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Description: Journal of Securities Operations & Custody is the world’s leading peer-reviewed professional and research journal analysing new thinking, practice, developments and emerging issues in securities operations, trading, custodian banking and clearing and settlement. Subjects covered include: servicing new asset/investor types; clearing and settlement; global and local custodian banking; risk management; post-trade services; standardisation and interoperability; regulation and compliance; electronic trading and STP; real world case studies from the buy-side and sell-side; operational excellence and maximising your profit margin; minimising trade failures and errors; order and trade management; market infrastructure; corporate actions; data management; control, record-keeping and reporting.
Series handle: RePEc:aza:jsoc00
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Content
June 2014, Volume 6, Issue 4
March 2014, Volume 6, Issue 3
- 196-197 Editorial
by Moody, Daryn
- 198-205 The implementation of the G20 mandate in the EU: Will financial markets be safer than five years ago?
by Plata, Rafael
- 206-211 Compliance rules for an effective investment management system
by Balasubrmanian, Vasanth Sandilya
- 212-219 CSD regulation: A major change for the post-trade arena
by Dubrau, François
- 220-227 UCITS VI: In practice
by Muller, Charles & Braunstein, Clara
- 228-233 The Swiss Collective Investment Schemes Act: New challenges and opportunities for fund managers and investors
by Scharfman, Jason
- 234-239 Valuing illiquid and ‘hard to value’ assets
by Larsen, David L.
- 240-263 Margins and financial collateral for derivatives contracts: How to deal with procyclical implications in a financial crisis
by Tambucci, Martina
- 264-269 Outsourcing and delegation in the post-AIFMD environment
by Brett, Shane
- 270-281 Developing and implementing an appropriate surveillance system and organisation
by Nylén, Peter
January 2014, Volume 6, Issue 2
- 100-101 Editorial
by Moody, Daryn
- 102-112 Preparing to comply with the CSD Regulation
by Belghazi, Soraya
- 113-121 Assessing the potential impact of the AIFMD on the UCITS industry: Threat or opportunity?
by Delfrayssi, Carine
- 122-131 TARGET2-Securities: A platform for solving some of the key structural issues raised by the financial crisis and its aftermath
by Brown, Philip
- 132-137 Essential features of a portfolio management system
by Vasanth, Sandilya B.
- 138-149 Industrialisation of securities and derivatives transaction processing: Silos in the past, platforms today and functional modules in the future
by Holz, Andreas & Neumann, Frank & Milkau, Udo
- 150-166 Capital market trends in Japan: The birth of a new exchange
by Yanagawa, Eiichiro
- 167-173 Cross-border securities settlement in Europe: Improvements so far
by Van Wageningen, Ariena J.
- 174-180 Assessing buy-side preparations for meeting derivatives reform under the European Market Infrastructure Regulation
by Goodchild, Elspeth
- 181-188 Overview of the UK intergovernmental agreement for FATCA implementation
by Bjorkberg, Bengt & Leiva, Ricardo & Afolabi, Yemi
August 2013, Volume 6, Issue 1
- 4-5 Editorial
by Moody, Daryn
- 6-9 ESMA guidelines for securities lending: ‘Gaming’ the regulator?
by Miller, Alan
- 10-15 ESMA earns strong credentials thanks to its convincing approach concerning ETF regulation
by Millet, François
- 16-18 The ETF industry: A retrospective and suggestion for the future
by Gogna, Monica
- 19-24 Regulation of exchange traded funds as part of ESMA guidelines implementation: Operational costs and requirements for exchanges
by Lansing, Townsend
- 25-30 Asset allocation models
by Vasanth, Sandilya B.
- 31-41 Considerations when investing in and pricing emerging market fixed income securities
by Costandinides, Christos & Sinclair, Leon
- 42-50 Going global: The international impact of securities class actions
by Bingham-Peters, Pat
- 51-64 Capital market trends in Japan: Drivers of innovation and a market in transition
by Yanagawa, Eiichiro
- 65-80 Practical development of a CCP risk management system for institutional investor settlement in the Korean stock market
by Choi, Keukjin & Han, Youngwoo
- 81-94 Financial engineering and engineering of financial regulation: Guidance for compliance and risk management
by Coskun, Yener
March 2013, Volume 5, Issue 4
- 297-298 Editorial
by Moody, Daryn
- 299-311 Impact of reform on collateral and margin requirement practices
by Wallin, James
- 312-316 An overview of Dodd–Frank as it relates to OTC derivatives reform
by Wallin, James & Clingan, Camille
- 317-320 Certainty of clearing: Creating a credit-checking tool for OTC derivatives
by Williams, Jon
- 321-325 The Volcker Rule and other regulations: Regulatory impact on credit market structure
by Mcvey, Richard M.
- 326-330 Infrastructure readiness for swaps clearing
by Herskovitz, Mike
- 331-337 Counterparty risk management at the advent of central clearing for swaps
by Schiavetta, John & Feygin, Vlad
- 338-341 Addressing initial margin challenges in the new swaps world
by Callahan, Jack
- 342-356 Prospects and challenges of a pan-European post-trade infrastructure
by Lannoo, Karel & Valiante, Diego
- 357-362 Swaps central clearing for asset managers: How clear is it?
by Cameron, Timothy & Nevins, Matt
- 363-368 Automated terminations in a cleared world (coming soon)
by Hirani, Sunil
January 2013, Volume 5, Issue 3
- 192-193 Editorial
by Moody, Daryn
- 194-202 The banking union’s single supervisory mechanism and the securities business
by Wymeersch, Eddy
- 203-211 Counterparty risk management for today and the future
by Tsai, Brian J. & Magidson, Matthew A.
- 212-217 Back office outsourcing in Asia: Bridging the customer divide
by Nelson, Barnaby
- 218-231 The evolving role of collateral in international capital markets
by Van De Velde, Jo
- 232-236 Transforming uncertainty into opportunity: Coexistence of ISO 15022 and 20022 messaging standards
by Retzer, Daniel E.
- 237-250 The Dodd–Frank Title VII recordkeeping requirements: Finding a way to the light
by Von Maur, Peter
- 251-261 Opening Pandora’s box: The challenge of social media in a regulated environment
by Pitts, Gary & Aylott, Carla
- 262-275 Overnight index swap and integrated credit valuation adjustment discounting
by Douglas, Rohan & Pugachevsky, Dmitry
- 276-291 Corporate actions on Russian securities: Market practice, legislation and proposed changes to the legislation
by Kashkin, Anton
July 2012, Volume 5, Issue 2
- 96-97 Editorial
by Moody, Daryn
- 98-109 Smart partnering: The next evolution in the post-trade space
by Brown, Philip
- 110-117 Securities operations: In-house or in the cloud?
by Tsai, Brian J. & Shen, John
- 118-133 And the winner is … London? The location of the second renminbi offshore trading centre
by De Meijer, Carlo R. W.
- 134-144 Hidden risks of disruptive change due to regulatory evolution or shifts in servicing conventions: The global custodian liability example
by Stähli, Urs
- 145-149 Impact of regulatory reforms on the security transaction chain
by Leclercq, Sandrine
- 150-158 Evolution of the K-1 process for alternative investment funds
by Abraham, Miriam & Wiley, Crystal & Helton, Rusty & Friedenberg, Kara
- 159-170 The common asset services platform
by Bermingham, Gerard
- 171-185 Internal and external approaches to controlling rogue behaviour
by Singer, Daniel & Dewally, Michaël
May 2012, Volume 5, Issue 1
- 4-5 Editorial
by Moody, Daryn
- 6-15 Should the European repo market clear and settle only in central bank money?
by De Vidts, Godfried
- 16-28 Trends in the EMS market
by Jaswal, Anshuman
- 29-36 A primer on tail risk hedging
by Mcrandal, Ryan & Rozanov, Andrew
- 37-53 Consumer Protection Act: Quis custodiet ipsos custodes?
by Nathan, Vaidya
- 54-63 Calculating the effect of funding costs on OTC valuation using funding valuation adjustment
by Douglas, Rohan & Pugachevsky, Dmitry
- 64-72 Is the draft UCITS V directive a cloned version of the Alternative Investment Fund Managers Directive?
by Beythan, Hermann & Virard-Canto, Claire
- 73-79 UCITS V: Lessons from the crisis
by Muller, Charles & Zanetti, Ludivine
- 80-85 Eleven features of an excellent securities settlement system in an investment bank
by Vasanth, Sandilya B.
- 86-89 Conference review The 16th symposium of the International Securities Services Association, 5th—8th June, 2012
by Stähli, Urs
March 2012, Volume 4, Issue 4
- 285-286 Editorial
by Moody, Daryn
- 287-294 OTC derivatives: How OTC will they be? A buy-side view
by Grosse-Nobis, Kerstin
- 295-307 Outsourcing for fund managers: Demystifying the regulatory structure
by Lewis, Amanda & Radmore, Emma
- 308-320 Risk management in securities settlement systems
by Trundle, John
- 321-332 The integrity of the price: Issues for securities fraud plaintiffs and defendants in US class actions
by Holloway, Daniel E.
- 333-345 The great race: Investment managers apply new technologies to get ahead
by Tattersall, Phil
- 346-357 The role of market infrastructures in OTC derivatives markets
by Benito, Jesús
- 358-363 IT and equities operations: 12 best practices
by Sandilya, B. Vasanth
- 364-368 How to get issuers fully involved in the corporate actions process
by Frey, Werner
- 369-374 Investigating the role of the sub-custodian in risk mitigation
by Schnaitt, Günter
January 2012, Volume 4, Issue 3
- 189-190 Editorial
by Moody, Daryn
- 191-197 Leveraging a shared infrastructure to trade across asset classes, regions and strategies
by Tjong, Eugen
- 198-206 Renminbi cross-border trade settlement
by De Meijer, Carlo R. W.
- 207-217 How will Target 2 Securities affect the European securities landscape?
by Turrell, Richard
- 218-228 A common platform model for Asia: How will an inter-Asian and cross-border processing infrastructure benefit Asian capital markets?
by Li, Shu-Pui
- 229-236 Preventing market abuse: Can market surveillance really improve amid fragmentation and low-cost competition?
by Von Haartman, Annika
- 237-245 Advancing transparency and harmonisation in corporate actions processing: Where are we now and where are we headed?
by Hamer, Tim
- 246-252 Cost-basis reporting: The impact on investment advisers
by Gowan, Jeff & Adolphson, Aaron
- 253-264 CSD regulation: The missing piece in the European post-trade puzzle?
by Belghazi, Soraya
- 265-274 Evolution of the Romanian post-trade environment: Embracing the new European post-trade realities
by Tanasoiu, Adriana
August 2011, Volume 4, Issue 2
- 101-102 Editorial
by Beckett, Simon
- 103-111 Using the SwapClear Client Clearing Service to meet current challenges in the interest rate swaps market
by Bertotti, Matteo & Girometti, Andrea
- 112-121 Assets or liabilities? Custodian risk in the new paradigm
by Scrimgeour, Bill
- 122-133 The limitations of transparency policy in OTC markets and derivatives trading
by Coşkun, Yener
- 134-147 Addressing risk through best practice in Japan: Shortening settlement cycles and imposing fail charges
by Mori, Taketoshi
- 148-156 What is the true role and value of custody within correspondent banking?
by Fodder, Richard
- 157-171 UCITS IV nuts and bolts: What to expect under the new regulatory regime
by Owens, Ken & Senior, Suzanne
- 172-180 Hidden operational drivers for increased fund expense ratios uncovered: Reducing the impact of increased order fragmentation on clearing and custody
by Kurland, Scott
May 2011, Volume 4, Issue 1
March 2011, Volume 3, Issue 4
- 276-278 Editorial The Global Financial Services Data and Standards Alliance: Resolving the global reference data debate in the cause of observing systemic risk
by Grody, Allan
- 280-287 Operational risk management: Using loss-data more effectively
by Huebner, Robert
- 288-297 Trade matching in the traditional and alternative markets
by Miller, Holly
- 298-304 Investigating partnerships with local players: Build, buy or partner?
by Sanni, Toyin
- 305-315 Using a data warehouse to solve risk, performance, reporting and compliance-related issues
by Stock, Tom
- 317-332 The MiFID metamorphosis: A new paradigm for market structure
by Lannoo, Karel & Valiante, Diego
- 333-353 Regulatory intrusion: Is regulation becoming impossible to manage?
by Richards-Carpenter, Peter
- 354-363 Opting out of securities class actions: Why wait?
by Goseland, Nick
November 2010, Volume 3, Issue 3
- 189-189 Editorial
by Beckett, Simon
- 193-201 Operations and settlement risk in extreme market conditions
by Scandizzo, Sergio
- 202-209 The great risk vs. compensation debate
by Rand, Andrew I.
- 210-217 The impact of Target 2 Securities on sub-custodians
by Palvalin, Janne
- 218-225 Custodial operations in Malta: Current opportunities
by Ganado, Max
- 228-240 The road to risk-based supervision: Lessons from Chile
by Balcom, Jeanne & Pargaonker, Nileema
- 241-251 New OTC derivatives regulation and the future of the derivatives industry
by De Meijer, Carlo R. W. & Wilson, John
- 252-267 Direct overseas listing of Chinese enterprises: A clear regulatory framework and explicit regulatory requirements are needed
by Yi, Liu
August 2010, Volume 3, Issue 2
- 93-93 Editorial
by Beckett, Simon
- 95-102 Optimising the cost equation in securities clearing, settlement and custody
by Rathnam, Venkatesh
- 103-110 Automating the OTC derivative collateral management function
by Ciulla, Thomas & Bloom, Daniel & Ages, Justin
- 111-121 Mutual fund omnibus processing: A way to increase revenues and improve the client experience
by Kolzow, Craig L.
- 122-130 Reviewing your organisation’s approach to data management
by Enfield, Rick
- 131-137 Making web development and e-servicing investments pay off
by Harmon, Kristyn & Moriarty, George
- 138-146 Client reporting: Responding to the key drivers of automation, customisation and globalisation
by Ellis, Peter
- 147-165 Brokers are fiduciaries — now what? The new US federal fiduciary best interest of the customer standard of care and its impact on existing FINRA regulation of wrap accounts
by Miller, Daniel M. & Maloney, Eugene F.
- 166-184 The widening FCPA dragnet: The increasing pursuit of individuals and foreign persons and expansive use of legal theories
by Low, Lucinda A. & Bonheimer, Owen
May 2010, Volume 3, Issue 1
- 5-6 Editorial
by Beckett, Simon
- 7-13 Building a business case for cross-border trading
by Randall, Mike
- 14-23 How to succeed in the new post-trade services landscape: Reduce risks, cut costs and get closer to clients
by Scott, Rob
- 24-32 What progress is being made to accelerate interoperability and how can standards help increase transparency and reduce risk?
by Mermigidis, Irene
- 33-43 Mitigating risk in a changing landscape
by Kelly, Peter W.
- 44-54 Trends in OTC derivatives
by Angle, Corby
- 55-65 Are we facing European CCP interoperability regulation?
by De Meijer, Carlo R. W.
- 66-72 MiFID II and EMIL: The impact of regulation on securities operations in European markets
by Pickles, Chris
- 73-83 Developing world-class operations staff
by Cuff, Martyn
January 2010, Volume 2, Issue 4
September 2009, Volume 2, Issue 3
July 2009, Volume 2, Issue 2
- 104-105 Editorial
by Robinson, Richard
- 106-119 How technology will make or break banks integrating mission-critical processes as a result of a merger
by Bagnulo, Ryan
- 120-127 Adding value to your organisation through operational risk management
by Breden, David
- 128-133 XBRL reaches tipping point
by Berkeley Iii, Alfred R. & Donahue, Donald F. & Moyer, Philip D. & Bolgiano, Mark C.
- 134-140 Credit risk management and mitigation
by Measures, Darren
- 141-152 A roadmap to achieving STP for corporate actions
by Lancaster, Brett & Hands, David
- 153-162 The industrialisation of asset management reporting services
by Saathoff, Kai
- 163-168 The silent revolution: Clearing and settlement in the future
by De Vidts, Godfried
- 169-180 Internal systems and controls that help to prevent rogue trading
by Moodie, Jennifer
- 181-186 What is the price of a derivative security?
by Rozenberg, Sasha
February 2009, Volume 2, Issue 1
- 5-6 Editorial
by Beckett, Simon & Robinson, Richard
- 7-23 The new trading environment post-MiFID: One year later
by De Meijer, De Meijer R. W.
- 24-36 Operational risk control: Société Geénérale and other well-known cases
by Previtali, Rita
- 37-52 Risk management challenges in UCITS III funds
by Beegun, Ravi & Leroy, Pascale
- 53-62 'Don't forget the operations': Critical processes for OTC derivatives needing attention
by Robinson, Richard & Lynn, Brian & Lillystone, Simon
- 63-74 Fund administration in the alternative investment industry: Administrator selection and best practices
by Gambhir, Udit
- 75-85 Complying with higher corporate action standards: The importance of booking the US taxation of corporate actions correctly, given the new cost-basis reporting law
by Conlon, Stevie D.
- 86-98 Legal issues in China's QDII regime: Opportunities and challenges
by Walker, James & Shipman, Mark & Tiecheng, Yang & Nan, Zhang
September 2008, Volume 1, Issue 4
- 313-314 Editorial
by Beckett, Simon
- 315-327 Has the EU Code of Conduct for market infrastructures delivered measurable benefits for users?
by Knight, Angela & Kenny, Cassandra & Merriman, Alex
- 328-334 Managing operational risk in a changing environment
by Iraci, Joseph A. & Baas, Bryan T.
- 335-350 Are your securities operations sufficiently resilient? A business continuity briefing
by Harvey, Alton
- 351-358 Operational risk management and control: Managing data as a key enterprise asset
by Manz, Steve & Gesher, Nolan
- 359-372 Global sourcing by fund managers: The road ahead and how to manage it
by Cuff, Martyn
- 373-381 Effective reconciliation of trading: Managing and mitigating operational risk
by Day, Colin
- 382-389 What do we want from the transfer agent service provider?
by Lentschat, Christophe
- 390-399 Redemption payments: Proposed rules for US withholding tax under § 302
by Ryndak, Richard & Ouderkirk, Michael & Mosier, Jonathan
June 2008, Volume 1, Issue 3
- 217-218 Editorial
by Oomeer, Sharita
- 219-226 Servicing derivatives positions: Challenges and best practices amid a convergence of market utilities
by Wright, Neil Wright
- 227-232 Advancements in listed derivatives post-trade automation
by Simpson, Matt
- 233-249 Assessing the real impact of securities lending on the corporate governance landscape
by Faulkner, Mark C.
- 250-262 Data governance: Supporting datacentric risk management
by Weller, Aaron
- 263-270 Best practices in achieving an efficient reconciliation system
by Conway, Joseph
- 271-288 The European Code of Conduct for Clearing and Settlement: Towards more interoperability?
by Sleenhoff, Ruud & De Meijer, Carlo R. W.
- 289-300 Securities standards migration: ISO 15022 vs ISO 20022
by Pickles, Chris
- 301-305 The race for European financial unity: Where is it going?
by Mérère, Joël
February 2008, Volume 1, Issue 2
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