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16 December 2020 Wednesday

Investment Banking and Securities Dealing, SOP Manual SOP-632

By Venkadesh Narayanan
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The "Investment Banking and Securities Dealing, SOP Manual" holds immense prominence in the financial sector, particularly within investment banking institutions. This manual establishes standardized operating procedures crucial for conducting complex financial transactions, ensuring regulatory compliance, and maintaining ethical practices. By providing a comprehensive guide for deal structuring, due diligence, and risk management, it contributes to the integrity of financial operations. The SOP manual plays a vital role in training personnel, fostering a skilled workforce capable of navigating intricate financial landscapes. Its prominence extends to client relationships, as adherence to standardized procedures enhances transparency and builds trust. In an industry where precision and accuracy are paramount, the manual serves as a reference, minimizing errors and optimizing operational efficiency. Ultimately, the "Investment Banking and Securities Dealing, SOP Manual" is indispensable for upholding industry standards, regulatory compliance, and the overall success and reputation of investment banking institutions.

CLICK HERE to download the List of SOPs Document in PDF format. Please share this document with your clients, colleagues and senior officers.

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Top 50 Standard Operating Procedures (SOPs) for Investment Banking and Securities Dealing  

SOP-632-001: Standard Operating Procedure for Client Onboarding in Investment Banking 
SOP-632-002: Standard Operating Procedure for Due Diligence in Securities Dealing 
SOP-632-003: Standard Operating Procedure for Regulatory Compliance in Investment Banking 
SOP-632-004: Standard Operating Procedure for Trade Execution in Securities Dealing 
SOP-632-005: Standard Operating Procedure for Risk Management in Investment
Banking 
SOP-632-006: Standard Operating Procedure for Financial Analysis in Securities Dealing 
SOP-632-007: Standard Operating Procedure for Merger and Acquisition Transactions in Investment Banking 
SOP-632-008: Standard Operating Procedure for Asset Valuation in Securities Dealing 
SOP-632-009: Standard Operating Procedure for Capital Raising in Investment Banking 
SOP-632-010: Standard Operating Procedure for Settlement and Clearing in Securities Dealing 

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SOP-632-011: Standard Operating Procedure for Portfolio Management in Investment Banking 
SOP-632-012: Standard Operating Procedure for Market Research in Securities Dealing 
SOP-632-013: Standard Operating Procedure for IPO Process in Investment Banking 
SOP-632-014: Standard Operating Procedure for Order Routing in Securities Dealing 
SOP-632-015: Standard Operating Procedure for Financial Modeling in Investment Banking 
SOP-632-016: Standard Operating Procedure for Compliance Monitoring in Securities Dealing 
SOP-632-017: Standard Operating Procedure for Debt Financing in Investment Banking 
SOP-632-018: Standard Operating Procedure for Trade Settlement in Securities Dealing 
SOP-632-019: Standard Operating Procedure for Client Relationship Management in Investment Banking 
SOP-632-020: Standard Operating Procedure for Algorithmic Trading in Securities Dealing 

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SOP-632-021: Standard Operating Procedure for Financial Due Diligence in Investment Banking 
SOP-632-022: Standard Operating Procedure for Market Surveillance in Securities Dealing 
SOP-632-023: Standard Operating Procedure for Private Equity Transactions in Investment Banking 
SOP-632-024: Standard Operating Procedure for Order Execution in Securities Dealing 
SOP-632-025: Standard Operating Procedure for Corporate Finance Advisory in Investment Banking 
SOP-632-026: Standard Operating Procedure for Risk Assessment in Securities Dealing 
SOP-632-027: Standard Operating Procedure for Asset Management in Investment Banking 
SOP-632-028: Standard Operating Procedure for Electronic Trading Platforms in Securities Dealing 
SOP-632-029: Standard Operating Procedure for Valuation Modeling in Investment Banking 
SOP-632-030: Standard Operating Procedure for Securities Lending in Securities Dealing 

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SOP-632-031: Standard Operating Procedure for Financial Planning and Analysis in Investment Banking 
SOP-632-032: Standard Operating Procedure for Compliance Reporting in Securities Dealing 
SOP-632-033: Standard Operating Procedure for Leveraged Buyouts in Investment Banking 
SOP-632-034: Standard Operating Procedure for Order Management in Securities Dealing 
SOP-632-035: Standard Operating Procedure for Treasury Services in Investment Banking 
SOP-632-036: Standard Operating Procedure for Market Making in Securities Dealing 
SOP-632-037: Standard Operating Procedure for Equity Research in Investment Banking 
SOP-632-038: Standard Operating Procedure for Trade Confirmations in Securities Dealing 
SOP-632-039: Standard Operating Procedure for Financial Statement Analysis in Investment Banking 
SOP-632-040: Standard Operating Procedure for Anti-Money Laundering in Securities Dealing 

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SOP-632-041: Standard Operating Procedure for Financial Advisory Services in Investment Banking 
SOP-632-042: Standard Operating Procedure for Electronic Communication Surveillance in Securities Dealing 
SOP-632-043: Standard Operating Procedure for Cross-Border Transactions in Investment Banking 
SOP-632-044: Standard Operating Procedure for Market Risk Management in Securities Dealing 
SOP-632-045: Standard Operating Procedure for Strategic Advisory in Investment Banking 
SOP-632-046: Standard Operating Procedure for Insider Trading Compliance in Securities Dealing 
SOP-632-047: Standard Operating Procedure for Debt Restructuring in Investment Banking 
SOP-632-048: Standard Operating Procedure for Order Routing Controls in Securities Dealing 
SOP-632-049: Standard Operating Procedure for Initial Public Offering (IPO) Due Diligence in Investment Banking 
SOP-632-050: Standard Operating Procedure for Trade Allocation in Securities Dealing
 
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Standard Operating Procedure - SOP ToolBox (1)
 

SOP ToolBox: If you are reading these lines, I am sure you are looking for Standard Operating Procedure guidelines or SOPs itself. In both the cases, searching in internet will not be yielding any great help. Because no company shares their SOP Development Process and certainly don’t share their SOP Documents. The best way to develop an SOP is creating one for yourself. At Fhyzics, we write SOPs day-in and day-out for companies across the globe including some of the Fortune 500 organisations. Our charge ranges from USD 5000 to USD 50000 depending upon the number of processes to be covered. Certainly, this is not affordable to small and mid-size organisations. Hence, we decided to create this SOP ToolBox to disseminate our 8-Step SOP Development Life-Cycle and best practices at an unbelievably low price.

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The North American Industry Classification System (NAICS) has grouped services and activities associated with Investment Banking and Securities Dealing under the NAICS industry code 523110. The following list shows some activities that are associated with industry 523110,
  • Banking investment.
  • Bond dealing (i.e., acting as a principal in dealing securities to investors).
  • Commercial paper dealing (i.e., acting as a principal in dealing securities to investors).
  • Making markets for securities.
  • Paper dealing of commercial (i.e., acting as a principal in dealing securities to investors).
  • Securities dealers (i.e., acting as a principal in dealing securities to investors).
  • Securities dealing (i.e., acting as a principal in dealing securities to investors).
  • Securities distributing (i.e., acting as a principal in dealing securities to investors).
  • Securities floor traders (i.e., acting as a principal in dealing securities to investors).
  • Securities flotation companies
  • Securities originating (i.e., acting as a principal in dealing securities to investors).
  • Securities trading (i.e., acting as a principal in dealing securities to investors).
  • Securities underwriting
  • Stock options dealing (i.e., acting as a principal in dealing securities to investors).
  • Trading securities (i.e., acting as a principal in dealing securities to investors).
  • Underwriting securities.
Some of the international association of Investment Banking and Securities Dealing:
  • Association of Investment Bankers of India (AIBI).
  • American Bankers Association (ABA).
  • Securities Industry and Financial Markets Association (SIFMA).
  • International Council of Securities Association (ICSA).
  • Asia Securities Industry & Financial Markets Association (ASIFMA).
  • African Securities Exchanges Association (FSEA).
  • The Securities Association of Singapore (SAS).
  • International Capital Market Association (ICMA).
International standard for this industry:
  • ISO 27001: 2013
  • ISO 9001: 2015
  • ISO 9001: 2008
Few of the World’s best companies in this industry are,
Some of the magazines and journals that will keep you track on:
You Tube:
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Fhyzics supports organisations in developing the following documentations:
Standard Operating Procedures (SOPs), Work Instructions, Policies and Procedures, Process Flow Diagrams, Job Descriptions, Training Manuals, Employee Handbooks, Compliance Guidelines, Quality Assurance Manuals, Health and Safety Procedures, Risk Management Plans, Business Continuity Plans, Internal Audit Procedures, Incident Reporting Forms, Performance Management Guidelines, Change Management Procedures, Vendor Management Guidelines, Customer Service Protocols, IT Security Policies, IT Support Documentation, Disaster Recovery Plans, Operational Checklists, Data Management Policies, Confidentiality Agreements, Non-Disclosure Agreements, Employee Onboarding Procedures, Employee Exit Procedures, Performance Appraisal Forms, Employee Code of Conduct, Conflict Resolution Procedures, Product Development SOPs, Supply Chain Management Guidelines, Procurement Guidelines, Inventory Management SOPs, Shipping and Receiving Procedures, Production Scheduling SOPs, Maintenance Procedures, Equipment Calibration Documents, Environmental Compliance Documentation, Sustainability Policies, Customer Feedback Forms, Marketing Strategies, Advertising Guidelines, Brand Management Guidelines, Product Packaging SOPs, Laboratory Testing Procedures, Regulatory Compliance Documentation, Tax and Accounting Procedures, Contract Management Procedures, Legal Compliance Guidelines, Financial Reporting Procedures, Budgeting Procedures, Internal Control Procedures, Fraud Prevention Policies, Asset Management Guidelines, Purchase Order Procedures, Sales and Distribution Guidelines, Client Contracts, Customer Return Policies, Internal Communication Protocols, Vendor Evaluation Forms, Product Safety Standards, Workplace Health and Safety Standards, Public Relations Procedures, Social Media Management Guidelines, Crisis Management Plans, Employee Grievance Procedures, Privacy and Data Protection Policies, Digital Transformation Guidelines, Innovation Management Procedures, Continuous Improvement Guidelines, Strategic Planning Documents, Corporate Social Responsibility (CSR) Guidelines, Audit Trails and Records, Employee Training and Development Records, Succession Planning Documents, Talent Acquisition Procedures, Team Collaboration Protocols, Employee Benefit Plans, Workplace Diversity Guidelines, Time and Attendance Tracking, Payroll Procedures, Employee Leave Policies, Conflict of Interest Policy, Emergency Response Procedures, Environmental Impact Assessment Procedures, Transportation and Logistics Procedures, Inventory Control Forms, Warehouse Management Guidelines, Product Lifecycle Management SOPs, Customer Satisfaction Surveys, Third-Party Risk Assessment Guidelines, Technology Adoption Policies, Software Licensing Guidelines, Security Incident Response Procedures, Supply Chain Risk Management Policies, Product Recall Procedures, Food Safety Guidelines, Employee Wellness Programs, Workplace Ergonomics Guidelines.

Written by Venkadesh Narayanan

Venkadesh is a Mechanical Engineer and an MBA with 30 years of experience in the domains of supply chain management, business analysis, new product development, business plan and standard operating procedures. He is currently working as Principal Consultant at Fhyzics Business Consultants. He is also serving as President, PDMA-India (an Indian affiliate of PDMA, USA) and Recognised Instructor of APICS, USA and CIPS, UK. He is a former member of Indian Civil Services (IRAS). Fhyzics offers consulting, certification, and executive development programs in the domains of supply chain management, business analysis and new product development.

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