Smartenu Up Institute

Life of a Trade: Order Processing, Trading and Clearing - Apr 19-20, 2012

In this intensive two (2) day course, participants gain an in-depth understanding of the security trade flow. Order processing, trading and clearing are discussed and reviewed in detail. 

All course materials are provided. Upon confirmation of registration, the student will receive a free one-year subscription to Investment Executive, Canada's Newspaper for Financial Advisors.

Note:  Location of classes will be confirmed closer to the date of the course.

Instructors: Determined at time of scheduling

 This course should be of particular interest to:
  • Persons presently outside the industry looking to increase specific financial knowledge or seek entry to the industry
  • Operational and administrative staff, particularly settlement, corporate action and custody staff in the financial and/or securities industry
  • Investment and financial firms' IT staff
  • Investment and financial firms' program and product developers
  • Investment and financial firms' customer service representatives
  • Employees of regulatory agencies
  • Employees of custody agencies
  • Industry vendors' employees

 The benefit to the student is:
  • Learn how the trade process works from order origination through to settlement in terms of both street and client side processing.
  • Gain a better understanding of Order Processing, Trade Processing, Clearing and Trade Reconciliation Process for the different instruments (equities, bonds, mutual funds and derivatives).

Day 1 Day 2
Course Overview
  • Introduction
Overview of Process
  • Clients/Instruments
  • Organization structure
Trade Processing
  • Order Types
  • Trade processing
Technology and Data
  • Trading technologies 
  • Data Structure
  • Clearing
  • Clearing and trade reconcilation
  • Client Side settlement and financing

Course Code: OPC08-T0412