Journal of Securities Operations & Custody

2007 - 2025

From Henry Stewart Publications
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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

Volume 2, issue 4, 2010

Editorial pp. 277-277

Richard Robinson

Building a new financial order: How will the financial markets industry make money in the future? pp. 280-293

Suzanne L. Duncan and Shanker Ramamurthy

Central counterparties for OTC derivatives: Neither panacea nor placebo pp. 294-303

Daniel Heller

The European Commission’s recommendation for simplified procedures for claiming cross-border withholding tax relief pp. 304-311

Rogier Wezenbeek

The new cost basis rules: Preparing to comply without regulations pp. 312-323

Martin Bentsen

Why is operational risk management important? pp. 324-332

Philip Martin

The Options Symbology Initiative pp. 333-339

David H. Harrison

Naked short sales and fails-to-deliver: An overview of clearing and settlement procedures for stock trades in the USA pp. 340-350

Tālis J. Putniņš

Volume 2, issue 3, 2009

Editorial pp. 193-193

Richard Robinson

Responding strategically to industry consolidation pp. 195-201

Robert Mattsson Axeén

Infrastructure issues in the securities industry: The case for a central counterparty for data management pp. 202-224

Allan Grody

Addressing counterparty risk: Hedge funds and the need for rigorous due diligence pp. 225-230

Marina Lewin and Jeremy Todd

Reforming the OTC credit derivatives market pp. 231-249

Carlo R.W. De Meijer

The future of the Nordic custody industry pp. 250-259

Goöran Fors and Ulf Noreén

Enterprise case and investigation management: A modern vision pp. 260-270

Sean Sullivan

Volume 2, issue 2, 2009

Editorial pp. 104-105

Richard Robinson

How technology will make or break banks integrating mission-critical processes as a result of a merger pp. 106-119

Ryan Bagnulo

Adding value to your organisation through operational risk management pp. 120-127

David Breden

XBRL reaches tipping point pp. 128-133

Alfred R. Berkeley Iii, Donald F. Donahue, Philip D. Moyer and Mark C. Bolgiano

Credit risk management and mitigation pp. 134-140

Darren Measures

A roadmap to achieving STP for corporate actions pp. 141-152

Brett Lancaster and David Hands

The industrialisation of asset management reporting services pp. 153-162

Kai Saathoff

The silent revolution: Clearing and settlement in the future pp. 163-168

Godfried De Vidts

Internal systems and controls that help to prevent rogue trading pp. 169-180

Jennifer Moodie

What is the price of a derivative security? pp. 181-186

Sasha Rozenberg

Volume 2, issue 1, 2009

Editorial pp. 5-6

Simon Beckett and Richard Robinson

The new trading environment post-MiFID: One year later pp. 7-23

De Meijer R. W. De Meijer

Operational risk control: Société Geénérale and other well-known cases pp. 24-36

Rita Previtali

Risk management challenges in UCITS III funds pp. 37-52

Ravi Beegun and Pascale Leroy

'Don't forget the operations': Critical processes for OTC derivatives needing attention pp. 53-62

Richard Robinson, Brian Lynn and Simon Lillystone

Fund administration in the alternative investment industry: Administrator selection and best practices pp. 63-74

Udit Gambhir

Complying with higher corporate action standards: The importance of booking the US taxation of corporate actions correctly, given the new cost-basis reporting law pp. 75-85

Stevie D. Conlon

Legal issues in China's QDII regime: Opportunities and challenges pp. 86-98

James Walker, Mark Shipman, Yang Tiecheng and Zhang Nan