Overview
This course will cover all components of the trade lifecycle; the lifecycle processing sequence and processing impact; what causes (and prevents) Straight Through Processing; primary risks and typical mitigating controls; and introduces market-wide terms used in securities trade processing.
This course consists of 22 lectures within 5 sections, including:
- Trade Execution
- Trade Capture
- Trade Enrichment
- Trade Confirmation
- Trade Settlement
- Reconciliation
Learning Outcomes
At the end of this course, you will be able to...
- Describe the complete securities trade lifecycle in detail with comprehensive illustrations and examples
- Discuss every aspect of trade settlement process
- Explain the importance, process, and methods of trade reconciliation
Target Audience
Analysts and associates in commercial, corporate and investment banking.
Course curriculum
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1
Welcome!
- About this course: Overview, Learning Outcomes, Prerequisites & Target Audience FREE PREVIEW
- Course Trailer FREE PREVIEW
- Instructor Bio: Mike Simmons
- Key pointers for success in this course
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2
Trade Execution
- Introduction to the Securities Trade Lifecycle FREE PREVIEW
- Introduction to the Securities Trade Lifecycle - Slides
- Introduction to Trades and Execution
- Introduction to Trades and Execution -Slides
- Order Execution and Allocations
- Order Execution and Allocations -Slides
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3
Trade Capture
- Types of Information to Capture
- Types of Information to Capture -Slides
- Captures in Trading and Operations Systems
- Captures in Trading and Operations Systems -Slides
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4
Trade Enrichment
- Introduction to Trade Enrichment
- Introduction to Trade Enrichment -Slides
- Types of Information Enriched by Settlement System
- Types of Information Enriched by Settlement System -Slides
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5
Trade Confirmation
- Trade Confirmation Defined
- Trade Confirmation Defined -Slides
- Types of Information Stored & ETC's
- Types of Information Stored & ETC's -Slides
- OASYS, Discrepancies and Risk
- OASYS, Discrepancies and Risk -Slides
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6
Trade Settlement
- Introduction to Settlement Instructions FREE PREVIEW
- Introduction to Settlement Instructions -Slides
- Settlement Deadlines, Methods & Parties Responsible
- Settlement Deadlines, Methods & Parties Responsible -Slides
- Pre-Settlement Statuses
- Pre-Settlement Statuses -Slides
- Matched & Unmatched Statuses
- Matched & Unmatched Statuses -Slides
- Introduction to Failed Settlements
- Introduction to Failed Settlements -Slides
- Markets, Causes & Preventing Failed Settlements
- Markets, Causes & Preventing Failed Settlements -Slides
- Partial Settlement & Forcing Settlement
- Partial Settlement & Forcing Settlement -Slides
- Forms & Procedures for Trade Settlements
- Forms & Procedures for Trade Settlements -Slides
- Reflecting Settlement
- Reflecting Settlement -Slides
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7
Reconciliation
- Purpose & Types of Reconciliation
- Purpose & Types of Reconciliation -Slides
- Example & Importance of Reconciliation
- Example & Importance of Reconciliation -Slides
- Methods, Advantages & Risks of Reconciliation
- Methods, Advantages & Risks of Reconciliation -Slides
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8
Quizzes
- Quiz 1
- Quiz 2
- Quiz 3
- Quiz 4
- Quiz 5
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9
Final Examination
- Final Examination
- Final Exam: Launch Here