Journal of Securities Operations & Custody

2007 - 2025

From Henry Stewart Publications
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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