Journal of Securities Operations & Custody

2007 - 2026

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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

Volume 5, issue 4, 2013

Editorial pp. 297-298

Daryn Moody

Impact of reform on collateral and margin requirement practices pp. 299-311

James Wallin

An overview of Dodd–Frank as it relates to OTC derivatives reform pp. 312-316

James Wallin and Camille Clingan

Certainty of clearing: Creating a credit-checking tool for OTC derivatives pp. 317-320

Jon Williams

The Volcker Rule and other regulations: Regulatory impact on credit market structure pp. 321-325

Richard M. Mcvey

Infrastructure readiness for swaps clearing pp. 326-330

Mike Herskovitz

Counterparty risk management at the advent of central clearing for swaps pp. 331-337

John Schiavetta and Vlad Feygin

Addressing initial margin challenges in the new swaps world pp. 338-341

Jack Callahan

Prospects and challenges of a pan-European post-trade infrastructure pp. 342-356

Karel Lannoo and Diego Valiante

Swaps central clearing for asset managers: How clear is it? pp. 357-362

Timothy Cameron and Matt Nevins

Automated terminations in a cleared world (coming soon) pp. 363-368

Sunil Hirani

Volume 5, issue 3, 2013

Editorial pp. 192-193

Daryn Moody

The banking union’s single supervisory mechanism and the securities business pp. 194-202

Eddy Wymeersch

Counterparty risk management for today and the future pp. 203-211

Brian J. Tsai and Matthew A. Magidson

Back office outsourcing in Asia: Bridging the customer divide pp. 212-217

Barnaby Nelson

The evolving role of collateral in international capital markets pp. 218-231

Jo Van De Velde

Transforming uncertainty into opportunity: Coexistence of ISO 15022 and 20022 messaging standards pp. 232-236

Daniel E. Retzer

The Dodd–Frank Title VII recordkeeping requirements: Finding a way to the light pp. 237-250

Peter Von Maur

Opening Pandora’s box: The challenge of social media in a regulated environment pp. 251-261

Gary Pitts and Carla Aylott

Overnight index swap and integrated credit valuation adjustment discounting pp. 262-275

Rohan Douglas and Dmitry Pugachevsky

Corporate actions on Russian securities: Market practice, legislation and proposed changes to the legislation pp. 276-291

Anton Kashkin

Volume 5, issue 2, 2012

Editorial pp. 96-97

Daryn Moody

Smart partnering: The next evolution in the post-trade space pp. 98-109

Philip Brown

Securities operations: In-house or in the cloud? pp. 110-117

Brian J. Tsai and John Shen

And the winner is … London? The location of the second renminbi offshore trading centre pp. 118-133

Carlo R. W. De Meijer

Hidden risks of disruptive change due to regulatory evolution or shifts in servicing conventions: The global custodian liability example pp. 134-144

Urs Stähli

Impact of regulatory reforms on the security transaction chain pp. 145-149

Sandrine Leclercq

Evolution of the K-1 process for alternative investment funds pp. 150-158

Miriam Abraham, Crystal Wiley, Rusty Helton and Kara Friedenberg

The common asset services platform pp. 159-170

Gerard Bermingham

Internal and external approaches to controlling rogue behaviour pp. 171-185

Daniel Singer and Michaël Dewally

Volume 5, issue 1, 2012

Editorial pp. 4-5

Daryn Moody

Should the European repo market clear and settle only in central bank money? pp. 6-15

Godfried De Vidts

Trends in the EMS market pp. 16-28

Anshuman Jaswal

A primer on tail risk hedging pp. 29-36

Ryan Mcrandal and Andrew Rozanov

Consumer Protection Act: Quis custodiet ipsos custodes? pp. 37-53

Vaidya Nathan

Calculating the effect of funding costs on OTC valuation using funding valuation adjustment pp. 54-63

Rohan Douglas and Dmitry Pugachevsky

Is the draft UCITS V directive a cloned version of the Alternative Investment Fund Managers Directive? pp. 64-72

Hermann Beythan and Claire Virard-Canto

UCITS V: Lessons from the crisis pp. 73-79

Charles Muller and Ludivine Zanetti

Eleven features of an excellent securities settlement system in an investment bank pp. 80-85

Sandilya B. Vasanth

Conference review The 16th symposium of the International Securities Services Association, 5th—8th June, 2012 pp. 86-89

Urs Stähli