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

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

Created by: Starweaver Instructor Team
Learning | Doing | Connecting®

Created by: Paul Siegel
Top rated instructor and course creator

Created by: Globecon Expert Team
Educating finance professional for decades

What Will I 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 strategies 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 timely 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

Target audience

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