The Securities Trade Lifecycle

This course covers all components of the trade lifecycle; lifecycle processing sequence and processing impact; what causes (and prevents) Straight Through Processing; primary risks and typical mitigating controls; and useful market-wide terminology.

Mike Simmons

Finance | intermediate | 4 hours 50 minutes | Published: Apr 2019

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Overview

1.4KSTUDENTS^*

92.6%RECOMMEND^*

This course includes:

4+ hours of on-demand video
6 modules
Core level
Direct access/chat with the instructor
100% self-paced online
Many downloadable resources
Shareable certificate of completion

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

Skills You Will Gain

Capital Markets

Derivatives

Reconciliation

Trade Confirmation

Trade Execution

Trade Settlement

Learning Outcomes (At the end of this program you will be able to)

You’ll receive a complete overview of the Trade Lifecycle with comprehensive illustrations and examples
You’ll learn every aspect of trade settlement
You’ll learn the importance, process, and methods of trade reconciliation

Prerequisites

Knowledge of the English language.
Participants are expected to have basic math knowledge coming into this course.

Who Should Attend

Analysts and associates in commercial, corporate and investment banking.

Curriculum

1Welcome!

About this course: Overview, Learning Outcomes, Prerequisites & Target Audience

Course Trailer

Instructor Bio: Mike Simmons

2Trade Execution

Introduction to the Securities Trade Lifecycle

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

3Trade 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

4Trade 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

5Trade 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

6Trade Settlement

Introduction to Settlement Instructions

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

7Reconciliation

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

Instructors

Mike Simmons

With over two decades dedicated to mastering securities, derivatives, and collateral operations, my journey has taken me from hands-on roles to leading operations within a prominent UK investment bank. My expertise spans a comprehensive array of financial instruments and processes, honed through practical experience and leadership at every stage of the trade lifecycle. Throughout my career, I've had the privilege of developing and delivering specialized training courses globally, catering to diverse audiences including investment banks, asset managers, custodians, central banks, and software providers. My training courses are crafted to impart deep insights into critical areas such as securities operations, collateral management, securities lending and borrowing, corporate actions, and derivative operations. These courses delve into fundamental concepts, trade lifecycles, regulatory landscapes, and practical strategies to mitigate risks and optimize operational efficiencies. I take pride in distilling complex topics into accessible knowledge, empowering professionals across the financial spectrum to navigate and excel in their roles. As an author of three authoritative books on securities operations, corporate actions, and collateral management, I have endeavored to provide comprehensive guides that serve as essential references in the industry. Additionally, I serve as the course director for a prestigious certification program, ensuring that operations professionals are equipped with the latest insights and skills required to excel in their careers. My commitment to advancing knowledge and best practices in financial operations is reflected in over 500 successful training sessions conducted worldwide, fostering expertise from London to Singapore, and from New York to Tokyo.

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