Journal of Securities Operations & Custody

2007 - 2025

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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

Volume 12, issue 4, 2020

Editorial pp. 300-301

Simon Beckett

Asset managers and financial market data procurement: Pay or die! pp. 302-319

Rudolf Siebel

Principles for effective automation in post-trade processing - Part 1: Beware the ‘bot’ army pp. 320-335

Martin Walker

The measurement of environmental, social and governance (ESG) and sustainable investment: Developing a sustainable new world for financial services pp. 336-356

Christopher Johnson

Blockchain, artificial intelligence and knowledge graphs: What does it mean for the business? pp. 357-366

Mike Bennett

Challenges in market-abuse monitoring: Post MiFID pp. 367-376

Peter Nylén

Why financial infrastructures and intermediaries are actively promoting blockchain application although it means disruption to them pp. 377-385

Dong Yi

Bringing the Cloud back to earth: Compliance, operational and security considerations pp. 386-391

Lynne M. Carreiro and David Holman

Volume 12, issue 3, 2020

Editorial pp. 205-206

Simon Beckett

Connecting Senior Managers and Certification Regime requirements with operational risk pp. 207-218

Liezl De Villiers Getz

Implementing service level agreements in custody operations and software systems pp. 219-228

Wolfgang Göb

Digital Transformation in securities services: The BNP Paribas case study pp. 229-236

Philippe Ruault

Strategic relationship agreements: Better returns through better relationships pp. 237-245

Thomas A. Hickey Iii and Michael P. Calabrese

What’s in a name? Standard identifiers for financial instruments and entities in a changing financial landscape pp. 246-254

Richard B. Young

LIBOR: The drama is still to come pp. 255-265

Akber Datoo

Intelligent automation: A new frontier in capital markets operations pp. 266-277

Arin Ray

Application programming interfaces: The new (old) game in town pp. 278-285

Godfried De Vidts

The next generation of operations: Evolving beyond data collecting to data quality and analytics - The journey of one financial regulator pp. 286-293

Barbara Vouté and Karl Eiholzer

Volume 12, issue 2, 2020

Editorial pp. 100-101

Simon Beckett

How AI is changing operations: From settlement optimisation to automating risk monitoring pp. 102-115

Tony Brownlee, Jesse Sommerfeld and Kyle Hansen

Solving the legacy technology conundrum: Successful strategies for back-office transformation pp. 116-127

James Maxfield

CSDR settlement discipline costs and how to reduce or avoid them pp. 128-134

Bill Meenaghan

The growing importance of the closing auction in share trading volumes pp. 135-152

Franck Raillon

Regulations: Burden or insurance? pp. 153-160

Julia B. Romhanyi

Reimagining the future of securities operations: The time for change is now pp. 161-166

Bob Walley, Sriram Gopalakrishnan and Mike Wade

The roles of CSDs in a blockchain environment pp. 167-174

Carlo R. W. De Meijer

Depository to people: The new experimental business model pp. 175-186

Hayk Yeganyan, Samvel Harutyunyan and Armen Asatryan

The ‘kissing bugs’ of capital markets: How the financial services industry can best evolve pp. 187-194

Joy Sengupta

Volume 12, issue 1, 2019

Editorial pp. 4-5

Simon Beckett

The European post-trade infrastructures after Brexit: A central securities depository perspective pp. 6-20

Jesús Benito

Blockchain in post-trade: Blocked by regulations and legal challenges pp. 21-28

Haitham Al Salmi

The value of the Legal Entity Identifier for the participants of the securities industry pp. 29-40

Gerard Hartsink

The rise and role of FinTech for financial institutions: Why FinTech, and why now? pp. 41-48

Mark Beeston

Digital and crypto-assets: Tracking global adoption rates and impacts on securities services pp. 49-57

Margaret Harwood-Jones

Analysing blockchain/distributed ledger technology in capital markets and know your customer process pp. 58-71

André Eduardo Demarco

Post-trade change management pp. 72-81

Alicia Greenwood and Tyrone Arendse

Smart contracts for the digital economy pp. 82-87

Manan Shah and Rajbir Samra