Journal of Securities Operations & Custody

2007 - 2026

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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

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