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ICMA SOFQ Certification Exam is an ideal certification for professionals looking to pursue a career in securities operations, including back-office operations, trade settlements, and risk management. Securities Operations Foundation Qualification (SOFQ) certification provides a solid foundation for individuals looking to advance in their careers and is highly valued by employers in the finance industry.
ICMA SOFQ Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Introduction to International Securities | - Characteristics of securities products - Major market participants - Equity and debt market fundamentals |
| Topic 2: Asset Servicing | - Corporate actions - Custody and asset servicing functions |
| Topic 3: Regulatory Reporting | - Regulatory reporting requirements - Compliance considerations |
| Topic 4: Trade Clearing and Settlement | - Clearing processes - Settlement mechanisms - Central and bilateral clearing systems |
| Topic 5: Position Management | - Trade cash value calculations - Securities lending and borrowing - Trade lifecycle management - Reconciliation and position control - Repo transactions |
| Topic 6: Pre-trade Environment | - Market infrastructure overview - Trading participants and roles - Financial services environment |
| Topic 7: Trade Execution and Immediate Post-trade | - Trading paradigms - Internal and external trading infrastructure - Trade capture and confirmation |








