Glossary

OMS to post-trade integration is the controlled handoff from order and execution records into allocation, confirmation, enrichment, settlement instruction, reconciliation, supervision, and reporting workflows.

The identification and mitigation of risks from failed processes, human errors, technology failures, and external events that disrupt securities operations or cause financial loss.

Outsourced execution post-trade controls verify fills, allocations, confirmations, settlement data, exceptions, and books-and-records evidence after an external desk executes a trade.

Outsourced trading controls are the oversight records, workflow checks, approvals, and evidence used when an investment manager delegates execution activity but keeps responsibility for trade records and supervision.