The

Securities Trade Lifecycle

Module aim To convey the series of topics that comprises the lifecycle relating to successful processing of trades in equity and debt securities. Target audience Those that are 1) new to the securities processing arena, and 2) those that are currently involved in the financial marketplace but require a broad picture of securities trade processing. Objectives By the end of the module the participant will be able to: Define what is the securities trade lifecycle List the components comprising the trade lifecycle Appreciate the inter-relationships between lifecycle components Understand the risks in failing to achieve timely settlement Identify the primary causes of failed settlement Explain the controls employed to mitigate risk of failed settlement. Topics Definition of the securities trade lifecycle 5-minute overview & roadmap of the securities trade lifecycle Lifecycle components: o Static Data o Trade Execution o Trade Capture (Front Office) o Trade Capture (Operations) o Trade Enrichment o Trade Agreement/Confirmation o Settlement Instructions o Pre-Value Date Statuses o Failed Settlement o Trade Settlement o Interest Claims Course presenter Mike Simmons is a specialist in the field of financial services operations. He was previously Head of Fixed Income Operations at Warburg Securities, and has been delivering operations focused training courses to buy-side firms, sell-side firms, management consultants and custodians to those within both operations and technology divisions, for over 15 years. He
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teaches on a wide range of operations topics, including elementary banking operations through securities operations, collateral management, credit default swap post trade processing and syndicated loan trade processing. He is the author of two books: Securities Operations: A Guide to Trade and Position Management and Corporate Actions: A Guide to Securities Event Management, and is currently writing book #3 namely Collateral Management: A Guide to Mitigating Counterparty Risk. Course length 62 minutes 58 seconds. Prerequisites A basic understanding of equity and debt securities would be beneficial.

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