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Course delivered by former global bank head of securities ops!

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

    1. Introduction to the Securities Trade Lifecycle

      FREE PREVIEW

    2. Introduction to the Securities Trade Lifecycle - Slides

    3. Introduction to Trades and Execution

    4. Introduction to Trades and Execution -Slides

    5. Order Execution and Allocations

    6. Order Execution and Allocations -Slides

    1. Types of Information to Capture

    2. Types of Information to Capture -Slides

    3. Captures in Trading and Operations Systems

    4. Captures in Trading and Operations Systems -Slides

    1. Introduction to Trade Enrichment

    2. Introduction to Trade Enrichment -Slides

    3. Types of Information Enriched by Settlement System

    4. Types of Information Enriched by Settlement System -Slides

    1. Trade Confirmation Defined

    2. Trade Confirmation Defined -Slides

    3. Types of Information Stored & ETC's

    4. Types of Information Stored & ETC's -Slides

    5. OASYS, Discrepancies and Risk

    6. OASYS, Discrepancies and Risk -Slides

    1. Introduction to Settlement Instructions

      FREE PREVIEW

    2. Introduction to Settlement Instructions -Slides

    3. Settlement Deadlines, Methods & Parties Responsible

    4. Settlement Deadlines, Methods & Parties Responsible -Slides

    5. Pre-Settlement Statuses

    6. Pre-Settlement Statuses -Slides

    7. Matched & Unmatched Statuses

    8. Matched & Unmatched Statuses -Slides

    9. Introduction to Failed Settlements

    10. Introduction to Failed Settlements -Slides

    11. Markets, Causes & Preventing Failed Settlements

    12. Markets, Causes & Preventing Failed Settlements -Slides

    13. Partial Settlement & Forcing Settlement

    14. Partial Settlement & Forcing Settlement -Slides

    15. Forms & Procedures for Trade Settlements

    16. Forms & Procedures for Trade Settlements -Slides

    17. Reflecting Settlement

    18. Reflecting Settlement -Slides

    1. Purpose & Types of Reconciliation

    2. Purpose & Types of Reconciliation -Slides

    3. Example & Importance of Reconciliation

    4. Example & Importance of Reconciliation -Slides

    5. Methods, Advantages & Risks of Reconciliation

    6. Methods, Advantages & Risks of Reconciliation -Slides

About this course

  • $49.95
  • 44 lessons
  • 4 hours of video content