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Description

Securities Settlement: Securing Flows, Settling Trades and Resolving Fails

Follow a trade from execution through to final settlement at the custodian

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

A rejected instruction, a fail that drags on, a client concerned at not seeing their securities: settlement incidents involve several teams at once and the root cause is rarely obvious. The parties along the chain use different vocabularies and correction windows keep shrinking.

This short-format programme is designed for post-trade professionals already in post. Participants reconstruct the chain from execution through to settlement, identify recurring causes of rejection and fails, then build a method for handling incidents and engaging with counterparties.

Learning objectives

  • Describe the processing chain of a securities transaction through to settlement
  • Identify the role of each participant in the post-trade chain
  • Analyse the causes of rejection of a settlement instruction
  • Handle a settlement fail and monitor its resolution
  • Engage with the counterparty and the custodian on an incident

What makes this programme different

The post-trade chain reconstructed step by step around a single running case
A typology of fail causes drawn from real situations
An incident-handling method that can be applied day to day

Programme

1The post-trade chain

From execution to settlement

  • Participants in the securities chain and their respective roles
  • Matching and confirmation of instructions
  • Settlement circuits and the systems used
  • Delivery versus payment and free-of-payment delivery

2Incidents and their causes

Why an instruction fails to settle

  • Rejections linked to instruction data
  • Insufficient securities or cash provision
  • Matching discrepancies with the counterparty
  • Consequences of a fail for the client and the institution

3Handling and monitoring

Resolving without losing the audit trail

  • Prioritisation of fails and escalation rules
  • Exchanges with the counterparty and the custodian
  • Tracking of resolutions and key indicators
  • Control points that reduce recurrence

Who is it for

Post-trade professionals, back office and middle office officers in asset management firms and custody and account-keeping institutions.

Prerequisites

Working within a securities operations processing chain.

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.