Volume 3, 2010-11

Each volume of Journal of Securities Operations & Custody consists of four quarterly 100-page issues. The articles published in Volume 3 were:

Volume Three, Number Four

  • How can we improve the use and effectiveness of loss data?
    Robert Huebner, Deputy Head, Operational Risk Management, Deutsche Bank
  • Trade matching in the traditional and alternative markets
    Holly H. Miller, Partner, Stone House Consulting
  • Investigating partnerships with local players: Build, buy or partner?
    Toyin Sanni, CEO Trustees/Global Investor Services, United Bank for Africa
  • Using a data warehouse to improve risk, performance, reporting and compliance
    Tom Stock, SVP, Product Management, GoldenSource
  • Regulatory intrusion: Is regulation becoming impossible to manage?
    Peter Richards-Carpenter, Senior Counsel, Fried, Frank, Harris, Shriver & Jacobson
  • The MiFID metamorphosis: A new paradigm for market structure
    Karel Lannoo, Chief Executive and Diego Valiante, Research Fellow, Centre for European Policy Studies
  • Opting out of securities class actions: Why wait?
    Nick N. Goseland, Attorney

Volume Three, Number Three

  • Operations and settlement risk in extreme market conditions
    Sergio Scandizzo, Head, Operational Risk Section, European Investment Bank
  • The impact of Target 2 Securities on sub-custodians
    Janne Palvalin, Manager, Nordea Securities Services
  • The great risk vs. compensation debate
    Andrew Rand, SVP and Head of Network Management, Brown Brothers Harriman
  • The road to risk-based supervision: Lessons from Chile
    Jeanne Balcom, Senior Director and Nileema Pargaonker, Director, FINRA
  • Direct overseas listing of Chinese enterprises: A clear regulatory framework and explicit regulatory requirements are needed
    Liu Yi, Overseas Listing Project Officer, China Securities Regulatory Commission
  • Custodial operations in Malta: Current opportunities
    Max Ganado, Managing Partner, Ganado & Associates
  • New OTC derivatives regulation and the future of the derivatives industry
    Carlo de Meijer, Senior Researcher, Market Infrastructures, GTS and John Wilson, Managing Director & Global Head, OTC Derivatives Clearing, RBS

Volume Three, Number Two

  • Optimising the cost equation in securities clearing, settlement and custody
    Venkatesh Rathnam, Global Head, Securities Services Operations, Standard Chartered Bank
  • Automating the OTC derivative collateral management function
    Thomas Ciulla, Senior Manager, Daniel Bloom and Justin Ages, Finance Operations & Controls Transformation, Deloitte & Touche
  • Mutual fund omnibus processing: A way to increase revenues and improve the client experience
    Craig Kolzow, President, Conferre Solutions
  • Reviewing your organisation’s approach to data management
    Rick Enfield, Product Business Owner, Asset Control
  • Web development and e-servicing: Are your investments paying off?
    Kristyn Harmon, VP, PWI Online Channels, Fidelity Investments and George Moriarty, Editor-in-Chief for Online Platforms, Merrill Lynch Global Wealth Management
  • Customisation, automation, globalisation: How should you respond to these drivers?
    Peter Ellis, Managing Director, Investit
  • 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
    Daniel Miller, Founder, Miller Fiduciary Law Group and Eugene F. Maloney, Senior Corporate Counsel, Federated Investors
  • Responding to stepped-up FCPA enforcement
    Lucinda A. Low, Partner and Owen Bonheimer, Associate, Steptoe & Johnson

Volume Three Number One

  • How to succeed in the post-trade industry in the new financial landscape: Reducing risk, costs and getting closer to customers
    Rob Scott, Managing Director, Global Head of Securities Clearing and Finance, Deutsche Bank
  • What progress is being made to accelerate interoperability and how can standards help increase transparency and reduce risk?
    Irene Mermigidis, SVP, Product Management, Clearstream Banking
  • Managing risk in a changing environment
    Peter Kelly, Director, Fixed Income Product Management, DTCC
  • Developing world-class operations staff
    Martyn Cuff, Managing Director, Allianz Global Investors
  • MiFID II and EMIL: The impact of regulation on securities operations in European markets
    Chris Pickles, Head of Marketing, Financial Markets & Wholesale Banking, BT Global Financial Services
  • Building a business case for cross-border trading
    Mike Randall, Product Manager, Global Processing, Thomson Reuters
  • Are we facing European CCP interoperability regulation?
    Carlo de Meijer, Senior Researcher, Market Infrastructures, RBS
  • Trends in OTC derivatives
    Corby Angle, Solution Partner, EMC Consulting