Journal of Securities Operations & Custody

2007 - 2026

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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

Volume 1, issue 4, 2008

Editorial pp. 313-314

Simon Beckett

Has the EU Code of Conduct for market infrastructures delivered measurable benefits for users? pp. 315-327

Angela Knight, Cassandra Kenny and Alex Merriman

Managing operational risk in a changing environment pp. 328-334

Joseph A. Iraci and Bryan T. Baas

Are your securities operations sufficiently resilient? A business continuity briefing pp. 335-350

Alton Harvey

Operational risk management and control: Managing data as a key enterprise asset pp. 351-358

Steve Manz and Nolan Gesher

Global sourcing by fund managers: The road ahead and how to manage it pp. 359-372

Martyn Cuff

Effective reconciliation of trading: Managing and mitigating operational risk pp. 373-381

Colin Day

What do we want from the transfer agent service provider? pp. 382-389

Christophe Lentschat

Redemption payments: Proposed rules for US withholding tax under § 302 pp. 390-399

Richard Ryndak, Michael Ouderkirk and Jonathan Mosier

Volume 1, issue 3, 2008

Editorial pp. 217-218

Sharita Oomeer

Servicing derivatives positions: Challenges and best practices amid a convergence of market utilities pp. 219-226

Neil Wright Wright

Advancements in listed derivatives post-trade automation pp. 227-232

Matt Simpson

Assessing the real impact of securities lending on the corporate governance landscape pp. 233-249

Mark C. Faulkner

Data governance: Supporting datacentric risk management pp. 250-262

Aaron Weller

Best practices in achieving an efficient reconciliation system pp. 263-270

Joseph Conway

The European Code of Conduct for Clearing and Settlement: Towards more interoperability? pp. 271-288

Ruud Sleenhoff and Carlo R. W. De Meijer

Securities standards migration: ISO 15022 vs ISO 20022 pp. 289-300

Chris Pickles

The race for European financial unity: Where is it going? pp. 301-305

Joël Mérère

Volume 1, issue 2, 2008

Editorial pp. 117-117

Simon Beckett

OTC derivatives processing: Challenges and opportunities facing asset servicers pp. 119-130

Cherie A. Graham

Operational risk red flags: Lessons learned from ten hedge fund blow-ups pp. 131-152

Penny Cagan

Developing an optimal custodian relationship management strategy pp. 153-161

Philip J. Brown

Straight-through processing: Current trends driving investment and how to deploy a strategic plan without disrupting business operations pp. 162-169

Kaj Pedersen

Settlement fails: A buy-side and sell-side perspective on how to minimise them pp. 170-183

Christopher Marzullo, Peter W. Kelly and Frederick Lipinski

Will financial market data be sufficiently consolidated and of high enough quality under MiFID? pp. 184-194

Karel Lannoo

General meeting-related processes in Italy: The role of listed companies, intermediaries and central securities depositories in light of recent EU developments pp. 195-212

Carmine Di Noia, Matteo Gargantini and Salvatore Lo Giudice

Volume 1, issue 1, 2007

Editorial pp. 5-6

Simon Beckett

Credit derivatives processing: A buy-side perspective on how to cope with rapidly increasing volumes pp. 7-20

James P. Wallin

Identifying warning signs of operational weakness in hedge funds and exercising rights as an investor pp. 21-32

Julian Korek and Ann-Sofie Alsbro

Operational due diligence considerations for multi-jurisdictional hedge fund analysis pp. 33-40

Jason A. Scharfman

TARGET2-Securities: What are the challenges and opportunities for CSDs and custodians? pp. 41-52

Katja Rosenkranz and Tomas Kindler

An implementation roadmap for overcoming Giovannini Barriers pp. 53-63

Andrew Muir

The state of operational risk management: An industry fighting itself? pp. 64-77

Richard Robinson

A case study in automating and offshoring the reconciliation process pp. 78-86

John Coker and John Petryszyn

The EU Code of Conduct for Clearing and Settlement: Background, status and challenges for the securities industry pp. 87-103

Stefan Mai

Reducing risk and costs in cross-border securities transactions: Are Hague and UNIDROIT missing pieces in the puzzle? pp. 104-112

Kirsty Devonport and Dermot Turing