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ICMA Updated SOFQ Exam Blueprint, Syllabus and Topics

Securities Operations Foundation Qualification (SOFQ)

Last Update May 16, 2024
Total Questions : 50

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ICMA SOFQ Exam Overview :

Exam Name Securities Operations Foundation Qualification (SOFQ)
Exam Code SOFQ
Expected no. of Questions in Actual Exam 50
Official Information https://www.icmagroup.org/executive-education/courses/securities-operations-foundation-qualification-sofq-3/
See Expected Questions ICMA SOFQ Expected Questions in Actual Exam
Take Self-Assessment Use ICMA SOFQ Practice Test to Assess your preparation - Save Time and Reduce Chances of Failure

ICMA SOFQ Exam Topics :

Section Weight Objectives
An Introduction to International Securities  
  • Key players
  • Debt and Equities
  • The Primary Market: How Deals are Brought to the Market
  • The Secondary Markets
The Pre-trade environment  
  • Pre-Trade Function
  • Role of Client Onboarding
  • Understanding KYC
  • Master Agreements
  • Static Data Collection
Trade Execution and Immediate Post-trade  
  • Trading Paradigms: Flow and Proprietary Trading
  • Trade Execution Systems
  • Trade Capture and Confirmation
  • Role of Middle Office
Trade Clearing and Settlement  
  • Role of Custodians
  • Central Securities Depositories
  • Payment Systems
  • Trade Cash Values
  • Central and Bilateral Clearing Systems
  • Updating Books & Position Reconciliation
  • STP
Position Management  
  • Trading & Settled Positions
  • Funding Positions
  • Covering Shorts
  • Basics of Repo and Securities Lending & Borrowing
  • P/L calculation
Regulatory reporting  
  • Regulatory Reporting Requirements
  • Role of Operations
Asset Servicing  
  • Managing Securities
  • Corporate Actions

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