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Track all activities associated with an equity trade, from order initiation through execution to settlement. Equity products addressed include common and preferred stocks, rights, warrants and depository receipts. Topics include indications of interest, order validation, order routing to the appropriate marketplace, confirmation/affirmation, comparison, clearance and settlement.
| Topics include: |
• Central Trade Matching
• Changes in pre-settlement processes |
• Roles of order management systems (OMS)
• Trading environments |
| Benefits of attendance: |
• Examine discrete process steps
• Identify differences between marketplaces
• Learn how changes impact processes |
• Raise awareness of critical buy-side issues
• Recognize potential process risk points
• Understand the process flow value chain |
| Staff from the following areas should attend: |
• Compliance
• Custody
• Industry Service Companies |
• Information Technology
• Operations
• Regulatory Reporting |
Basics of the Securities Industry program or equivalent experience preferred |
