background in finance
  • *Pre-requisite: Participants do not need to have any pre-knowledge in the subject
  • The participants and their value propositions
    • Corporations: issuance, merger and acquisition, hedging
    • Institutions and investors: investment funds, hedge funds, and their value propositions (alpha and beta)
    • Intermediaries: banks, brokers, market makers
    • Class exercise: name the participants and products
  • The equity markets
    • Stocks and other instruments
    • Measuring value: price-earnings ratio
    • Where and how do stocks trade?
    • What is algorithmic trading?
    • Securities financing
    • Class quiz: name the equity sectors
    • Trading game 
  • The fixed income markets
    • Various types of bonds
    • Repo: financing bond positions
    • Interest rates, yield curves, duration
    • Credit exposures and credit spreads
    • Segments of the markets: short term vs. long term; investment grade vs. high yield
    • Class quiz game on names of types of bonds
  • Indices and ETFs
    • Price weighted vs. capitalization weighted indices
    • Exchange traded funds: index tracking
    • Smart indices and robo-advisors
  • The foreign exchange markets
    • FX quotes
    • What drive FX
    • Class quiz: which side of the trade are you on?
  • Brief expositions about derivatives
  • A few words about risks: for companies, investors and banks
  • This Introduction to Financial Markets course provides a holistic overview of financial markets, allowing the participants to gain an informative high-level view of the various components of the markets and understand their similarities and differences and how they are connected and intertwined
  • This class utilizes simple examples and intuitive descriptions to provide the participants a solid foundation before they move onto the technical details of specific topics in more advanced classes about the financial markets
  • This Introduction to Financial Markets course is presented by a former market practitioner who is also an experienced teacher; it includes real life examples and interactive class exercises

Kai Hing Lum

Financial Markets

Kai Hing is an expert financial markets educator.

Kai Hing held several roles during his 21-year tenure at UBS across audit, in which he focused on trading and derivative businesses; and a specialized team responsible for the structuring and risk assessment of complex trades and new businesses.

Equipped with both broad and detailed understanding of finance, Kai Hing then joined the renowned UBS Financial Markets Education team and took on global responsibility to manage programs, create content and teach courses to colleagues and clients on a wide range of topics on equities, fixed income, FX, derivatives, equity valuation, portfolio analysis, risk control frameworks and methodologies.

As an experienced presenter with energetic and enthusiastic presentation style, coupled with a deep understanding of the subjects from his practical experiences, Kai Hing constantly receives high praise from his audience.

Before his career in the financial industry, Kai Hing taught and did research in mathematics after obtaining his Ph.D. in mathematics from the University of Chicago.

Kai Hing leads on our Financial Markets offerings.

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