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EasyUphill
CORPORATE DEVELOPMENT
+27 81 041 7673
training@eubiz.co.za
68 Sunstone Street, Germiston, 1401
eubiz.co.za
training@eubiz.co.za
68 Sunstone Street, Germiston, 1401
eubiz.co.za
Banking & Financial Services
Stockbroking and Client Order Handling
Duration
3 Days
Delivery
In-house, public or online
From
R13,000 per delegate
Certificate
On completion
Course overview
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.
What you will be able to do
- 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
Course outline
01
Duties that attach to a client order
02
Order taking, recording and confirmation
03
Best execution and what it requires in practice
04
Sequencing, aggregation and fair allocation
05
Conflicts between client, house and staff interests
06
Clearing, settlement and failed trades
07
Records, monitoring and evidencing fair treatment
Upcoming public sessions
| Dates | Venue | Duration | Fee per delegate |
|---|---|---|---|
| 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 exclude VAT. This course can also be delivered in-house at your premises on dates that suit your team, or live online.
To book or ask for an in-house quote
Reply to the email this brochure came with, call +27 81 041 7673, or visit eubiz.co.za and open this course.
EasyUphill Training & ConsultingTailored training that moves teams forward.
+27 81 041 7673 · training@eubiz.co.za
68 Sunstone Street, Germiston, 1401 · eubiz.co.za
68 Sunstone Street, Germiston, 1401 · eubiz.co.za