The Securities Trade Lifecycle

Complete Trade Lifecycle guide, including processing sequence, impact, primary risks and typical mitigation controls.
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755 students enrolled
Instructed by Paul Siegel Business / Finance
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  • Lectures 22
  • Length 4 hours
  • Skill Level All Levels
  • Languages English
  • Includes Lifetime access
    30 day money back guarantee!
    Available on iOS and Android
    Certificate of Completion
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About This Course

Published 3/2014 English

Course Description

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

What are the requirements?

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

What am I going to get from this course?

  • 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

Who is the target audience?

  • Analysts and associates in commercial, corporate and investment banking.

What you get with this course?

Not for you? No problem.
30 day money back guarantee.

Forever yours.
Lifetime access.

Learn on the go.
Desktop, iOS and Android.

Get rewarded.
Certificate of completion.


Section 1: Trade Execution

Instructor Mike Simmons introduces the Securities Trade Lifecycle.


Instructor Mike Simmons introduces trades and execution.


Instructor Mike Simmons discusses order execution and allocations.

Section 2: Trade Capture

Instructor Mike Simmons discusses the types of information to capture.


Instructor Mike Simmons goes over captures in trading and operations systems.

Section 3: Trade Enrichment

Instructor Mike Simmons gives an introduction on trade enrichment.


Instructor Mike Simmons discusses types of information enriched by settlement system.

Section 4: Trade Confirmation

Instructor Mike Simmons defines trade confirmation.


Instructor Mike Simmons discusses types of information stored and ETC's.


Instructor Mike Simmons analyzes OASYS, discrepencies and risk

Section 5: Trade Settlement

Instructor Mike Simmons explains settlement instructions.


Instructor Mike Simmons discusses settlement deadlines, methods & parties responsible.


Instructor Mike Simmons discusses pre-settlement statuses.


Instructor Mike Simmons discusses matched & unmatched statuses.


Instructor Mike Simmons introduces failed settlements.


Instructor Mike Simmons discusses the markets, causes and how to prevent failed settlements.


Instructor Mike Simmons discusses partial settlement and forcing settlement.


Instructor Mike Simmons goes over forms and procedures for trade settlements.


Instructor Mike Simmons discusses reflecting settlement.

Section 6: Reconciliation

Instructor Mike Simmons analyzes the purpose and types of reconciliation.


Instructor Mike Simmons gives an example of reconciliation and discusses the importance of it.


Instructor Mike Simmons discusses the methods, advantages and risks of reconciliation.

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Instructor Biography

Paul Siegel, Education you can bank on

We deliver superlative, hands-on and practical corporate and investment banking education that you can use immediately in your job, or that next great job you are looking to start. We focus on making complex subjects readily understandable and usable. If you want to take a great leap forward in your finance career, we are here to make that happen.

Our instructors are practitioners who have worked in the field of finance. They relate the subjects covered to real work situations you will encounter in your banking job. So, the concepts are real, the coverage is at the right level of depth, and the material is easy to absorb.

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