Journal of Securities Operations & Custody

2007 - 2025

From Henry Stewart Publications
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Volume 7, issue 4, 2015

Editorial pp. 276-278

Daryn Moody

Intelligent network management contingency pp. 279-283

Dominique Ansiaux

Managing cross-regulatory data challenges in practice pp. 284-295

Christopher Johnson

Evolving financial benchmarks: The impact on legacy contracts pp. 296-304

Joanna Perkins and Paul Mortby

Collateral management: Recurring issues and emerging trends pp. 305-311

Andrea Tranquillini

Reviewing the implementation of T+2, the impact on the industry and what comes next (T2S) pp. 312-318

Søren F. Mortensen

The evolution of EEA transaction reporting pp. 319-328

David Nowell and Matthew Vincent

The operational challenges of adopting the LEI pp. 329-336

Paul Janssens

Coping with European regulatory requirements for automated trading: Best practices and new requirements resulting from regulation pp. 337-347

Gunnar Stangl

The drivers behind the reporting obligations of EMIR, MiFIR and SFTR pp. 348-354

Julien Jardelot and Martin Mitov

Funding of research under MiFID II pp. 355-361

Timothy O’Halloran

The Mexican transparency standoff: What will you do ‘next time’? pp. 362-369

Alaric Gibson and Daniel Simpson

Volume 7, issue 3, 2015

Editorial pp. 184-185

Robert Tamplin

Industrialisation of the back-office function pp. 186-195

Pierre Colladon

Asset managers and outsourced activities: What other industries can learn pp. 196-203

Susan Wright

Measuring performance for ‘long-horizon’ investing pp. 204-217

Kyle Ringrose

A modest proposal: Right-sizing exchange immunity pp. 218-233

Zachary J. Flati

Securities lending as part of responsible and risk-averse asset management pp. 234-241

Roelof Van Der Struik

Central Securities Depositories Regulation: The next systemic crisis waiting to happen? pp. 242-252

Koen Vanderheyden and Tim Reucroft

Legal contract data: The new reference data challenge for financial firms pp. 253-259

Akber Datoo

The application of mathematical models to measure collateral concentration risk pp. 260-268

Martin Seagroatt and Ed Cockram

Volume 7, issue 2, 2015

Editorial pp. 97-99

Daryn Moody

More resilient, better managed, less complex: Strengthening FMUs and linkages in the system pp. 100-106

Sarah Dahlgren

Investigating the role of the sub-custodian in risk mitigation and who bears the sub-custodian risk pp. 107-112

Günter Schnaitt

Protecting collateral contributions under the mandatory clearing regime pp. 113-127

Eugene Stanfield

Chasing shadows? The FCA and the measurement of ‘culture’ pp. 128-138

Gary Pitts and Terry Grourk

A radically new market environment requires comprehensive data-driven digital collateral management pp. 139-143

Michael Barrett

Corporate governance for financial market infrastructures pp. 144-154

Ana Giraldo

Getting ready for TARGET2 Securities (T2S): The time is now pp. 155-161

Tim Garnons-Williams

When does a company have the choice to waive its attorney-client privilege in the USA? pp. 162-171

Linda Riefberg and Christopher Passavia

Volume 7, issue 1, 2014

Editorial pp. 4-5

Daryn Moody

Collateral is the new cash: The systemic risks of inhibiting collateral fluidity pp. 6-20

Andy Hill

Société Générale corporate and investment banking: How we monitor market risk pp. 21-26

Pascal Beurotte and Georges Bory

The EMIR compliance game pp. 27-35

Emily Cates

Regulations impacting corporate actions and best practices for implementation pp. 36-41

Deborah Culhane

Client clearing: Portability between clearing members pp. 42-50

Mark Ho

Developing a straight-through process for corporate actions in Australia pp. 51-61

Karen Webb

Withholding tax: Issues for securities operations and custody pp. 62-68

Ross Mcgill

Banking without banks: Exploring the disruptive effects of converging technologies that will shape the future of banking pp. 69-80

Andrew Walker

Volume 6, issue 4, 2014

Editorial pp. 288-289

Daryn Moody

An overview of standardisation and market practices harmonisation in the Asia-Pacific region pp. 290-294

Alexandre Kech

Legal entity identifiers: The beginning of a new platform in financial data pp. 295-299

Robleh Ali

Trends in post-trade processing pp. 300-307

Gary Probert and Asmaah Ali

Finding financial fraudsters: Quantitative and behavioural finance approaches pp. 308-324

Ezra Zask

The taxation of repos: Key tax risks and how to manage them pp. 325-333

Martin Walker

Collateral management: Factors affecting the supply and demand for collateral and emerging trends and developments in the market pp. 334-341

Ted Leveroni

Building a risk framework under AIFMD pp. 342-349

Isabelle Tykoczinski

The role of the custodian in servicing the reporting needs of the securities industry pp. 350-359

Jamie Stevenson

Europe gets ready for T + 2 pp. 360-366

Tony Freeman

A primer on fee calculation in wealth management pp. 367-372

Vasanth Sandilya Balasubrmanian

Volume 6, issue 3, 2014

Editorial pp. 196-197

Daryn Moody

The implementation of the G20 mandate in the EU: Will financial markets be safer than five years ago? pp. 198-205

Rafael Plata

Compliance rules for an effective investment management system pp. 206-211

Vasanth Sandilya Balasubrmanian

CSD regulation: A major change for the post-trade arena pp. 212-219

François Dubrau

UCITS VI: In practice pp. 220-227

Charles Muller and Clara Braunstein

The Swiss Collective Investment Schemes Act: New challenges and opportunities for fund managers and investors pp. 228-233

Jason Scharfman

Valuing illiquid and ‘hard to value’ assets pp. 234-239

David L. Larsen

Margins and financial collateral for derivatives contracts: How to deal with procyclical implications in a financial crisis pp. 240-263

Martina Tambucci

Outsourcing and delegation in the post-AIFMD environment pp. 264-269

Shane Brett

Developing and implementing an appropriate surveillance system and organisation pp. 270-281

Peter Nylén

Volume 6, issue 2, 2014

Editorial pp. 100-101

Daryn Moody

Preparing to comply with the CSD Regulation pp. 102-112

Soraya Belghazi

Assessing the potential impact of the AIFMD on the UCITS industry: Threat or opportunity? pp. 113-121

Carine Delfrayssi

TARGET2-Securities: A platform for solving some of the key structural issues raised by the financial crisis and its aftermath pp. 122-131

Philip Brown

Essential features of a portfolio management system pp. 132-137

Sandilya B. Vasanth

Industrialisation of securities and derivatives transaction processing: Silos in the past, platforms today and functional modules in the future pp. 138-149

Andreas Holz, Frank Neumann and Udo Milkau

Capital market trends in Japan: The birth of a new exchange pp. 150-166

Eiichiro Yanagawa

Cross-border securities settlement in Europe: Improvements so far pp. 167-173

Ariena J. Van Wageningen

Assessing buy-side preparations for meeting derivatives reform under the European Market Infrastructure Regulation pp. 174-180

Elspeth Goodchild

Overview of the UK intergovernmental agreement for FATCA implementation pp. 181-188

Bengt Bjorkberg, Ricardo Leiva and Yemi Afolabi

Volume 6, issue 1, 2013

Editorial pp. 4-5

Daryn Moody

ESMA guidelines for securities lending: ‘Gaming’ the regulator? pp. 6-9

Alan Miller

ESMA earns strong credentials thanks to its convincing approach concerning ETF regulation pp. 10-15

François Millet

The ETF industry: A retrospective and suggestion for the future pp. 16-18

Monica Gogna

Regulation of exchange traded funds as part of ESMA guidelines implementation: Operational costs and requirements for exchanges pp. 19-24

Townsend Lansing

Asset allocation models pp. 25-30

Sandilya B. Vasanth

Considerations when investing in and pricing emerging market fixed income securities pp. 31-41

Christos Costandinides and Leon Sinclair

Going global: The international impact of securities class actions pp. 42-50

Pat Bingham-Peters

Capital market trends in Japan: Drivers of innovation and a market in transition pp. 51-64

Eiichiro Yanagawa

Practical development of a CCP risk management system for institutional investor settlement in the Korean stock market pp. 65-80

Keukjin Choi and Youngwoo Han

Financial engineering and engineering of financial regulation: Guidance for compliance and risk management pp. 81-94

Yener Coskun