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The Securities Trade Lifecycle

Complete Trade Lifecycle guide, including processing sequence, impact, primary risks and typical mitigation controls.
4.4 (67 ratings)
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830 students enrolled
Created by Paul Siegel
Last updated 3/2014
$10 $50 80% off
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30-Day Money-Back Guarantee
  • 4 hours on-demand video
  • Full lifetime access
  • Access on mobile and TV
  • Certificate of Completion
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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
Who is the target audience?
  • Analysts and associates in commercial, corporate and investment banking.
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What Will I 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
View Curriculum
  • Knowledge of the English language.
  • Participants are expected to have basic math knowledge coming into this course.
Curriculum For This Course
Expand All 22 Lectures Collapse All 22 Lectures 03:56:41
Trade Execution
3 Lectures 35:53

Instructor Mike Simmons introduces the Securities Trade Lifecycle.

Preview 14:25

Instructor Mike Simmons introduces trades and execution.

Introduction to Trades and Execution

Instructor Mike Simmons discusses order execution and allocations.

Order Execution and Allocations
Trade Capture
2 Lectures 25:24

Instructor Mike Simmons discusses the types of information to capture.

Types of Information to Capture

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

Captures in Trading and Operations Systems
Trade Enrichment
2 Lectures 26:23

Instructor Mike Simmons gives an introduction on trade enrichment.

Introduction to Trade Enrichment

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

Types of Information Enriched by Settlement System
Trade Confirmation
3 Lectures 32:41

Instructor Mike Simmons defines trade confirmation.

Trade Confirmation Defined

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

Types of Information Stored & ETC's

Instructor Mike Simmons analyzes OASYS, discrepencies and risk

OASYS, Discrepancies and Risk
Trade Settlement
9 Lectures 01:30:29

Instructor Mike Simmons explains settlement instructions.

Preview 08:40

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

Settlement Deadlines, Methods & Parties Responsible

Instructor Mike Simmons discusses pre-settlement statuses.

Pre-Settlement Statuses

Instructor Mike Simmons discusses matched & unmatched statuses.

Matched & Unmatched Statuses

Instructor Mike Simmons introduces failed settlements.

Introduction to Failed Settlements

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

Markets, Causes & Preventing Failed Settlements

Instructor Mike Simmons discusses partial settlement and forcing settlement.

Partial Settlement & Forcing Settlement

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

Forms & Procedures for Trade Settlements

Instructor Mike Simmons discusses reflecting settlement.

Reflecting Settlement
3 Lectures 25:51

Instructor Mike Simmons analyzes the purpose and types of reconciliation.

Purpose & Types of Reconciliation

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

Example & Importance of Reconciliation

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

Methods, Advantages & Risks of Reconciliation
About the Instructor
4.1 Average rating
484 Reviews
4,046 Students
17 Courses
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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