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Securities Trade Processing Training Course

Learn about the entire securities trade lifecycle, helping you and your company minimise risk

19 - 21 October 2020

Central London

Although today’s innovative software systems provide great advantages to the organisation in terms of efficiency, the overriding objectives of such processing are not always clear to the operations (and other) personnel that are involved. An excellent understanding of the entire process, and not just your own tasks, will help you identify risks at the earliest opportunity in the processing lifecycle. Such risks include direct
monetary loss (resulting from delayed settlement) and potential loss of clients owing to a failure to provide a top-quality service (e.g. accurate trade confirmations).

This course will show you which actions enable successful trade processing.

Download the Securities Trade Processing course brochure

You will return to work able to

  • Explain aspects of the securities marketplace which affect the successful processing and management of securities trades
  • Describe equity and bond securities including their similarities and differences – including risk mitigation, calculating interest, the role and importance of securities and counterparty static data
  • Express how trades impact positions and how positions are managed
  • Illustrate how Straight Through Processing is achieved
  • Define the impact of Settlement Discipline and Mandatory Buy-Ins (re CSD regulation)
  • Explain in detail the sequential steps in the securities trade lifecycle, the matching of settlement instructions, the settlement of trades and the resultant reconciliation process

cpd certified

Dates: 22-24 April 2020 & 19-21 October 2020
Venue: Central London
Course Fee: £1999.00 + VAT @ 20%  = £2398.80

View the Securities Trade Processing course agenda

Mike Simmons is an operations specialist. He has been involved with capital markets and operations throughout his career, focusing originally on securities operations and more recently on securities financing (repos and securities lending), collateral management, corporate actions and OTC derivatives (including mandatory central clearing under EMIR).

During his career working for stockbroking firms and a major international investment bank (S.G. Warburg and Warburg Securities), Mike gained hands-on experience and management responsibility for many operational areas (including debt, money markets and equity), and for various operations functions across
both domestic and international markets. He has also spent a number of years as a senior business analyst for investment banks and retail banks in the UK, US and mainland Europe.

Mike has developed and delivered over 1,400 training programs globally for investment banks, fund managers, asset managers, central banks, sovereign wealth funds, supranational organisations, management consultants, central securities depositories, custodians, central counterparties, software
companies and data vendors. A particular feature of Mike’s courses is the emphasis placed on risks within operations, and the associated controls.

Mike is the author of three books:
• Securities Operations; a Guide to Trade and Position Management
• Corporate Actions; a Guide to Securities Event Management
• Collateral Management; a Guide to Mitigating Counterparty Risk

bac accreditation mark

"Very insightful, very practical. Excellent…enjoyed the practical anecdotes to the technical material"

Matthew Shaw,

 Manager, FSA

cpd certified

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