Start a conversation ↗

Description

Securities Back-Office: Processing Transactions, Settlement and Post-Trade Controls

Process securities transactions from settlement through to corporate actions and secure the post-trade chain day to day

  • 2 days — 14 h
  • In-person or virtual
  • Intermediate
  • Up to 6 participants

Securities back-office teams work under constant deadline pressure. A suspended settlement instruction blocks an entire flow. A corporate action notice that is misread distorts the client position. Reconciliation breaks build up and no one can say at which stage they originated.

These two days rebuild the post-trade chain from the ground up. You follow the journey of an order from execution through to final settlement at the custodian. You process the main corporate actions and their impact on positions. You identify the causes of failed trades and apply a structured resolution method. You then equip yourself with practical reconciliation controls.

Learning objectives

  • Describe the processing chain of an order from execution to final settlement
  • Identify the respective roles of the central securities depository, the custodian and the clearing house
  • Process the main corporate actions and their impact on positions
  • Analyse a settlement fail and initiate its resolution
  • Implement reconciliation controls on securities and cash positions

What makes this programme different

Full reconstruction of an order's journey through a single case study running across the programme
Guided processing of the main corporate actions
A settlement fail analysis method that can be applied as soon as you return to your desk

Programme

1The securities chain and its participants

From the order book to the custody account

  • Trading, clearing and settlement
  • Roles of the central securities depository and the custodian
  • Securities accounts and cash accounts
  • Settlement cycle and key dates

2Settlement and delivery

Settling without fails

  • Settlement instructions and matching
  • Typology of the causes of settlement fails
  • Handling delivery failures
  • Chasing and escalation with counterparties

3Corporate actions

Detect, interpret, apply

  • Coupon and dividend detachment
  • Capital increases and attached rights
  • Consolidations, splits and public offers
  • Handling elective options and client notification

4Controls, reconciliations and tax treatment

Securing the position and client reporting

  • Reconciliation of securities and cash positions
  • Substantiating suspense accounts
  • Tax treatment of income and withholding
  • Internal reporting and audit trail

Who is it for

Securities back-office and middle-office staff, custody operations officers and internal control officers involved in the post-trade chain.

Prerequisites

Familiarity with the main financial instruments and with market terminology.

Dates & locations

36 scheduled dates between November 2026 and December 2027. Seats are confirmed in the order enquiries are received.

November 2026

December 2026

January 2027

February 2027

March 2027

April 2027

May 2027

June 2027

September 2027

October 2027

November 2027

December 2027

None of these dates suit you? We open additional sessions on request, and any programme can be run privately for your team.

Practical details

Before the programme
Online positioning questionnaire. Your development objectives are shared with the trainer, who tailors the practical case studies to your context.
Teaching methods
Theoretical input, workshops and practical case studies. Digital course materials and method sheets provided.
Assessment
Multiple-choice tests and role-play exercises. Assessment of learning at the start and end of the programme, with immediate and 60-day follow-up evaluations.
After the programme
One year of access to the e-learning platform. Self-assessment of the skills acquired and a 30-day follow-up session with your trainer.
How to register
Registration online or on the basis of a quotation.
Lead time
11 working days after confirmation of registration.
Accessibility
Accessible to people of determination. Contact our accessibility coordinator to design a suitable solution: contact@mpf-academy.ae
Start dates
Rolling intake: in addition to the scheduled sessions, this programme can start on request.