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
  • 2

    Slack Channel Discussion, Help + More

    • Slack Channel (Discussion Forum)
    • If (and when) you need help...
    • Joining the Alumni Community
  • 3

    Trade Execution

  • 4

    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
  • 5

    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
  • 6

    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
  • 7

    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
  • 8

    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
  • 9

    Quizzes

    • Quiz 1
    • Quiz 2
    • Quiz 3
    • Quiz 4
    • Quiz 5
  • 10

    Final Examination

    • Final Examination
    • Final Exam: Launch Here
  • 11

    Next steps

    • Congrats! Here's what's next...
    • Yippee! You're an alumnus!
    • Alumni Slack Channel