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

What you'll Learn

  • 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

Course curriculum

  • 1

    Slack Channel - Discussion Forum

    • Slack Channel
  • 2

    Trade Execution

  • 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
  • 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
  • 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
  • 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
  • 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