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Global Financial Markets Institute»Lifecycle of a Trade

Lifecycle of a Trade

This course is designed to provide an overview of the lifecycle of a trade in fixed income and equity cash securities, from the inception of an order through confirmation, clearing, and settlement. The roles of industry utilities, such as clearing houses and settlement agencies, for cash securities are highlighted.

Course Objectives

By the end of the course, participants will be able to:

  • Identify the critical functional areas related to the lifecycle of a trade from the inception of the customer’s order through the settlement, as well as the follow-up required for the effective prevention and management of failed trades
  • Recognize the importance of risk management provided by clearing houses
  • Discuss how clearing and settlement are structured in both the US and International marketplaces
  • Distinguish types of operational risks that have a potential impact on the firm and their customers, in both the domestic and international arenas
  • Analyze the source of costs of processing trades
  • Gain perspective on the relationship between an institutional customer’s custodian and the bank broker/dealer in the flow of post-execution activity

Suggested Prerequisites: None

Program Level:Foundational

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 7

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  • About Us
    ▼
    • Our Story
    • Our Team
    • Our Clients
    • Strategic Alliance
    • Our Associations
  • Services
    ▼
    • Training Needs Analysis
    • Custom Built Training
    • Subject Matter Experts
  • Training Courses
    ▼
    • Alternative Investments
    • Asset Liability Management
    • Capital Markets
    • Commodities
    • Corporate Finance Course
    • Credit and Credit Analysis Course
    • Credit Derivatives
    • Derivatives
    • Digital Assets
    • Economics
    • Equities
    • Financial Statement Analysis Accounting
    • Fixed Income Courses
    • Foreign Exchange
    • Insurance
    • Municipals
    • Mutual Funds and ETFs
    • Operations
    • Portfolio Management
    • Quantitative Methods and Excel
    • Regulation and Compliance
    • Risk Management
    • Securities Lending — Repurchase Agreements
    • Securitization and Structured Finance
    • Structured Products
    • Wealth Management
  • Training Methods
    ▼
    • Classroom Training
    • Virtual Instructor-Led Training (VILT)
    • Online Learning — eLearning
    • Financial Simulation
    • Blended Learning
  • Insights
    ▼
    • eNews
    • Articles
    • Glossary
    • Blog
    • Case Studies
  • Contact us
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