Stockbroking and Client Order Handling
Handling a client order carries duties about sequence, price and disclosure that are easy to breach under pressure. This course covers order handling, execution and the records that prove fair treatment.
Course outline
What this programme covers, module by module.
- 01Duties that attach to a client order
- 02Order taking, recording and confirmation
- 03Best execution and what it requires in practice
- 04Sequencing, aggregation and fair allocation
- 05Conflicts between client, house and staff interests
- 06Clearing, settlement and failed trades
- 07Records, monitoring and evidencing fair treatment
What you will gain
- Take and record client orders correctly
- Apply best execution obligations in practice
- Sequence and allocate orders fairly
- Manage conflicts between client and house interests
- Settle trades and resolve failed settlement
- Maintain records that evidence fair handling
Who should attend
- Stockbroking and dealing staff
- Client service and operations teams
- Compliance officers in securities firms
- Internal auditors covering dealing
Upcoming sessions
| Date | City | Duration | Fees | Book |
|---|---|---|---|---|
| 26 to 28 Oct 2026 | London | 3 Days | US$1,500 | |
| 9 to 11 Nov 2026 | Dubai | 3 Days | US$1,500 | |
| 30 Nov to 2 Dec 2026 | Pretoria | 3 Days | R13,000 | |
| 11 to 13 Jan 2027 | Durban | 3 Days | R13,000 | |
| 23 to 25 Feb 2027 | Cape Town | 3 Days | R13,000 | |
| 3 to 5 May 2027 | Johannesburg | 3 Days | R13,000 | |
| 12 to 14 Jul 2027 | London | 3 Days | US$1,500 |
Fees are per delegate and exclude VAT. Public intakes are confirmed once minimum numbers are met. We also deliver this course on your own schedule, in-house or live online.
Enquire about this course
Register your team or ask for a tailored in-house quote. We reply within one working day.
WhatsApp usCourse brochure (PDF)- Fees from
- R13,000 per delegate
- Duration
- 3 Days
- Field
- Banking & Financial Services
- Formats
- In-house, public, online
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