Journal of Securities Operations & Custody

2007 - 2025

From Henry Stewart Publications
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Volume 11, issue 4, 2019

Editorial pp. 280-281

Simon Beckett

A solution for managing high-quality liquid assets: How distributed ledger technology can benefit the securities lending market pp. 282-291

Gerd Hartung, Kevin Rutter and Guido Stroemer

Crypto-assets: Crossing the chasm? pp. 292-302

Glen Fernandes and Walter Verbeke

Successfully implementing and scaling automation programmes in securities operations pp. 303-316

Cormac Dinan, Sridhar Rajan and Kakul Sinha

Do vendors’ service models maximise value for clients? pp. 317-326

Andy Stephenson, Kudjoou Bakpessi, Lawrence Inman, Ryan Mitchell and Sara Poldaas

Standardisation put to the test: How reference data standards have evolved in an era of unprecedented regulatory and technological change pp. 327-336

Darren Purcell

How effective data management and automation can improve operational efficiency in onboarding and know your customer pp. 337-344

Ben Marsh

Strategic approaches for structuring investment securities operations pp. 345-354

Jenny Tsouvalis

Seven tools for foreign investors’ rights protection in developing countries pp. 355-362

Vahan Stepanyan and Levon Klekchyan

Banking book collateral transformation pp. 363-370

Manan Shah

Volume 11, issue 3, 2019

Editorial pp. 188-189

Unknown

How a market infrastructure is developing in a competitive environment: Can new technologies be a differentiator? pp. 190-197

Alessandro Zignani

The consolidation of TARGET2 and TARGET2-Securities: How is the Eurosystem exploring synergies across its infrastructures, and how will this impact day-to-day operations? pp. 198-212

Diehl Martin, Heid Christoph and Tobiasch Katharina

Transforming the customer experience in post-trade services pp. 213-221

Philippe Laurensy

Technological innovations as a factor driving the evolution of central securities depositories’ business pp. 222-232

Maria Krasnova

How data is reshaping and optimising enterprise-wide onboarding pp. 233-241

Tange Kristi

The hunt for value for post-trade services pp. 242-254

Bambury Brendon

Shared services: A case for capital market utilities pp. 255-259

Shah Manan

Transformation in the central securities depositories business: The Turkish example pp. 260-272

Karaağaçli Bora, Uysal Özgür and Yağanoğlu Setenay

Volume 11, issue 2, 2019

Editorial pp. 96-97

Simon Beckett

Central clearing counterparties’ recovery and resolution: Where do we stand in the European Union? pp. 98-111

Marc Peters and Heinrich Wollny

How to ensure provision of accurate data to enhance decision-making pp. 112-127

Naomi Clarke

The road to making regulation more efficient: A case study in the application of best practices and data standards in regulatory reporting pp. 128-144

Beju Shah

Blockchain and the General Data Protection Regulation: Reconciling protection and innovation pp. 145-157

Lucie Munier and Ashley Kemball-Cook

Harmony: The right technology for the right business case pp. 158-167

Brian Collings

Compliance as a service: Utilising the power of the cloud pp. 168-177

Karl Schindler and Andrew Patrick White

Volume 11, issue 1, 2018

Editorial pp. 4-5

Simon Beckett

A framework for data accuracy and supporting better decision-making pp. 6-13

Marc Rubenfeld

What you need to know about the new Securities Financing Transaction Regulation pp. 14-25

Hagen Tiller and Andreas Roussos

Coping with digital disruption: Adapting to a changing operating model pp. 26-32

Richard Anton

Uncleared margin rules — initial margin: It’s time to commence the journey pp. 33-38

Chetan Joshi

Derivatives clearing infrastructure renewal in Japan: The impending post-trade market revolution pp. 39-54

Eiichiro Yanagawa

Securities Financing Transaction Regulation: Implementation and impact on the securities finance post-trade reconciliation pp. 55-69

Pierre Khemdoudi

The great entity classification conundrum in G20 derivatives regulation pp. 70-77

Victoria Mcwilliam

LIBOR, foreign exchange and the illusion of liquidity pp. 78-89

Alexis Stenfors

Volume 10, issue 4, 2018

Editorial pp. 288-289

Unknown

Second Markets in Financial Instruments Directive: Firms should view the practical challenge of meeting the new record keeping, transaction reporting and best execution requirements not as a bureaucratic nuisance but as an opportunity pp. 290-295

Matt Smith

Innovate or stagnate: Digitalisation in investment management pp. 296-304

David Bates and Paul Migliore

SFTR technical standards: Turning data into intelligence pp. 305-314

Nikolay Arnaudov

The Client Assets Sourcebook (CASS) journey pp. 315-320

Gillian Boston

Analyses of market impact based on the published replies to ESMA’s Consultation Paper on the draft technical standards on disclosure requirements, operational standards and access conditions under the Securitisation Regulation pp. 321-333

Achim Sprengard and Andreas Janzen

Governing investment funds: The latest trends pp. 334-342

Ingrid Pierce

Basel IV: IRB 2.0 and interdependencies with the new capital floor pp. 343-353

Martin Neisen

Artificial intelligence and financial services: Regulatory tracking and change management pp. 354-365

Adedayo Banwo

A primer on cash management pp. 366-372

Geevar Baby

Volume 10, issue 3, 2018

Editorial pp. 196-197

Unknown

Providing assurance on client assets to the financial conduct authority pp. 198-201

Mark Babington

How are banking supervision measures influencing banks’ overall risk management? pp. 202-209

Sonja Kardorf

Key compliance priorities of investment advisers: A short global overview pp. 210-221

Andrea M. Bornatico

Concerns over the Commission’s proposal on investment funds that risks creating additional barriers rather than facilitating cross border fund distribution pp. 222-226

Agathi Pafili

The securities financing transaction regulation: Practical implications for the securities lending industry pp. 227-234

Ed Oliver

Making a success of Securities Financing Transactions Regulation pp. 235-240

Jo Hide

Enhancing the links between risk appetites and risk processes embedded in the business pp. 241-253

Liezl De Villiers Getz

A review of stress test methodology pp. 254-267

Leonhard Riebl and Pilar Gutierrez

Analytical credit dataset, the integrated reporting framework and the banks’ integrated reporting dictionary: Do we overshoot? Or do we undershoot? pp. 268-278

Werner Bier, Jean-Marc Israël, Antonio Colangelo and Riccardo Bonci

EU Benchmark Regulation: Our translation, your transition and the timeframe pp. 279-283

Stephen Farrell and Mark Cankett

Volume 10, issue 2, 2018

Editorial pp. 100-102

Unknown

Asset management 2020 pp. 103-106

Joe Bannister

The fundamentals of financial product distribution oversight: Towards the age of maturity? pp. 107-116

Sinisa Vacic, Marie Lyons and Yvan Pipoz

The state of play of MIFID II on fund distribution pp. 117-124

Matthew Newnham

MiFID II, US federal securities laws and investment research: The compliance challenge pp. 125-130

Ethan D. Corey

Processing of settlement and corporate actions versus mobilising and optimising assets: Can securities operations be more than a cost centre? pp. 131-136

Guido Wille

Achieving effective oversight where third parties are outsourcing to ‘fourth parties’ in the supply chain pp. 137-144

Tendai Bwanya

Outsourcing, new technologies and new technology risks: Current and trending UK regulatory themes, concerns and focuses pp. 145-156

Mark Lewis

The obsession with green: Subconsciously increasing risk in third-party governance pp. 157-166

Don Nguyen and William Gilson

Should you be banking on RegTech? pp. 167-175

Jane Walshe and Tom Cropper

The Municipal Securities Rulemaking Board’s self-regulatory organisation (SRO) model pp. 176-183

Michael L. Post

How will transfer agency continue to be relevant in the current age of disruption? pp. 184-189

Richard Clarkson

Volume 10, issue 1, 2018

Editorial pp. 4-5

Unknown

Wealth management advice in the digital age pp. 6-11

Kendra Thompson

Advancing the Federal Reserve’s wholesale services in an era of unprecedented challenge and change pp. 12-17

Richard P. Dzina

Disclosure of costs and charges under Article 24 MiFID II pp. 18-28

Wolfgang Göb

Robotics in securities operations pp. 29-37

Shailendra Hegde, Sriram Gopalakrishnan and Mike Wade

Reaping strategic data benefits from mandatory trade reporting projects pp. 38-44

Hugh Daly

Securities settlement revolution in Japan: The future of securities settlement pp. 45-56

Eiichiro Yanagawa

Regulatory reporting: Success is found in a solid foundation pp. 57-66

Maryse Gordon

Economic incentives and Blockchain security pp. 67-76

Dr Andreas Freund

Consolidated Audit Trail: Strategic planning and best practices pp. 77-83

Michael Martinen, George Black, Ripple Bhullar and Victor Marranca

An overview of corporate actions pp. 84-90

Lavanya Babu