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Lesson Plan 6

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Electronic Trade Processing and System Navigation

Lesson 6 Overview

This instructional lesson will review the DTCC’s trade processing System usage and basic navigation. The Overview lesson is specifically designed to eliminate the limitation of subject matter expertize. Moreover, the instructors in training will gain a thorough understanding of enhancements to securities processing system navigation and functionality. The DTCC System Navigation overview is intended to eliminate functional processing risks.

 

Resources Needed

Performance Objective 6

The underlying performance objectives as initially stated, eliminate the limitation of subject matter expertise. Given the instructors (in training) limited subject matter expertise of trade processing system usage and basic navigation, the performance objective,  instructors must develop a thorough understanding of the enhancements to securities processing system navigation and functionality. The condition under which learning will occur will include a series of Instructor-led knowledge sharing sessions coupled with hands-on system scenario-based exercises within the user acceptance test environment.

 The criteria, the learner, must perform the following actions, submit bond trades, resolve trade differences and retrieve daily reports. Navigation of the trade processing functionality within a trade processing production environment with 100% accuracy.  The presentation and scenario-based system navigation overview, intended to eliminate functional processing risks. 

    • Review the benefits of the processing system
    • Navigate to various functions
    • Access the  relevant statistical reports
    • Identify primary default correction responses   

Time: 3 hours.

Step 1: Pre-Instructional Activities

Instructors in training must review the functional specification documents and assigned system guide provided by the lesson facilitator. Attendees must ensure user access to the test environment, using the guideline provided.

Step 2: Content Presentation

The instructor will guide the discussion by reviewing the securities processing application. Also facilitated within designation training labs.

 On Smart Board devices and for globally disbursed staff. The presentation will include, pre-recorded simulations shared via a presentation monitor and hands-on demonstration within the securities processing test environment.

Step 3: Attendee Participation

One year of experience using securities processing/trade system. During the oral presentation, the instructor must ask pointed questions to confirm attendees understand the following and can identify types of  "trade" or "transactions," reported under the trade reporting rules. Identify “time of execution” for purposes of the trade reporting rules. Identify a stop stock" transaction.

Step 4: Assessment

Instructors (in training) will complete a  summary statement- an essay which demonstrates mastery of lesson competencies combined with 10 question knowledge break-out session discussion graded required for this lesson will not be applicable.

Step 5: Follow-Through Activities

Instructors in training will participate in observable hands-on exercises’ within the system test environment.   

Lesson 6:  Trade Processing System Navigation Overview

3.1 Navigate real-time query system using DTCC navigation 

3.2 Access the main menu for the application page access defaults 

3.3 Trade Management view the overall position monitor and search requirements

3.4 Shows active trades and activity as it occurs during the business day

3.5 Describe user to a dealer query results screen that lists associated trades.

3.6 Demonstrate trades submitted on behalf of the participant.

3.7 Identify the risk associated to fail position tracking (systemic).

3.8 Demonstrate vital risks and mitigating controls.

 

"In teaching others we teach ourselves"  - Proverb

 

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