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Securities Trade Processing Training Course

Online

19 - 21 October 2020

Virtual Classroom

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.

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

Download the Securities Trade Processing course brochure

speaker presentation

We have been delivering online training for many years and know how to ensure the interaction is the same as if you were in a classroom.

The trainer will share his screen to allow you to follow the training session, which will be very practical. Our trainer will include polls, group work, exercises, discussions and breaks.

The course will be 50% pre-recorded, on-demand material that can be accessed at the delegates preferred time. 50% will be delivered ‘live’ with the trainer – timings of this will be flexible in order to best meet the requirements of the demographics of the delegates.

You will be able to ask questions, give feedback and participate in the practical sessions. Class sizes will be capped to ensure every delegate will be guaranteed quality time with the trainer.

cpd certified

Dates: 19-21 October 2020
Venue: Virtual Classroom

Online course fee: £1799.00 + VAT if applicable
London course fee: £1999.00 + VAT @ 20% = £2398.80


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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