Journal of Securities Operations & Custody

2007 - 2025

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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

Volume 4, issue 4, 2012

Editorial pp. 285-286

Daryn Moody

OTC derivatives: How OTC will they be? A buy-side view pp. 287-294

Kerstin Grosse-Nobis

Outsourcing for fund managers: Demystifying the regulatory structure pp. 295-307

Amanda Lewis and Emma Radmore

Risk management in securities settlement systems pp. 308-320

John Trundle

The integrity of the price: Issues for securities fraud plaintiffs and defendants in US class actions pp. 321-332

Daniel E. Holloway

The great race: Investment managers apply new technologies to get ahead pp. 333-345

Phil Tattersall

The role of market infrastructures in OTC derivatives markets pp. 346-357

Jesús Benito

IT and equities operations: 12 best practices pp. 358-363

B. Vasanth Sandilya

How to get issuers fully involved in the corporate actions process pp. 364-368

Werner Frey

Investigating the role of the sub-custodian in risk mitigation pp. 369-374

Günter Schnaitt

Volume 4, issue 3, 2012

Editorial pp. 189-190

Daryn Moody

Leveraging a shared infrastructure to trade across asset classes, regions and strategies pp. 191-197

Eugen Tjong

Renminbi cross-border trade settlement pp. 198-206

Carlo R. W. De Meijer

How will Target 2 Securities affect the European securities landscape? pp. 207-217

Richard Turrell

A common platform model for Asia: How will an inter-Asian and cross-border processing infrastructure benefit Asian capital markets? pp. 218-228

Shu-Pui Li

Preventing market abuse: Can market surveillance really improve amid fragmentation and low-cost competition? pp. 229-236

Annika Von Haartman

Advancing transparency and harmonisation in corporate actions processing: Where are we now and where are we headed? pp. 237-245

Tim Hamer

Cost-basis reporting: The impact on investment advisers pp. 246-252

Jeff Gowan and Aaron Adolphson

CSD regulation: The missing piece in the European post-trade puzzle? pp. 253-264

Soraya Belghazi

Evolution of the Romanian post-trade environment: Embracing the new European post-trade realities pp. 265-274

Adriana Tanasoiu

Volume 4, issue 2, 2011

Editorial pp. 101-102

Simon Beckett

Using the SwapClear Client Clearing Service to meet current challenges in the interest rate swaps market pp. 103-111

Matteo Bertotti and Andrea Girometti

Assets or liabilities? Custodian risk in the new paradigm pp. 112-121

Bill Scrimgeour

The limitations of transparency policy in OTC markets and derivatives trading pp. 122-133

Yener Coskun

Addressing risk through best practice in Japan: Shortening settlement cycles and imposing fail charges pp. 134-147

Taketoshi Mori

What is the true role and value of custody within correspondent banking? pp. 148-156

Richard Fodder

UCITS IV nuts and bolts: What to expect under the new regulatory regime pp. 157-171

Ken Owens and Suzanne Senior

Hidden operational drivers for increased fund expense ratios uncovered: Reducing the impact of increased order fragmentation on clearing and custody pp. 172-180

Scott Kurland

Volume 4, issue 1, 2011

Editorial pp. 5-6

Simon Beckett

A look at the rapidly changing market infrastructure supporting the OTC derivatives markets pp. 7-16

Marc Hollanders

CSDs and cross-border linkages: How is the landscape evolving? pp. 17-30

Gagan Rai

Cross-border fund distribution operations: Making investment funds easily accessible to global investors — A wake up call pp. 31-38

Sebastien Chaker

MiFID II: Towards a consolidated tape in Europe pp. 39-49

Carlo R. W. De Meijer

Mandatory clearing of OTC derivatives in Europe pp. 50-71

Bas Zebregs

Legal considerations when managing counterparty credit risk in OTC derivatives pp. 72-80

Edward Miller and Sarah Reid

To what extent is ‘intent’ relevant to Australia’s market manipulation regime? How does this approach differ from other jurisdictions and should it be reconsidered? pp. 81-90

Brian Goldsmith