Journal of Securities Operations & Custody

2007 - 2025

From Henry Stewart Publications
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Volume 9, issue 4, 2017

What a year: MiFID II/MiFIR, EMIR RTS, SFTR and SEC SBSR pp. 298-301

Lloyd Altman

Assessing cybersecurity risks and practices in the broker-dealer industry pp. 302-312

Yolanda Trottman-Adewumi, David Kelley, Len Smuglin and Gregory Markovich

The identifier challenge: Attributes of MiFID II that cannot be ignored pp. 313-320

Richard Young

Best execution reporting requirements for electronic communications under MiFID II pp. 321-328

Robin Smith

Dark execution strategies under MiFID II: A few shades lighter? pp. 329-333

Danielle Mensah

MiFID II and the relationship between public markets and systematic internalisers pp. 334-340

Artur Fischer and David Murphy

US Securities and Exchange Commission suggests greater actions may be required under its custody rule pp. 341-346

Steven M. Felsenthal and Frank Loffreno

Distributed ledger technology: Implications of blockchain for the securities industry pp. 347-355

Haimera Workie and Kavita Jain

Securities settlement revolution: Japanese Government Bonds move to T+1 with the advent of a new repo market pp. 356-373

Eiichiro Yanagawa

Resolving the disconnect between risk appetites, tolerances, exposures and monitoring measurements pp. 374-390

Liezl De Villiers Getz

Volume 9, issue 3, 2017

Editorial pp. 196-197

Unknown

SWIFT’s customer security programme: Preventing, detecting and responding to the growing cyber threat pp. 198-205

Stephen Gilderdale

The impact of regulation on buyside users of derivatives pp. 206-214

John Lund

Building an effective compliance risk assessment programme for a financial institution pp. 215-224

Stephanie Nicolas and Paul V. May

CSDs and the challenges of financial integration and financial stability pp. 225-235

Theresa B. Ravalo

Financial crime compliance in securities custody and settlement: ISSA’s principles and their implementation pp. 236-244

Urs Staehli

Securities market automation from standards to self-learning machines: Current state and future perspectives pp. 245-251

Jonathan Ehrenfeld

AnaCredit: Why it matters to look at other regulations in context pp. 252-258

Michel Dorval

The EU’s new regulatory framework: The auditor’s perspective pp. 259-268

Simon Dennett

The case for a ‘sovereign’ distributed securities depository for securities settlement pp. 269-292

Steve Everett, André Calitz and Jean Greyling

Volume 9, issue 2, 2017

Editorial pp. 96-97

Unknown

Recovery and resolution regimes for CCPs: Making financial markets resilient to the most extreme events pp. 98-105

Rafael Plata

Moving the USA to T+2 settlement pp. 106-116

Lee A. Schneider, Lilya Tessler and Clare K. Lascelles

Funds automation in Asia Pacific: A state of the union, a 2025 vision pp. 117-126

Jean Chong and Alexandre Kech

Linkages of stress, reverse stress and wind-down pp. 127-140

Liezl De Villiers Getz

Remaking the corporate bond market: The state and evolution of the European investment grade corporate bond secondary market pp. 141-159

Andy Hill

Bracing for the FRTB: Capital, business and operational impact pp. 160-177

Hany M. Farag

Collateral management: Addressing different regulatory requirements pp. 178-184

Jan Heckler

Managing operational risk in relation to internal capital adequacy assessment process (ICAAP) pp. 185-191

Rajat Baijal

Volume 9, issue 1, 2017

Editorial pp. 4-5

Unknown

Navigating the US Securities and Exchange Commission's evolving expectations for cybersecurity preparedness pp. 6-17

Vincente L. Martinez, Erin Ardale Koeppel and Mark Amorosi

Challenges of regulatory reporting pp. 18-24

Gillian Boston

Collateral management: A changing landscape pp. 25-29

Mayur Java, Julianne Carman, Max Thoman and Manan Shah

Cost model evolution of custody pp. 30-37

Göran Fors

The future of European financial market infrastructure: A business case for distributed ledger technology? pp. 38-46

Dirk Bullmann and Andrea Pinna

Preparing for AnaCredit: A timely start is crucial pp. 47-56

Paul Broersen and Ronald Koppen

Trade surveillance in a global context pp. 57-61

Lynne Carreiro and Flavia Anderson

Utilities in capital markets: New frontier for operational transformation pp. 62-70

Arin Ray

The US municipal securities market’s self-regulatory organisation seeks efficiency and risk management improvements in securities operations pp. 71-75

Lynnette Kelly and Barbara Vouté

Benefits of an international board and the opening of global markets pp. 76-82

Noel Ford

Volume 8, issue 4, 2016

Editorial pp. 284-285

Unknown

Blockchain YES, blockchain NO: An outsider (non-IT expert) view pp. 287-291

Andrea Tranquillini

Examining the future of regulatory reporting for the banking industry pp. 292-297

Frédéric Visnovsky

Generating returns through better relationships: How managed custody accounts benefit managers and investors pp. 298-305

Thomas A. Hickey Iii, Stuart E. Fross, Gustavo Resendiz and Kenneth C. Nee

Corporate actions and the need for market efficiency pp. 306-310

Bennie Van Der Westhuizen

Understanding the EU’s approach to harmonised regulatory reporting pp. 311-321

Olga Petrenko

Blockchain and the securities industry: Towards a new ecosystem pp. 322-329

Carlo R. W. De Meijer

A new European approach to transaction reporting pp. 330-340

Vivienne Bannigan

Anti-money laundering and sanctions compliance challenges for custody services pp. 341-355

Sharon Cohen Levin, Franca Harris Gutierrez, Katrina Carroll and Elijah Alper

Reconciliations: The forefront of regulatory compliance procedures pp. 356-363

Maryse Gordon

Volume 8, issue 3, 2016

Editorial pp. 184-186

Daryn Moody

Trade and transaction reporting challenges facing buy-side firms pp. 187-190

Angela Hayter-Holt

Fixed income pre- and post-trade transparency pp. 191-196

Arjun Singh-Muchelle

The FRTB: Do not underestimate the standardised approach pp. 197-200

Nicola Hortin

The changing role of the network manager: Is network management morphing into vendor governance? pp. 201-207

Sandra Holmqvist and Göran Fors

Financial technology: Blockchain and securities settlement pp. 208-227

Taketoshi Mori

Clarifying MiFID II: Pre-trade transparency for non-equities pp. 218-227

Miranda Morad and Jason Waight

The G20 leaders’ financial reform and its impact on EU banks’ back-office function pp. 228-237

Michel M. Stubbe

Assessing the practical impacts of the EU derivatives trading obligation pp. 238-247

Elisabeth Øverland

Panama papers highlight the urgency: From FATCA to the OECD CRS pp. 248-258

Meredith Moss

Evolution of collateral ‘management’ into collateral ‘optimisation’ pp. 259-271

Bilgehan Aydin

MiFID II and regulatory transaction reporting pp. 272-277

Nirvana Farhadi

Volume 8, issue 2, 2016

Editorial pp. 96-98

Daryn Moody

Progress, or simply the start of the real chaos? pp. 99-100

Akber Datoo

Emerging trends in securities services and how Deutsche Bank is responding to them pp. 101-105

Satvinder Singh

Fintech and the future of securities services pp. 107-112

Bruno Campenon

Operational alpha and reconciliation solutions for growing asset managers pp. 113-118

Todd W. Merrell

‘Check yourself before you rec. yourself’: Eight things to consider when embarking on a reconciliation project pp. 119-125

Andrew Chapman

Europe’s plumbers: Keeping capital flowing pp. 126-131

Marc Bayle

An industry ontology for risk data aggregation reporting pp. 132-145

Mike Bennett

A review of RMB internationalisation, investment and financial products with assessment of past trends and discussion of likely future developments pp. 146-150

Philippe Dirckx

Global securities reporting: Industry trends, challenges and future perspectives pp. 151-156

Jonathan Ehrenfeld

The challenges of complying with the FCA’s client assets regime pp. 157-162

Kevin Huby

Fundamentals of market discipline and custody risk management pp. 163-175

Yener Coskun

Volume 8, issue 1, 2016

How are agents dealing with network managers in the new regulatory environment? pp. 4-8

Günter Schnaitt

Collateral management: A waiting game pp. 9-11

Philippe Laurensy

Back to the future: The changing nature of securities service provision pp. 12-17

Rob Scott

Towards a convergence of CSD account segregation practices? pp. 18-27

Soraya Belghazi

How investors can enter new markets and the questions they should ask their custodian pp. 28-34

Sonia Maloney

Enhancing the quality of risk reporting: The roles of the risk decision maker and the accountable executive pp. 35-40

Kathryn Kerle

Collateral management — Winners or losers in five years’ time? pp. 41-45

Philippe Ruault

Process leadership and managing process performance: Two elements that make the difference in process management pp. 46-55

Iassen Deenitchin, Dmitriy Dmitriev and Gert Hebenstreit

Process improvement in the banking sector pp. 56-64

Zsofia Kovacs

BCBS239: Reasons, impacts, framework and route to compliance pp. 65-81

Rajib Chakravorty

The hidden costs of outsourcing: A case study pp. 82-87

Davor Gašparac