The Securities Trade Lifecycle: Front, Middle & Back-Office

Definitive Trade Lifecycle Guide | Trade Execution | Capture | Enrichment | Confirmation | Settlement | Reconciliation

What you'll learn
Understand the various methods by which trade orders can be initiated, including through electronic trading platforms, over the phone, or via email.
Discuss and describe the process of trade delivery, including the roles of clearing houses and settlement banks, and the steps involved in transferring owner
Implement risk management strats to identify and mitigate potential risks throughout the trade lifecycle.
Utilize the process of order routing, including the different types of order routing systems and the criteria used to select the most appropriate system for a g
Utilize front office systems to accurately record and track the conversion of trade orders into completed trades.
Execute order matching processes to facilitate the conversion of trade orders into completed trades.
Illustrate the trade lifecycle through comprehensive illustrations and examples
Appreciate the importance, process, and methods of trade reconciliation
Verify the accuracy of trade affirmations and confirmations to ensure the proper completion of trades.
Process trade affirmations and confirmations in a ly manner to maintain the efficiency of the back office.

Requirements
Knowledge of the English language
Participants are expected to have a basic understanding of banking so that they can appreciate the importance of securities operations

Description
The securities trade lifecycle involves all the business, operational and technological steps involved in a capital markets "trade" (buying or selling of a financial instrument), from the moment an "order" is received through the "execution" of the trade through its "settlement." In this course, you will learn everything you need to know from the World's leading securities operations expert, Mike Simmons. Mike takes you behind the scenes to understand precisely how investment and banking operations work in settling securities. At the end of the course, you will have a solid understanding of the detailed steps involved in a trade from the back office operations point of view. Some of the many things covered in this course include discussion of:Order initiation and delivery (Front office function)Risk management and order routing (middle office function)Order matching and conversion into trade (front office function)Affirmation and confirmation (back office function)Clearing and Settlement (back office function)Who is Mike He has managed large-scale security operations for some of the major money center banks and had had decades of experience in exactly how securities and risk management operations work in practice. More about this course and StarweaverThis course is led by a seasoned financial industry practitioner and executive in operations executive with many years of hands-on, in-the-trenches capital markets work. Your instructor is the leading expert on this subject globally. He has conducted over 500 training courses in locations including the UK, US, Netherlands, Germany, Switzerland, UAE, Japan, India, Australia, Singapore, Hong Kong, and Russia. He is also the author of three well-regarded industry books:Securities Operations: A Guide to Trade and Position ManagementCorporate Actions: A Guide to Securities Event ManagementCollateral Management: A Guide to Mitigating Counterparty RiskAs a long-standing veteran of large financial institutions, Mike has over 20 years of experience training and developing teams of people who worked for him inside those organizations, as well as many others in buy-side and sell-side firms, central securities depositories (CSDs) and custodians, central banks, management consultancies and software and systems providersThe course has been designed, produced and delivered by Starweaver. Starweaver is one of the most highly regarded, well-established training providers in the World, providing training courses to many of the leading financial institutions and technology companies, including:Ahli United Bank; Mashreqbank; American Express; ANZ Bank; ATT; Banco Votorantim; Bank of America; Bank of America Global Markets; Bank of America Private Bank; Barclay Bank; BMO Financial Group; BMO Financial Services; BNP Paribas; Boeing; a; Citibank; Cognizant; Commerzbank; Credit Lyonnais/Calyon; Electrosonic; Farm Credit Administration; Fifth Third Bank; GENPACT; GEP Software; GLG Group; Hartford; HCL; HCL; Helaba; HSBC; HSBC Corporate Bank; HSBC India; HSBC Private Bank; Legal & General; National Australia Bank; Nomura Securities; PNC Financial Services Group; Quintiles; RAK Bank; Regions Bank; Royal Bank of Canada; Royal Bank of Scotland; Santander Corporate Bank; Tata Consultancy Services; Union Bank; ValueMomentum; Wells Fargo; Wells Fargo India Solutions; Westpac Corporate Bank; Wipro; and, many others.Starweaver has and continues to deliver 1000s of live in person and online education for organizational training programs for new hires and induction, as well as mid-career and senior level immersion and leadership courses.If you are looking for live streaming education or want to understand what courses might be best for you in technology or business, just google:starweaver journey builder starweaver[dot]comHappy learning.

Overview
Section 1: Trade Execution

Lecture 1 Welcome!

Lecture 2 Introduction to the Securities Trade Lifecycle

Lecture 3 Introduction to Trades and Execution

Lecture 4 Order Execution and Allocations

Section 2: Trade Capture

Lecture 5 Types of Information to Capture

Lecture 6 Captures in Trading and Operations Systems

Section 3: Trade Enrichment

Lecture 7 Introduction to Trade Enrichment

Lecture 8 Types of Information Enriched by Settlement System

Section 4: Trade Confirmation

Lecture 9 Trade Confirmation Defined

Lecture 10 Types of Information Stored & ETC's

Lecture 11 OASYS, Discrepancies and Risk

Section 5: Trade Settlement

Lecture 12 Introduction to Settlement Instructions

Lecture 13 Settlement Deadlines, Methods & Parties Responsible

Lecture 14 Pre-Settlement Statuses

Lecture 15 Matched & Unmatched Statuses

Lecture 16 Introduction to Failed Settlements

Lecture 17 Markets, Causes & Preventing Failed Settlements

Lecture 18 Partial Settlement & Forcing Settlement

Lecture 19 Forms & Procedures for Trade Settlements

Lecture 20 Reflecting Settlement

Section 6: Reconciliation

Lecture 21 Purpose & Types of Reconciliation

Lecture 22 Example & Importance of Reconciliation

Lecture 23 Methods, Advantages & Risks of Reconciliation

Section 7: Closing Remarks

Lecture 24 Take-aways

Analysts and associates in commercial, corporate and investment banking.

HomePage:

https://www.udemy.com/course/the-securities-trade-lifecycle/

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