Volume 6, 2013-14

Each volume of Journal of Securities Operations & Custody consists of four quarterly 100-page issues. The articles published in Volume 6 were:

Voiume 6 Number 4

  • Trends in post-trade processing
    Gary Probert, Managing Director, Institutional Clients Group and Asmaah Ali, Global Direct Custody and Clearing Business, Citi
  • Collateral management: Factors affecting the supply and demand for collateral and emerging trends and developments in the market
    Ted Leveroni, Executive Director of Strategy and Buy Side Relations, DTCC
  • The role of the custodian in servicing the reporting needs of the securities industry
    Jamie Stevenson, Product Manager, BNP Paribas
  • Finding financial fraudsters: Quantitative and behavioural finance approaches
    Ezra Zask, President, SFC Associates
  • The taxation of repos: Key tax risks and how to manage them
    Martin Walker, Leader, Securities Tax Team, Deloitte
  • Building a risk framework under AIFMD
    Isabelle Tykoczinski, Founder, Altarine Partners
  • An overview of standardisation and market practices harmonisation in the Asia-Pacific region
    Alexandre Kech, Director of Securities Market Infrastructures, APAC, SWIFT
  • Europe gets ready for T+2
    Tony Freeman, Executive Director of Global Industry Relations, Omgeo
  • Legal entity identifiers: The beginning of a new platform in financial data
    Robleh Ali, Bank of England
  • A primer on fee calculation in wealth management
    Vasanth Sandilya Balasubrmanian, Associate Program Manager, iNaytix Technologies

Volume 6 Number 3

  • Implementing the G20 mandate in the EU: Will financial markets be safer than five years ago?
    Rafael Plata, Secretary General Designate, European Association of CCP Clearing Houses
  • Monitoring compliance: Developing an appropriate surveillance system and organisation
    Peter Nylen, Surveillance Expert, Trapets
  • Margins and financial collateral for derivatives contracts: How to deal with procyclicality
    Martina Tambucci, Regulatory Strategies Division, Consob
  • Outsourcing and delegation in the post-AIFMD environment crisis
    Shane Brett, Founder, Global Perspectives
  • CSD regulation: A major change for the post-trade arena
    Francois Dubrau, Director, Equinox Consulting
  • Compliance rules for an effective investment management system
    Sandilya B. Vasanth, Senior Consultant, Infosys
  • The Swiss Collective Investment Schemes Act: New challenges and opportunities for fund managers and investors
    Jason Scharfman, Managing Partner, Corgentum Consulting
  • UCITS VI in practice
    Charles Muller, Partner and Clara Braunstein, Adviser, Investment Funds Regulation, KPMG
  • Valuing illiquid and 'hard to value' assets
    David L. Larsen, Managing Director, Duff & Phelps

Volume 6 Number 2

  • Target-2-Securities: A platform for solving some of the key structural issues raised by the financial crisis and its aftermath
    Philip Brown, Member of the Executive Board, Clearstream Banking
  • Preparing to comply with CSD regulation
    Soraya Belghazi, Secretary General, European Central Securities Depositories Association
  • Cross border securities settlement in Europe: Routes for improvement
    Ariena van Wageningen, Senior Policy Advisor, De Nederlandsche Bank, and Advisory Group member, T2S
  • Essential features of a portfolio management system
    Sandilya B. Vasanth, Senior Consultant, Infosys
  • The UK Intergovernmental Agreement for FATCA implementation: An overview (Updated to reflect final regulation 1st September 2013)
    Bengt Bjorkberg, Program Manager, Regulatory Practice, DBFS, Ricardo Leiva, VP, Operations, Société Générale and Yemi Afolabi, Senior Business Analyst, Threadneedle Investments
  • The next step in the industrialisation of securities and derivatives transaction processing: Silos in the past, platforms today, functional modules in the future
    Udo Milkau, Head of Strategy, Market Development and Controlling, DZ Bank
  • Assessing buy-side preparations for meeting derivatives reform under the European Market Infrastructure Regulation
    Amrik Chawla, Managing Director, Rule Financial
  • The potential impact of the AIFMD on the UCITS industry: Threat or opportunity?
    Carine Delfrayssi, Deputy Head of International Affairs Division, Association Française de la Gestion Financière

Volume 6 Number 1

  • Regulation of exchange traded funds as part of ESMA guidelines implementation: Operational costs and requirements for exchanges
    Townsend Lansing, Head of Regulatory Affairs, ETF Securities
  • Asset allocation models: Five major categories of clients and identifying the model that best fits their return and liquidity needs
    Sandilya B. Vasanth, Senior Consultant, Infosys
  • The practical development of a CCP risk management system for institutional investor settlement in the Korean stock market
    Keukjin Choi, Senior Manager, Securities Settlement Department and Youngwoo Han, Senior Manager, Department of IT Services, Korea Securities Depository
  • ESMA guidelines for securities lending: ‘Gaming’ the regulator
    Alan Miller, Co-founder, SCM Private
  • Considerations when investing in and pricing emerging market fixed income securities
    Christos Costandinides, Director, Index Research and Leon Sinclair, Director, Evaluated Bonds, Markit
  • Financial engineering and effective regulation of engineered products
    Yener Coşkun, Senior Specialist, Capital Markets Board of Turkey
  • Capital market trends in Japan: Drivers of innovation and a market in transition
    Eiichiro Yanagawa, Senior Analyst, Asian Financial Services, Celent
  • Going global: The international impact of securities class actions
    Pat Bingham-Peters, Director of Sales and Relationship Management, EMEA, Goal Group
  • ESMA earns strong credentials thanks to its convincing approach concerning ETF regulation
    François Millet, Head of Product Line Management, ETF & Indexing, Lyxor Asset Management
  • The ETF industry: A retrospective and suggestions for the future
    Monica Gogna, Partner, Pinsent Masons