Journal of Securities Operations & Custody

2007 - 2026

From Henry Stewart Publications
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Volume 14, issue 4, 2022

Editorial pp. 288-289

Simon Beckett

Securities services embrace next generation technology pp. 290-298

Stephan Hänseler

AI in capital markets: Navigating legal and regulatory considerations pp. 299-313

Mike Pierides, James Mulligan and Christopher Archer

Maintaining momentum of accelerated digital transformation created by the pandemic pp. 314-318

Jeff Coleman

Increased focus on operational resilience pp. 319-328

Annik Bosschaerts and Gloria Lio

Now is the time to conquer the last mile to full data automation pp. 329-341

Christian Nentwich

Collecting as much data as possible: Is that a key differentiator for private market investments? pp. 342-349

Catherine Le Caranta

Shortening the settlement cycle: Why Europe should not wait too long to introduce T + 1 pp. 350-354

Apostolos Thomadakis

From stock exchanges to asset exchanges pp. 355-365

Charles-Henry Monchau and Valérie Noel

Embarking on a digital journey to cater for future growth pp. 367-374

Ulrik Modigh

Volume 14, issue 3, 2022

Editorial pp. 192-193

Simon Beckett

The age of collateral convergence pp. 194-205

Staffan Ahlner

Why as-a-service operating models are the future of banking technology pp. 206-220

Ihyeeddine Elfeki and Mark Perkins

The new era for collateral: Optimisation, funding and yield strategies pp. 221-230

Martin Aasly and Xavier Bouthors

DeFi and banks: Is this the end of traditional banking? pp. 231-241

Carlo R.W. De Meijer

The true cost of doing nothing in asset management pp. 242-247

Thomas Chevalier

Distributed ledger technology and the evolution of post trade pp. 248-282

Gonçalo Lima and Enrico Rossi

Volume 14, issue 2, 2022

Editorial pp. 100-101

Simon Beckett

Sub-custodian network management in a post-pandemic world pp. 102-110

Andrew Osborne

Advancing the settlement model of the US securities markets pp. 111-121

John Abel

COVID-19 and the evolution of the alternative asset manager operating model pp. 122-132

Michael Fastert

Meaningful data products: Custodians enhance their solutions pp. 133-141

Ryan Cuthbertson

How the COVID-19 pandemic has accelerated the adoption of technology for due diligence pp. 142-151

Zachary Jarvinen

Exploring coexistence in the securities industry: Why the ISO 20022 central dictionary is the key to interoperability and realising data opportunities pp. 152-161

Juliette Kennel

Wealth management requires a 360-degree compliance programme pp. 162-170

Jeffrey Cowley

Blockchain-based tokenisation: Status and implications of early design decisions pp. 171-182

Maja Schwarz

Volume 14, issue 1, 2021

Editorial pp. 4-5

Simon Beckett

Effective oversight of outsourced functions in the financial industry pp. 6-12

Francesca Valenti and Andrea Vianelli

Central securities depositories and reform of the settlement process pp. 13-41

Eddy Wymeersch

Custody rebooted: How the asset servicing industry must adapt for the digital future pp. 42-53

Pete Cherecwich

Keeping pace with dynamic markets: FINRA’s journey with AI-based surveillance techniques and tools pp. 54-63

Susan Tibbs, Raghu Raman, Chi-Keung Chow and Robert A. Gomez

Securities operations: Future pricing models and operating models — Trade-offs between cost, operational efficiency and diversification pp. 64-71

Samir Pandiri

Outsourcing investment data management: Experiences with the tendering process pp. 72-77

Bruce Russell

Understanding the value of enterprise compliance technology pp. 78-91

Adam Schaub

Volume 13, issue 4, 2021

Editorial pp. 296-297

Simon Beckett

Custodian and third-party risk monitoring: Ongoing due diligence in the wake of COVID-19 pp. 298-307

Ross Whitehill

How can chief operating officers succeed in driving, growing and transforming their businesses with digital technology? pp. 308-319

David Ng

The impact of distributed ledger technology on post-trade pp. 320-334

Søren F. Mortensen

A framework for effective data management outsourcing in investment management pp. 335-345

Andrew Barnett

Financial crime: Why are securities markets vulnerable? pp. 346-353

Jonathan Ehrenfeld

Building a resilient workforce for tomorrow by investing in the employees of today pp. 354-364

Lori Messer

Outsourcing services in a challenging time pp. 365-373

Christian Måhrbeck and Jørn Grønbech

Fundamental review of the trading book: Legal perspectives pp. 374-380

Jennifer Connors, Rebecca Leon, Mark Fitterman and Kristal Petrovich

Collateral management then and now pp. 381-388

Manan Shah

Volume 13, issue 3, 2021

Editorial pp. 200-201

Simon Beckett

How COVID-19 has shaped the operational resilience of Knab Bank pp. 202-207

Ebbe Negenman

Bridging pre-trade and post-trade processes with the Legal Entity Identifier for a more efficient trade and client life-cycle management pp. 208-217

Burcu Mentesoglu Tuncer and Clare Rowley

Tokenisation: Assembling the building blocks of an institutional digital assets marketplace pp. 218-236

Carlos Domingo and Elizabeth Mathew

Innovating operational resilience with financial messaging standards pp. 237-242

Jeremy Kwok

Navigating the Custody Rule: A guide for investment advisers pp. 243-252

William Nelson and Bradley Ecker

Identification, quantification and monitoring of operational risk pp. 253-263

Rajat Baijal

Smart close-out netting pp. 264-287

Akber Datoo and Christopher D. Clack

Volume 13, issue 2, 2021

Editorial pp. 105-106

Simon Beckett

Financial stability and nonbank financial institutions: Lessons from COVID-19 — What worked and what needs to be addressed pp. 107-126

Joanna Cound

Cash correspondent bank monitoring: The industry aligns in response pp. 127-138

Derek Duggan

Data matters: Best practices and strategies for the use of securities lending data — Revenue attribution, performance measurement and alternative uses of lending data pp. 139-149

Nancy E. Allen

The unique and complex considerations of digital asset custody pp. 150-162

Richard Walker, Rob Massey, Amy Steele, Tyler Welmans, Michelle Robinson, Elana Mourtil, Michael Marzelli, Linards Strauss, Pamela Calaquian and Ken Schulhof

Beyond the hype: How can the financial industry benefit from artificial intelligence? pp. 163-169

François Mercier

Digitalisation: The future of securities markets pp. 170-177

Kromvel Tumanyan and Levon Klekchyan

Securities Finance: Data applications for beneficial owners pp. 178-186

Monica Damas-Shaw and Samuel Pierson

Asset managers and the quest for collateral and liquidity pp. 187-194

Manan Shah

Volume 13, issue 1, 2020

Editorial pp. 4-5

Simon Beckett

Why the experience of COVID-19 will accelerate progress towards digitalisation and automation pp. 6-12

Mariano Giralt

Transitioning into the next normal: Capital markets redefined pp. 13-22

Lisa O’Connor

Common challenges of data governance pp. 23-43

Rajib Chakravorty

Principles for effective automation in post-trade processing: Part 2 — thought experiments for friction-free trade processing pp. 44-61

Martin C.W. Walker

Challenges and regulatory prospects in EU cross-border UCITS/AIF registration pp. 62-71

Josef El Semari

The sustainable investment assessment: Data and methodologies pp. 72-81

Maryse Gordon

Outsourcing and collaboration: What to expect now? pp. 82-87

Clive Triance

Tax policies and developments affecting foreign portfolio investment in sub-Saharan Africa pp. 88-96

Celia Becker