Investment Operations

Equity Trade Life Cycle

Categories Introductory, Operations

Course Instructor

Course Level

Beginner

Certification

Certificate

Delivery

Via Zoom

Hours (EST)

8:30 am - 12:30 pm​

Description

*This course can also be offered upon request and can be customized to fit your team’s needs.

Date: March 6

This half-day virtual course on Equity Trade Lifecycle provides participants with a thorough understanding of the activities that underpin post-trade processing.   The course will identify the main participants in post-trade processing and walk through the key steps and risks involved in the transfer and settlement of equities and an overview of corporate actions which involve more complex settlement procedures that require extensive manual processing. Prerequisite: None.

Learning Objectives

  • Describe the roles of the various participants in trade and post-trade processing
  • Distinguish between clearance and settlement procedures
  • Discuss controls used to limit fails
  • Contrast the functions of the front, back and middle offices of the broker
  • Identify and contrast the various types of corporate actions
  • Detail the life cycle of a corporate action
  • Distinguish between corporate actions that involve equity, fixed income and derivative positions

Agenda

Overview of Trade Lifecycle

  • Main participants
  • Key Terminology

Trade Execution

  • Traditional markets versus Alternative Trading Systems

Trade Capture Trade Enrichment Trade Agreement

  • Purpose & methods
  • Trade confirmation
  • Trade affirmation

Settlement

  • Failure to resolve unmatched instructions

Failed Trades

  • Definition and causes
  • Implications
  • Prevention

Updating Internal Records and Reconciliation

Corporate Actions

  • Purpose
  • Impact
  • Market Participants
  • Life Cycle

Summary & Questions

In-House Training

Custom Training can help you achieve your corporate training goals while staying on budget and focusing the content on the needs of your group. Email your questions regarding corporate training to training@investmentoperations.net.

2024 Training Calendar

Training Catalogue

Course Instructor

Course Level

Beginner

Certification

Certificate

Delivery

Via Zoom

Hours (EST)

8:30 am - 12:30 pm​

Description

*This course can also be offered upon request and can be customized to fit your team’s needs.

Date: March 6

This half-day virtual course on Equity Trade Lifecycle provides participants with a thorough understanding of the activities that underpin post-trade processing.   The course will identify the main participants in post-trade processing and walk through the key steps and risks involved in the transfer and settlement of equities and an overview of corporate actions which involve more complex settlement procedures that require extensive manual processing. Prerequisite: None.

Learning Objectives

  • Describe the roles of the various participants in trade and post-trade processing
  • Distinguish between clearance and settlement procedures
  • Discuss controls used to limit fails
  • Contrast the functions of the front, back and middle offices of the broker
  • Identify and contrast the various types of corporate actions
  • Detail the life cycle of a corporate action
  • Distinguish between corporate actions that involve equity, fixed income and derivative positions

Agenda

Overview of Trade Lifecycle

  • Main participants
  • Key Terminology

Trade Execution

  • Traditional markets versus Alternative Trading Systems

Trade Capture Trade Enrichment Trade Agreement

  • Purpose & methods
  • Trade confirmation
  • Trade affirmation

Settlement

  • Failure to resolve unmatched instructions

Failed Trades

  • Definition and causes
  • Implications
  • Prevention

Updating Internal Records and Reconciliation

Corporate Actions

  • Purpose
  • Impact
  • Market Participants
  • Life Cycle

Summary & Questions

In-House Training

Custom Training can help you achieve your corporate training goals while staying on budget and focusing the content on the needs of your group. Email your questions regarding corporate training to training@investmentoperations.net.

2024 Training Calendar

Training Catalogue

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