Module 11 – Brokerage Business

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About Course

This module provides a practical introduction to Securities brokerage business operations. It explains what Securities brokers do and outlines the key components involved in setting up and running a Securities broker. Topics include the introduction to Securities brokerage and its evolution, business model and revenue streams, client handling and ethics, operations and technology, legal and regulatory, and strategic outlook and opportunities for Securities brokers in Ethiopia. The course is designed to help anyone with an interest in understanding the Securities brokerage industry as well as would-be and existing Ethiopian Securities brokers train new staff, equipping them with a working knowledge of both local practice and international benchmarks while utilizing the case studies to develop a practical and feel of the brokerage business. Each chapter is designed carefully to include 10 Multiple Choice questions to test the understanding of the learner and further, a video to explain the technical parts. Additionally, the module has a final timed 20 question assessment at the end which the learner must score at least 75% to pass.

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What Will You Learn?

  • Understand the central role of Securities brokers in driving capital markets development and growth.
  • Identify the different types of Securities brokerage businesses operating in Ethiopia.
  • Compare global Securities brokerage business models and revenue sources.
  • Navigate the key legal and regulatory requirements for Securities brokers in Ethiopia and know how to stay informed of changes.
  • Understand key issues in client handling, including KYC, suitability of advice, AML/CFT compliance, client administration, and complaint handling.
  • Gain a basic understanding of exchange trading systems and ESX trading rules.
  • Explore the challenges in market liquidity, pricing, and information flows, and review how Securities brokers can address them, including market-making approaches.
  • Learn about additional business opportunities for Securities brokers, such as wealth management and capital raising support for issuers.
  • Review ethical expectations and codes of conduct for Securities brokers in Ethiopia and internationally.
  • Develop an approach to identifying and managing risks in Securities brokerage operations.
  • Understand strategic trends affecting Securities brokerage firms globally.

Course Content

Chapter 1: Introduction to Brokerage Services and Capital Markets

  • 1.1 Introduction
    02:27
  • 1.2 Key Definitions and Concepts
  • 1.3 Functions of Securities brokers
  • 1.4 Role of Internal Control at the Broker
  • 1.5 Importance of Securities brokers in capital formation and investor participation
  • 1.6 Historical Evolution of Brokerage and Exchanges
  • 1.7 Role of Competition in Developing Securities brokers and Exchanges and in Making Rules Efficient
  • Chapter-End Self-Assessment Questions

Chapter 2: Securities Brokerage Business Models and Revenue Streams

Chapter 3: Legal and Regulatory Framework

Chapter 4: Client Handling and Ethics

Chapter 5: Operations and Technology

Chapter 6: Strategic Outlook and Emerging Opportunities

End Of Module

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