Journal of Securities Operations & Custody

2007 - 2026

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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

Volume 3, issue 4, 2011

Editorial The Global Financial Services Data and Standards Alliance: Resolving the global reference data debate in the cause of observing systemic risk pp. 276-278

Allan Grody

Operational risk management: Using loss-data more effectively pp. 280-287

Robert Huebner

Trade matching in the traditional and alternative markets pp. 288-297

Holly Miller

Investigating partnerships with local players: Build, buy or partner? pp. 298-304

Toyin Sanni

Using a data warehouse to solve risk, performance, reporting and compliance-related issues pp. 305-315

Tom Stock

The MiFID metamorphosis: A new paradigm for market structure pp. 317-332

Karel Lannoo and Diego Valiante

Regulatory intrusion: Is regulation becoming impossible to manage? pp. 333-353

Peter Richards-Carpenter

Opting out of securities class actions: Why wait? pp. 354-363

Nick Goseland

Volume 3, issue 3, 2010

Editorial pp. 189-189

Simon Beckett

Operations and settlement risk in extreme market conditions pp. 193-201

Sergio Scandizzo

The great risk vs. compensation debate pp. 202-209

Andrew I. Rand

The impact of Target 2 Securities on sub-custodians pp. 210-217

Janne Palvalin

Custodial operations in Malta: Current opportunities pp. 218-225

Max Ganado

The road to risk-based supervision: Lessons from Chile pp. 228-240

Jeanne Balcom and Nileema Pargaonker

New OTC derivatives regulation and the future of the derivatives industry pp. 241-251

Carlo R. W. De Meijer and John Wilson

Direct overseas listing of Chinese enterprises: A clear regulatory framework and explicit regulatory requirements are needed pp. 252-267

Liu Yi

Volume 3, issue 2, 2010

Editorial pp. 93-93

Simon Beckett

Optimising the cost equation in securities clearing, settlement and custody pp. 95-102

Venkatesh Rathnam

Automating the OTC derivative collateral management function pp. 103-110

Thomas Ciulla, Daniel Bloom and Justin Ages

Mutual fund omnibus processing: A way to increase revenues and improve the client experience pp. 111-121

Craig L. Kolzow

Reviewing your organisation’s approach to data management pp. 122-130

Rick Enfield

Making web development and e-servicing investments pay off pp. 131-137

Kristyn Harmon and George Moriarty

Client reporting: Responding to the key drivers of automation, customisation and globalisation pp. 138-146

Peter Ellis

Brokers are fiduciaries — now what? The new US federal fiduciary best interest of the customer standard of care and its impact on existing FINRA regulation of wrap accounts pp. 147-165

Daniel M. Miller and Eugene F. Maloney

The widening FCPA dragnet: The increasing pursuit of individuals and foreign persons and expansive use of legal theories pp. 166-184

Lucinda A. Low and Owen Bonheimer

Volume 3, issue 1, 2010

Editorial pp. 5-6

Simon Beckett

Building a business case for cross-border trading pp. 7-13

Mike Randall

How to succeed in the new post-trade services landscape: Reduce risks, cut costs and get closer to clients pp. 14-23

Rob Scott

What progress is being made to accelerate interoperability and how can standards help increase transparency and reduce risk? pp. 24-32

Irene Mermigidis

Mitigating risk in a changing landscape pp. 33-43

Peter W. Kelly

Trends in OTC derivatives pp. 44-54

Corby Angle

Are we facing European CCP interoperability regulation? pp. 55-65

Carlo R. W. De Meijer

MiFID II and EMIL: The impact of regulation on securities operations in European markets pp. 66-72

Chris Pickles

Developing world-class operations staff pp. 73-83

Martyn Cuff