Global

Capital markets, securities and derivatives: Desk readiness for New starters

A ready-made course you customise for your organisation, with a live session deck and two surveys. You only add the 10 details that are specific to your organisation.

See the live deckSee the full outline
Try the coursePreview the survey
Length
45 min
Lessons
6 lessons
Frequency
In the first weeks for graduate and new desk staff
Last reviewed
21 Oct 2026
Grey areas: conduct on the desk
What would you do?

A colleague hints at a large client order and suggests trading ahead of it

Try it: this is one of 19 interactive activities in the course.

What's included

Three pieces that work together

Copy once, get everything. Learners prepare on their own, you answer questions live, and the surveys tell you what stuck.

Self-paced course

Short lessons with real workplace scenarios, not walls of text.

  • 6 lessons, about 45 minutes
  • Tabs, scenario, accordion, sorting activity and quizzes

Live session deck

An AhaSlides presentation to run after the course, in person or online.

  • 10 slides
  • Quiz, word cloud, poll, scale slides
  • A closing slide for your contacts

Two surveys

Find out what landed, and whether people use it on the job.

  • Post-course feedback, about 2 minutes
  • 30-day check-in
  • Anonymous by default
  • Results feed your next refresher

Learning objectives

At the end of this course, learners can

Each objective and the lesson that covers it.

IDObjectiveSourceWhere it's covered
TO 167.0Achieve ≥ 80% on the final assessmentnoneWhole course
SO 167.1Describe equity and debt markets, who the participants are and how orders reach the market + your infoBest practiceWhole course
SO 167.2Explain how bond price, yield and interest-rate risk are related, using illustrative numbersBest practiceWhole course
SO 167.3Explain futures and options in plain words and what each is used for, with their main risks + your infoBest practiceWhole course
SO 167.4Apply trading-conduct and market-abuse rules in typical desk situations + your infoExample: market-abuse and trading rules in the customer's marketWhole course
SO 167.5Prepare to work on the desk: controls, records and escalation, and how to approach any licensing assessment the employer requiresBest practiceWhole course

Your part: what a template can't do for you

  • Your workplace details: fill in the 10 highlighted fields so the course describes your own policies, contacts and locations.
  • Records: record completion in your own LMS or record system.

Course outline

6 lessons, about 45 minutes

Minutes per lesson are an estimate, shared out by page count.

ContentInteractiveVideoYou customise
1

Why desk readiness matters

3 pages

8 min
Before you beginNoteList
Day one on the deskTextImageChecklist
Markets run on rulesKey factFlashcardsQuiz
2

Equity, debt and bond maths

3 pages

8 min
Who is in the marketTabsNote
Equity and debtAccordion
Price and yield with round numbersTextMatching quiz
3

Derivatives in plain words

3 pages

8 min
Futures and optionsTabs
What is it used for?Sorting activityNote
Risks in one pageAccordionQuiz
4

Grey areas: conduct on the desk

3 pages

8 min
ScenarioScenario
ScenarioScenarioYour infoQuiz
Allowed or not?Matching quizSorting activity
5

Records, speak up and readiness

3 pages

8 min
Records and controlsProcessNote
Readiness and any licensing assessmentTabsText
ScenarioScenarioYour infoQuizButtonYour info
6

Final assessment

2 pages

5 min
PracticeQuiz
CompletionKey factListNoteButtonYour info

Live deck and surveys

10 slides to run live, two surveys to close the loop

Pink slides are interactive. Both surveys are anonymous; pink questions are written for this course.

ContentTitle, agenda, "speed matters, controls matter more" (speaker notes: template page URL)
Word cloudOne word for a good trader
PollWhat worries you most? (Pricing · Conduct rules · Derivatives · Speed)
ContentBond price and yield with round numbers, and futures and options in plain words
QuizA colleague hints at a client order and suggests trading ahead. You…" (Refuse, record and report ✔ · Trade a little · Tell a friend · Ignore it)
QuizWhen a bond price falls below face value, the yield…" (Rises ✔ · Falls · Stays the same · Is zero)
Content · customiseCustomise: our product list, limits and recording procedures" with {{APPROVED_PRODUCT_LIST}}, {{POLICY_LINK}}, {{SPEAK_UP_ROUTE}}
ScaleHow confident are you explaining futures and options?" 1 to 5
Open-ended / Q&AA desk situation I would like to talk through
Content · customiseClosing {{COMPLIANCE_CONTACT}}, {{SURVEY_2_URL}}, {{COURSE_URL}}
Post-course feedback: 11 questions, about 2 min
  1. Overall rating 5 stars
  2. Relevant, realistic, right length, helpful activities agree/disagree grid
  3. What was most useful? multi-select
  4. Confidence before this course, and now 1-5 scale
  5. How confident are you explaining futures and options? 1-5 scale
  6. Which change have you tried in your work? multiple choice
  7. What barrier have you met in trying it? short text
  8. I can refuse an instruction that breaches a control without fear of blame. 1-5 scale
  9. One thing we should change or add open text
  10. Would you recommend this course? NPS
30-day check-in
  1. Have you used what you learned since the course? multiple choice
  2. How confident are you today? Compare with day 1 1-5 scale
  3. Do you know where to find the trading conduct policy? yes / no / not sure
  4. A moment where the training helped, or where you weren't sure open text
  5. Which topics should the next refresher focus on? ranking

Results show whether people use the training on the job, not just whether they finished it.

Make it yours

10 fields to fill in, and you're ready

Everything else is done. These are the details only your organisation knows; each one is highlighted inside the course.

  • Compliance contact{{COMPLIANCE_CONTACT}}
  • Policy link{{POLICY_LINK}}
  • Speak up route{{SPEAK_UP_ROUTE}}
  • Jurisdiction and regulator{{JURISDICTION_AND_REGULATOR}}
  • LMS or record system{{LMS_OR_RECORD_SYSTEM}}
  • Approved product list{{APPROVED_PRODUCT_LIST}}
Show all 10 fields
  • Survey 1 URL{{SURVEY_1_URL}}
  • Survey 2 URL{{SURVEY_2_URL}}
  • Course URL{{COURSE_URL}}
  • Live session URL{{LIVE_SESSION_URL}}

FAQ

Common questions

Can I run capital markets, securities and derivatives: Desk readiness for New starters training online?

Yes. The course is self-paced and online, and the live deck lets you add a live session in the room or online.

How often is this training needed?

In the first weeks for graduate and new desk staff, and before any licensing assessment the firm requires.

Who needs this training?

Trainee traders and analysts, treasury and sales staff and securities-licence candidates in their first months on a desk; run by the learning or compliance owner.

What records should I keep?

Record completion in your own LMS or record system, so you can show who finished the course and when.

Can I edit the content?

Yes, everything. Change the wording, swap scenarios for ones from your workplace, add your logo, or remove parts that don't apply.

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Ready to run it?

Open the live deck to see how the session runs alongside the course and both surveys.

See the live deck