Volume 10, 2017-2018

Each volume of Journal of Securities Operations & Custody consists of four quarterly 100-page issues. The articles published so far in the current volume, Volume 10, are:

Volume 10 Number 2

  • Editorial
    Daryn Moody, Publisher
  • Comment: Asset management 2020
    Joe Bannister, Chairman, Malta Financial Services Authority
  • The fundamentals of financial product distribution oversight: Towards the age of maturity?
    Sinisa Vacic, Vice President and Senior Manager, Marie Lyons, Assistant Vice President and Manager, Yvan Pipoz, Assistant Vice President and Manager, Capital International Sarl (an affiliate of Capital Group)
  • The state of play of MIFID II on fund distribution
    Matthew Newnham, Head of Business Development and Fund Information, MFEX Mutual Funds Exchange
  • MiFID II, US federal securities laws and investment research: The compliance challenge
    Ethan D. Corey, Senior Vice President and Associate General Counsel, Legal Department, MFS Investment Management
  • Processing of settlement and corporate actions versus mobilising and optimising assets: Can securities operations be more than a cost centre?
    Guido Wille, Executive Board Member, Clearstream Banking Luxembourg
  • Achieving effective oversight where third parties are outsourcing to ‘fourth parties’ in the supply chain
    Tendai Bwanya, director, assurance and funds oversight, Global Fiduciary Platform team, Legg Mason Global Asset Management
  • Outsourcing, new technologies and new technology risks: Current and trending UK regulatory themes, concerns and focuses
    Mark Lewis, commercial and technology practice, Berwin Leighton Paisner
  • The obsession with green: Subconsciously increasing risk in third-party governance
    Don Nguyen, Director, Barings and William Gilson, Independent Director at Investment Funds and Management Companies
  • Should you be banking on RegTech?
    Jane Walshe, CEO and co-founder, Enforcd and Tom Cropper
  • The Municipal Securities Rulemaking Board’s self-regulatory organisation (SRO) model
    Michael L. Post, General Counsel, Municipal Securities Rulemaking Board
  • How will transfer agency continue to be relevant in the current age of disruption?
    Richard Clarkson, Principal Solution Consultant, Oracle

Volume 10 Number 1

  • Editorial
    Daryn Moody, Publisher
  • Wealth management advice in the digital age
    Kendra Thompson, Managing Director, Head, Global Wealth Management Practice, Accenture
  • Advancing the Federal Reserve’s wholesale services in an era of unprecedented challenge and change
    Richard P. Dzina, Executive Vice President, Financial Services Group and Member, Management Committee, Federal Reserve Bank of New York
  • Disclosure of costs and charges under Article 24 MiFID II
    Wolfgang Göb, Head of Business Development, Software Daten Service Gesellschaft
  • Robotics in securities operations
    Shailendra Hegde, Manager, Sriram Gopalakrishnan, Managing Director and Mike Wade, Managing Director, Deloitte & Touche
  • Reaping strategic data benefits from mandatory trade reporting projects
    Hugh Daly, General Manager, Message Automation, Broadridge
  • Securities settlement revolution in Japan: The future of securities settlement
    Eiichiro Yanagawa, Senior Analyst, Celent
  • Regulatory reporting: Success is found in a solid foundation
    Maryse Gordon, Senior Pre-Sales and Business Development Manager, UnaVista
  • Economic incentives and Blockchain security
    Dr Andreas Freund, Senior Manager, TCS
  • Consolidated Audit Trail: Strategic planning and best practices
    Michael Martinen, Managing Principal, George Black, Partner, Ripple Bhullar, Principal Consultant and Victor Marranca, Principal Consultant, Capco
  • An overview of corporate actions
    Lavanya Babu, Senior Business Analyst, iNautix Technologies