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    کد خبر : 186831
    تاریخ انتشار : 26 تیر 1395 15:22
    تعداد بازدید : 932

    Journal of Securities Operations and Custody

    Journal of Securities Operations and Custody


    2008,Vol.1

    2009,Vol.2

    2010,Vol.2

    2011,Vol.3

    2012,Vol.4

    2013,Vol.5

    2014,Vol.6

    2015,Vol.7

     

    Journal of Securities Operations and Custody, 2008,Vol.1 

    Author

    Title

    number

    Page to Page

    Cherie A. Graham

    OTC derivatives processing: Challenges and opportunities facing asset servicers

    No.2, February

    pp. 119-130

    Penny Cagan

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

    No.2, February

    pp. 131-152

    Philip J. Brown

    Developing an optimal custodian relationship management strategy

    No.2, February

    pp. 153-161

    Kaj Pedersen

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

    No.2, February

    pp. 162-169

    Christopher Marzullo

    Settlement fails: A buy- side and sell- side perspective on how to minimise them

    No.2, February

    pp. 170-183

    Karel Lannoo

    Will financial market data be sufficiently consolidated and of high enough quality under MiFID?

    No.2, February

    pp. 184-194

    Carmine Di Noia, Matteo Gargantini, Salvatore Lo Giudice

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

    No.2, February

    pp. 195-212

    Patrick C. Gordon, Eriks F. Rancans, Michael J. McCabe

    Electronic records: Translating regulations and interpretations into workable document retention policies

    No.2, January

    pp. 105-115

    Gerard B. J. Hartsink, Carlo R. W. De Meijer

    Progress and challenges of integration in the European securities industry

    No.2, January

    pp. 116-132

    Myongsu Kong

    Rule 159 and securitisation transactions

    No.2, January

    pp. 133-141

    Paul S. Schreiber, Nathan J. Greene, John D. Jackson

    Revenue- sharing disclosure trends and potential requirements under proposed US mutual fund and broker-dealer regulations

    No.2, January

    pp. 142-153

    Radostina Ivanova, Jin Krol, Laurence White

    MiFID: A strategic overview of the key implementation challenges for firms

    No.2, January

    pp. 154-167

    Ed Sautter

    Record keeping under MiFID and the FSA's proposals on telephone recording: Widening the horizon?

    No.2, January

    pp. 168-178

    Linda Riefberg

    Eliminating influence by and on the research analyst: Recent enforcement activity and current regulatory priorities

    No.2, January

    pp. 179-189

    Marc Bayle

    TARGET2- Securities: Integrating the securities market infrastructure

    No.2, January

    pp. 190-200

    Neil Wright

    Servicing derivatives positions: Challenges and best practices amid a convergence of market utilities

    No.3, June

    pp. 219-226

    Matt Simpson

    Advancements in listed derivatives post- trade automation

    No.3, June

    pp. 227-232

    Mark C. Faulkner

    Assessing the real impact of securities lending on the corporate governance landscape

    No.3, June

    pp. 233-249

    Aaron Weller

    Data governance: Supporting datacentric risk management

    No.3, June

    pp. 250-262

    Joseph Conway

    Best practices in achieving an efficient reconciliation system

    No.3, June

    pp. 263-270

    Ruud Sleenhoff

    The European Code of Conduct for Clearing and Settlement: Towards more interoperability?

    No.3, June

    pp. 271-288

    Chris Pickles

    Securities standards migration: ISO 15022 vs ISO 20022

    No.3, June

    pp. 289-300

    Joel Merere

    The race for European financial unity: Where is it going?

    No.3, June

    pp. 301-305

    Sonja Lohse

    Policy priorities for European banks in the 2008 financial markets and beyond

    No.3, May

    pp. 206-211

    Lester Joseph

    The criminal prosecution of banks under the US Bank Secrecy Act of 1970

    No.3, May

    pp. 298-312

    David M. Brodsky, Douglas N. Greenburg, Noreen A. Kelly-Najah

    Recent developments in the enforcement of the US Foreign Corrupt Practices Act

    No.3, May

    pp. 212-230

    J. Scott Colesanti

    Recent developments in US securities arbitration and their implications for the industry

    No.3, May

    pp. 231-246

    Nathan Greene

    Hedge fund organisational decisions and how they affect the sponsor's compliance needs

    No.3, May

    pp. 247-259

    Gary Pitts

    Two sides of the same coin? Compliance and operational risk in the post-MiFID world

    No.3, May

    pp. 260-270

    Soo J. Yim, Brian M. Johnson

    A practical approach to electronic document retention and storage

    No.3, May

    pp. 271-287

    Verena Ross, Virginie Mennesson, Peter Parker, John-Paul Dryden

    Setting the FSA's more principles- based approach to regulation in the international context

    No.3, May

    pp. 288-297

    Carlo R. W. de Meijer, Michelle H. W. Saaf

    The credit crunch and credit rating agencies: Are they really striving towards more transparency?

    No.4, August

    pp. 322-336

    Stephen A. Keen

    When does a bank act as a carrying broker? A still- unanswered question from the US Gramm- Leach- Bliley (Financial Modernisation) Act of 1999

    No.4, August

    pp. 337-348

    Mark D. Pratt

    Investment fund governance in Canada: Early observations on the implementation of National Instrument 81- 107

    No.4, August

    pp. 349-362

    Yvon Lucas

    Target2- Securities: A major contribution to European financial integration?

    No.4, August

    pp. 363-369

    Stephane Janin

    Financial services: A long way towards a single European regulator?

    No.4, August

    pp. 370-378

    Christina Patilis

    Enhancing governance, risk and compliance at alternative investment management companies: Leveraging the roles of regulatory compliance and internal audit

    No.4, August

    pp. 379-385

    Marcia K. Clark

    A brief guide to the impact of fixed- income swaps on investment compliance

    No.4, August

    pp. 386-393

    Charles F. Cerria

    How to document energy commodity transactions

    No.4, August

    pp. 394-406

    Knight, Angela

    Has the EU Code of Conduct for market infrastructures delivered measurable benefits for users?

    No.4, September

    pp. 315-327

    Joseph A. Iraci

    Managing operational risk in a changing environment.

    No.4, September

    pp. 328-334

    Alton Harvey

    Are your securities operations sufficiently resilient? A business continuity briefing

    No.4, September

    pp. 335-350

    Steve Manz

    Operational risk management and control: Managing data as a key enterprise asset.

    No.4, September

    pp. 351-358

    Martyn Cuff

    Global sourcing by fund managers: The road ahead and how to manage it

    No.4, September

    pp. 359-372

    Colin Day

    Effective reconciliation of trading: Managing and mitigating operational risk.

    No.4, September

    pp. 373-381

    Christophe Lentschat

    What do we want from the transfer agent service provider?

    No.4, September

    pp. 382-389

    Richard Ryndak

    Redemption payments: Proposed rules for US withholding tax under a 302

    No.4, September

    pp. 390-399

    Karen Tyler

    The Treasury's Blueprint for financial services regulatory restructuring: An unstable foundation for investor protection?

    No.1, November

    pp. 7-18

    Joelle Hauser

    Examining alternative strategies within the context of UCITS III regulations

    No.1, November

    pp. 19-28

    Rachel Raemore Romijn

    Anti- money laundering issues for USA- based securities firms: Unique and not- so- unique challenges.

    No.1, November

    pp. 29-35

    Lester Joseph

    Suspicious Activity Reports: How the US Government protects these valuable tools

    No.1, November

    pp. 37-48

    Peter von Maur

    Customer portfolio margin: Myth and reality

    No.1, November

    pp. 49-59

    Klaus Lendle

    Performance management in internal audit: Implementation, merits and challenges in a medium- sized audit department

    No.1, November

    pp. 60-70

    Marc Moore

    Averting the overprescription of UK corporate governance norms

    No.1, November

    pp. 71-86

    Steven A. Yadegari

    How to prepare for, and survive, an SEC inspection

    No.1, November

    pp. 87-94

    Journal of Securities Operations and Custody, 2009,Vol.2

    Author

    Title

    number

    Page to Page

    Carlo R.W. de Meijer

    The new trading environment post- MiFID: One year later

    No.1, February

    pp. 7-23

    Rita Previtali

    Operational risk control: Societe Generale and other well- known cases.

    No.1, February

    pp. 24-36

    Ravi Beegun, Pascale Leroy

    Risk management challenges in UCITS III funds

    No.1, February

    pp. 37-52

    Richard Robinson, Brian Lynn, Simon Lillystone

    'Don't forget the operations': Critical processes for OTC derivatives needing attention

    No.1, February

    pp. 53-62

    Udit Gambhir

    Fund administration in the alternative investment industry: Administrator selection and best practices

    No.1, February

    pp. 63-74

    Stevie D. Conlon

    Complying with higher corporate action standards: The importance of booking the US taxation of corporate actions correctly, given the new cost-basis reporting law.

    No.1, February

    pp. 75-85

    James Walker, Mark Shipman, Yang TieCheng, Zhang Nan

    Legal issues in China's QDII regime: Opportunities and challenges

    No.1, February

    pp. 86-98

    Ryan Bagnulo

    How technology will make or break banks integrating mission-critical processes as a result of a merger

    No.2, July

    pp. 106-119

    David Breden

    Adding value to your organisation through operational risk management.

    No.2, July

    pp. 120-127

    Alfred R. Berkeley III, Donald F. Donahue, Philip D. Moyer, Mark C. Bolgiano

    XBRL reaches tipping point

    No.2, July

    pp. 128-133

    Darren Measures

    Credit risk management and mitigation

    No.2, July

    pp. 134-140

    Brett Lancaster, David Hands

    A roadmap to achieving STP for corporate actions

    No.2, July

    pp. 141-152

    Kai Saathoff

    The industrialisation of asset management reporting services

    No.2, July

    pp. 153-162

    Godfried De Vidts

    The silent revolution: Clearing and settlement in the future

    No.2, July

    pp. 163-168

    Jennifer Moodie

    Internal systems and controls that help to prevent rogue trading

    No.2, July

    pp. 169-180

    Sasha Rozenberg

    What is the price of a derivative security?

    No.2, July

    pp. 181-186

    Laurence A. Steckman, Robert E. Conner, Courtney B. Bellaire

    Mitigation of damages in securities and commercial litigation and arbitration

    No.2, March

    pp. 103-114

    Andrew O'Callaghan, Deirdre McManus

    Risk management in UCITS funds

    No.2, March

    pp. 115-124

    Roger M. Witten, Thomas J. Koffer

    Navigating the increased anti- corruption environment in the USA and elsewhere

    No.2, March

    pp. 125-143

    James Walker, Yang TieCheng, Mark Shipman, Fan Zhibin

    China's QFII regime: Compliance risks and possible changes

    No.2, March

    pp. 144-152

    Steven M. Felsenthal

    When does the US Investment Advisers Act Solicitation Rule apply to hedge fund managers? New SEC guidance

    No.2, March

    pp. 153-156

    Kevin O'Doherty

    The changing corporate governance scene in Ireland for offshore financial services

    No.2, March

    pp. 157-164

    Gregory V. Varallo, David Schmerfeld, Peter C. Wood

    Stormy weather -- Time to prepare ...

    No.2, March

    pp. 165-174

    Khoonming Ho, Simon Liu

    Tax implications in China in connection with QFIIs

    No.2, March

    pp. 175-181

    Nick Shiren, Assia Damianova, Marco Crosignani

    Credit default swaps after the global banking crisis: Regulatory responses and industry initiatives

    No.3, June

    pp. 191-204

    Richard M. Heimann, Joy A. Kruse, Sharon M. Lee

    Post- Tellabs treatment of confidential witnesses in federal securities litigation

    No.3, June

    pp. 205-215

    Howell, Beryl A.

    Lawyers on the hook: Counsel's professional responsibility to provide quality assurance in electronic discovery

    No.3, June

    pp. 216-231

    Steven M. Felsenthal, Gary Guttenberg

    Proxy voting and the disclosure of conflicts of interest: A recent enforcement action under the US Investment Advisers Act

    No.3, June

    pp. 232-235

    Eric L. Zagar

    A review of options backdating settlements and corporate governance

    No.3, June

    pp. 236-243

    Richard A. Booth

    The Paulson Report reconsidered: How to fix securities litigation by converting class actions into issuer actions

    No.3, June

    pp. 244-260

    Gregory A. Markel, Douglas I. Koff

    Notable developments in the regulation and enforcement of financial markets in 2008

    No.3, June

    pp. 261-283

    Anna T. Pinedo

    Removing toxic assets from balance sheets: Structures based on the good bank- bad bank model

    No.4, September

    pp. 289-309

    Roland Nattrass

    The FSA gets tough on financial crime

    No.4, September

    pp. 310-317

    Edward J. O'Gorman

    D and O coverage of securities manipulation claims: Valuing subprime assets in an illiquid market

    No.4, September

    pp. 318-346

    Mitchell A. Lowenthal, Joon H. Kim

    When may investment advisors serve as lead plaintiffs in securities class actions?

    No.4, September

    pp. 347-352

    Eric S. Waxman, Peter B. Morrison, Virginia F. Milstead

    Recent spate of US federal decisions elucidates parameters of Continuous Ownership Rule

    No.4, September

    pp. 353-359

    Lawrence A. Steckman, Robert E. Conner

    Index adjusted portfolio damages in securities and investment fraud litigation

    No.4, September

    pp. 360-379

    Stefan J. Padfield

    An argument for reduced dependence on materiality in dismissing frivolous lawsuits

    No.4, September

    pp. 380-388

    Journal of Securities Operations and Custody, 2010,Vol.2

    Author

    Title

    number

    Page to Page

    Suzanne L. Duncan, Shanker Ramamurthy

    Building a new financial order: How will the financial markets industry make money in the future?

    No.4, January

    pp. 280-293

    Daniel Heller

    Central counterparties for OTC derivatives: Neither panacea nor placebo

    No.4, January

    pp. 294-303

    Rogier Wezenbeek

    The European Commission's recommendation for simplified procedures for claiming cross-border withholding tax relief

    No.4, January

    pp. 304-311

    Martin Bentsen

    The new cost basis rules: Preparing to comply without regulations

    No.4, January

    pp. 312-323

    Philip Martin

    Why is operational risk management important?

    No.4, January

    pp. 324-332

    David H. Harrison

    The Options Symbology Initiative

    No.4, January

    pp. 333-339

    Talis J. Put nis

    Naked short sales and fails- to- deliver: An overview of clearing and settlement procedures for stock trades in the USA

    No.4, January

    pp. 340-350

    Mike Randall

    Building a business case for cross- border trading

    No.1, May

    pp. 7-13

    Rob Scott

    How to succeed in the new post- trade services landscape: Reduce risks, cut costs and get closer to clients

    No.1, May

    pp. 14-23

    Irene Mermigidis

    What progress is being made to accelerate interoperability and how can standards help increase transparency and reduce risk?

    No.1, May

    pp. 24-32

    Peter W. Kelly

    Mitigating risk in a changing landscape

    No.1, May

    pp. 33-43

    Corby Angle

    Trends in OTC derivatives

    No.1, May

    pp. 44-54

    Carlo R. W. de Meijer

    Are we facing European CCP interoperability regulation?

    No.1, May

    pp. 55-65

    Chris Pickles

    MiFID II and EMIL: The impact of regulation on securities operations in European markets

    No.1, May

    pp. 66-72

    Martyn Cuff

    Developing world- class operations staff

    No.1, May

    pp. 73-83

    Lisa A. Catalano, Christine Lazaro

    Financial abuse of elderly investors: Protecting the vulnerable

    No.1, January

    pp. 5-23

    William R. McLucas, Laura Wertheimer

    Responding to a corporate crisis- A framework for dealing with bad news

    No.1, January

    pp. 24-38

    Charles Yablon

    Stoneridge, agency principles and the future of 10b- 5 liability

    No.1, January

    pp. 39-52

    Richard Sims, Luca Basilio, Eric Boillot, Dominique Lepagnot

    Criminal and administrative risk in market misconduct cases: A comparative study of the law and practice in the UK, Italy and France

    No.1, January

    pp. 53-63

    Duncan Black

    The draft EU Directive on Alternative Investment Fund Managers: What's the fuss about?

    No.1, January

    pp. 64-70

    Thomas D'Ambrosio

    Thorny issues encountered when negotiating ISDA Master Agreements

    No.1, January

    pp. 71-78

    Annette Nazareth

    Regulation of short sales in the United States

    No.1, January

    pp. 79-88

    Alex Leitch, David Butler

    The English court awards damages for loss of profits on alternative trading: Parabola Investments Limited and others v Browallia CAL Limited and others [2009] EWHC 904 (Comm).

    No.1, January

    pp. 89-100

    Andrew N. Vollmer

    How hedge fund advisers can reduce insider trading risk

    No.2, April

    pp. 106-115

    John Hamrock

    How to ensure that fund contractual provisions of the depositary duties are being met

    No.2, April

    pp. 116-123

    Carlo R. W. de Meijer, Michelle H. W. Saaf

    Mutual recognition and the transatlantic dialogue: The concept and its progress

    No.2, April

    pp. 124-141

    Richard Magrann-Wells

    Taming the efficient frontier: When should a trust fiduciary be required to use derivatives?

    No.2, April

    pp. 142-149

    Laurence A. Steckman

    Litigating offset arguments in compensatory damage litigation and lead plaintiff motion practice: Are apparently inconsistent outcomes reconcilable?

    No.2, April

    pp. 150-179

    Yvonne I. Pytlik, Jennifer S. Myers

    Compliance risk: A critical business risk for asset managers

    No.2, April

    pp. 180-189

    Jonathan Brogden, Ceri Jones

    Jurisdiction: English court favoured as the wave of credit crunch litigation starts to hit

    No.2, April

    pp. 190-199

    Venkatesh Rathnam

    Optimising the cost equation in securities clearing, settlement and custody.

    No.2, August

    pp. 95-102

    Thomas Ciulla, Daniel Bloom, Justin Ages

    Automating the OTC derivative collateral management function

    No.2, August

    pp. 103-110

    Craig L. Kolzow

    Mutual fund omnibus processing: A way to increase revenues and improve the client experience

    No.2, August

    pp. 111-121

    Rick Enfield

    Reviewing your organisation's approach to data management

    No.2, August

    pp. 122-130

    Kristyn Harmon

    Making web development and e- servicing investments pay off

    No.2, August

    pp. 131-137

    Peter Ellis

    Client reporting: Responding to the key drivers of automation, customisation and globalisation

    No.2, August

    pp. 138-146

    Daniel M. Miller

    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

    No.2, August

    pp. 148-165

    Lucinda A. Low

    The widening FCPA dragnet: The increasing pursuit of individuals and foreign persons and expansive use of legal theories

    No.2, August

    pp. 166-184

    Denise Voigt Crawford

    Deregulation and pre- emption of state regulatory authority and the global financial meltdown: Why responsible regulatory reform requires restoration of state authority

    No.3, July

    pp. 205-217

    Scott B. Schreiber, Andrew T. Karron

    Securities fraud investigations, securities class actions and derivative litigation: Suggestions for cost-effective management.

    No.3, July

    pp. 218-231

    Linda Riefberg

    The impact of e- mail on broker- dealers

    No.3, July

    pp. 232-240

    Nathan J. Greene, John M. Adams

    Private fund manager regulation: US and European initiatives compared

    No.3, July

    pp. 241-256

    Tammy Eisenberg

    Developing effective compliance training for registered investment advisers

    No.3, July

    pp. 257-264

    Zachary S. Rosenberg, Michelle L. Jacko

    Understanding the potential and limits of investment adviser advertising

    No.3, July

    pp. 265-274

    Gregory R. Samuel, Bill Nelson, William Stafford

    Developments involving shareholder access and proxy statement disclosure

    No.3, July

    pp. 275-284

    Sergio Scandizzo

    Operations and settlement risk in extreme market conditions

    No.3, November

    pp. 193-201

    Andrew I. Rand

    The great risk vs. compensation debate

    No.3, November

    pp. 202-209

    Janne Palvalin

    The impact of Target 2 Securities on sub- custodians

    No.3, November

    pp. 210-217

    Max Ganado

    Custodial operations in Malta: Current opportunities

    No.3, November

    pp. 218-225

    Jeanne Balcom, Nileema Pargaonker

    The road to risk- based supervision: Lessons from Chile

    No.3, November

    pp. 228-240

    Carlo R. W. de Meijer, John Wilson

    New OTC derivatives regulation and the future of the derivatives industry

    No.3, November

    pp. 241-251

    Liu Yi

    Direct overseas listing of Chinese enterprises: A clear regulatory framework and explicit regulatory requirements are needed

    No.3, November

    pp. 252-267

    Howard L. Kramer, Joseph P. Corcoran

    Assessing the shotgun volley of SEC market structure initiatives

    No.4, October

    pp. 294-306

    Stephen P. Younger, Jenya Moshkovich

    Parallel proceedings in securities enforcement actions: The growing trend against automatic grants of government requests for stays of civil cases

    No.4, October

    pp. 307-314

    Joelle Hauser, Geoffroy Hermanns

    Side- pocketing in investment funds and the Luxembourg legal regime for UCITS

    No.4, October

    pp. 315-327

    Robert S. Tull

    Risk assessment and annual review: Creating a circuit of sustainable motion for the compliance programme

    No.4, October

    pp. 328-335

    Thomas J. Moloney, Angela F. Hamarich

    Fiduciary duties, broker- dealers and sophisticated clients: A mis- match that could only be made in Washington

    No.4, October

    pp. 336-349

    Jessica P. Corley, David A. O'Neal

    Federal pleading standards and the business judgment rule after Twombly and Iqbal

    No.4, October

    pp. 350-358

    Hille R. Sheppard, Laura Day Rottenborn

    The 'materialisation of the risk' theory of loss causation in securities fraud cases: A bad name for a 'corrective event' theory

    No.4, October

    pp. 359-366

    Jonathan L. Frank, Robert A. Fumerton

    Class certification as an evolving battleground: The Second Circuit's decision in Flag Telecom has given defendants a new weapon

    No.4, October

    pp. 367-374

    Journal of Securities Operations and Custody, 2011,Vol.3 

    Author

    Title

    number

    Page to Page

    Allan D. Grody

    The Global Financial Services Data and Standards Alliance: Resolving the global reference data debate in the cause of observing systemic risk.

    No.4, February

    pp. 276-278

    Robert Huebner

    Operational risk management: Using loss- data more effectively

    No.4, February

    pp. 280-287

    Holly Miller

    Trade matching in the traditional and alternative markets

    No.4, February

    pp. 288-297

    Toyin Sanni

    Investigating partnerships with local players: Build, buy or partner?

    No.4, February

    pp. 298-304

    Tom Stock

    Using a data warehouse to solve risk, performance, reporting and compliance- related issues.

    No.4, February

    pp. 305-315

    Karel Lannoo, Diego Valiante

    The MiFID metamorphosis: A new paradigm for market structure

    No.4, February

    pp. 317-332

    Peter Richards-Carpenter

    Regulatory intrusion: Is regulation becoming impossible to manage?

    No.4, February

    pp. 333-353

    Nick N. Goseland

    Opting out of securities class actions: Why wait?

    No.4, February

    pp. 354-363

    Marc Hollanders

    A look at the rapidly changing market infrastructure supporting the OTC derivatives markets

    No.1, May

    pp. 7-16

    Gagan Rai

    CSDs and cross- border linkages: How is the landscape evolving?

    No.1, May

    pp. 17-30

    Sebastien Chaker

    Cross- border fund distribution operations: Making investment funds easily accessible to global investors: A wake up call

    No.1, May

    pp. 31-38

    Carlo R. W. de Meijer

    MiFID II: Towards a consolidated tape in Europe

    No.1, May

    pp. 39-49

    Bas Zebregs

    Mandatory clearing of OTC derivatives in Europe

    No.1, May

    pp. 50-71

    Edward Miller, Sarah Reid

    Legal considerations when managing counterparty credit risk in OTC derivatives

    No.1, May

    pp. 72-80

    Brian Goldsmith

    To what extent is 'intent' relevant to Australia's market manipulation regime? How does this approach differ from other jurisdictions and should it be reconsidered?

    No.1, May

    pp. 81-91

    Matteo Bertotti

    Using the SwapClear Client Clearing Service to meet current challenges in the interest rate swaps market

    No.2, August

    pp. 103-111

    Bill Scrimgeour

    Assets or liabilities? Custodian risk in the new paradigm

    No.2, August

    pp. 112-121

    Yener Coskun

    The limitations of transparency policy in OTC markets and derivatives trading

    No.2, August

    pp. 122-133

    Taketoshi Mori

    Addressing risk through best practice in Japan: Shortening settlement cycles and imposing fail charges

    No.2, August

    pp. 134-147

    Richard Fodder

    What is the true role and value of custody within correspondent banking?

    No.2, August

    pp. 148-156

    Ken Owens

    UCITS IV nuts and bolts: What to expect under the new regulatory regime

    No.2, August

    pp. 157-171

    Scott Kurland

    Hidden operational drivers for increased fund expense ratios uncovered: Reducing the impact of increased order fragmentation on clearing and custody.

    No.2, August

    pp. 172-180

    Eugen Tjong

    Leveraging a shared infrastructure to trade across asset classes, regions and strategies

    No.3, October

    pp. 191-197

    Carlo R.W. de Meijer

    Renminbi cross- border trade settlement

    No.3, October

    pp. 198-206

    Richard Hurrell

    How will Target 2 Securities affect the European securities landscape?

    No.3, October

    pp. 207-217

    Shu-Pui Li

    A common platform model for Asia: How will an inter- Asian and cross- border processing infrastructure benefit Asian capital markets?

    No.3, October

    pp. 218-228

    Annika von Haartman

    Preventing market abuse: Can market surveillance really improve amid fragmentation and low- cost competition?

    No.3, October

    pp. 229-236

    Tim Hamer

    Advancing transparency and harmonisation in corporate actions processing: Where are we now and where are we headed?

    No.3, October

    pp. 237-245

    Jeff Gowan, Aaron Adolphson

    Cost- basis reporting: The impact on investment advisers

    No.3, October

    pp. 246-252

    Soraya Belghazi

    CSD regulation: The missing piece in the European post- trade puzzle?

    No.3, October

    pp. 253-264

    Adriana Tanasoiu

    Evolution of the Romanian post- trade environment: Embracing the new European post- trade realities

    No.3, October

    pp. 265-274

    Journal of Securities Operations and Custody, 2012,Vol.4

    Author

    Title

    number

    Page to Page

    Kerstin Grosse-Nobis

    OTC derivatives: How OTC will they be? A buy- side view

    No.4, Spring

    pp. 287-294

    Amanda Lewis, Emma Radmore

    Outsourcing for fund managers: Demystifying the regulatory structure

    No.4, Spring

    pp. 295-307

    John Trundle

    Risk management in securities settlement systems

    No.4, Spring

    pp. 308-320

    Daniel E. Holloway

    The integrity of the price: Issues for securities fraud plaintiffs and defendants in US class actions

    No.4, Spring

    pp. 321-332

    Phil Tattersall

    The great race: Investment managers apply new technologies to get ahead

    No.4, Spring

    pp. 333-345

    Jesus Benito

    The role of market infrastructures in OTC derivatives markets

    No.4, Spring

    pp. 346-357

    B. Vasanth Sandilya

    IT and equities operations: 12 best practices

    No.4, Spring

    pp. 358-363

    Werner Frey

    How to get issuers fully involved in the corporate actions process

    No.4, Spring

    pp. 364-368

    Gunter Schnaitt

    Investigating the role of the sub- custodian in risk mitigation

    No.4, Spring

    pp. 369-374

    Godfried De Vidts

    Should the European repo market clear and settle only in central bank money?

    No.1, Summer

    pp. 6-15

    Anshuman Jaswal

    Trends in the EMS market

    No.1, Summer

    pp. 16-28

    Ryan McRandal

    A primer on tail risk hedging

    No.1, Summer

    pp. 29-36

    Vaidya Nathan

    Consumer Protection Act: Quis custodiet ipsos custodes?

    No.1, Summer

    pp. 37-53

    Rohan Douglas

    Calculating the effect of funding costs on OTC valuation using funding valuation adjustment

    No.1, Summer

    pp. 54-63

    Hermann Beythan

    Is the draft UCITS V directive a cloned version of the Alternative Investment Fund Managers Directive?

    No.1, Summer

    pp. 64-72

    Charles Muller

    UCITS V: Lessons from the crisis

    No.1, Summer

    pp. 73-79

    Sandilya B. Vasanth

    Eleven features of an excellent securities settlement system in an investment bank

    No.1, Summer

    pp. 80-85

    Urs Stahli

    The 16th symposium of the International Securities Services Association, 5th- 8th June, 2012.

    No.1, Summer

    pp. 86-89

    Philip Brown

    Smart partnering: The next evolution in the post- trade space.

    No.2, Fall

    pp. 98-109

    Brian J. Tsai

    Securities operations: In- house or in the cloud?

    No.2, Fall

    pp. 110-117

    Carlo R. W. de Meijer

    And the winner is ... London? The location of the second renminbi offshore trading centre

    No.2, Fall

    pp. 118-133

    Urs Stahli

    Hidden risks of disruptive change due to regulatory evolution or shifts in servicing conventions: The global custodian liability example.

    No.2, Fall

    pp. 134-144

    Sandrine Leclercq

    Impact of regulatory reforms on the security transaction chain

    No.2, Fall

    pp. 145-149

    Miriam Abraham

    Evolution of the K- 1 process for alternative investment funds

    No.2, Fall

    pp. 150-158

    Gerard Bermingham

    The common asset services platform

    No.2, Fall

    pp. 159-170

    Daniel Singer, Michael Dewally

    Internal and external approaches to controlling rogue behaviour

    No.2, Fall

    pp. 171-185

    Journal of Securities Operations and Custody, 2013,Vol.5

    Author

    Title

    number

    Page to Page

    Eddy Wymeersch

    The banking union's single supervisory mechanism and the securities business

    No.3, Winter

    pp. 194-202

    Brian J. Tsai, Matthew A. Magidson

    Counterparty risk management for today and the future

    No.3, Winter

    pp. 203-211

    Barnaby Nelson

    Back office outsourcing in Asia: Bridging the customer divide

    No.3, Winter

    pp. 212-217

    Jo Van de Velde

    The evolving role of collateral in international capital markets

    No.3, Winter

    pp. 218-231

    Daniel E. Retzer

    Transforming uncertainty into opportunity: Coexistence of ISO 15022 and 20022 messaging standards

    No.3, Winter

    pp. 232-236

    Peter von Maur

    The Dodd- Frank Title VII recordkeeping requirements: Finding a way to the light

    No.3, Winter

    pp. 237-250

    Gary Pitts, Carla Aylott

    Opening Pandora's box: The challenge of social media in a regulated environment

    No.3, Winter

    pp. 251-261

    Rohan Douglas

    Overnight index swap and integrated credit valuation adjustment discounting

    No.3, Winter

    pp. 262-275

    Anton Kashkin

    Corporate actions on Russian securities: Market practice, legislation and proposed changes to the legislation

    No.3, Winter

    pp. 276-291

    James Wallin

    Impact of reform on collateral and margin requirement practices

    No.4, Spring

    pp. 299-311

    James Wallin, Camille Clingan

    An overview of Dodd- Frank as it relates to OTC derivatives reform

    No.4, Spring

    pp. 312-316

    Jon Williams

    Certainty of clearing: Creating a credit- checking tool for OTC derivatives

    No.4, Spring

    pp. 317-320

    Richard M. McVey

    The Volcker Rule and other regulations: Regulatory impact on credit market structure

    No.4, Spring

    pp. 321-325

    Mike Herskovitz

    Infrastructure readiness for swaps clearing

    No.4, Spring

    pp. 326-330

    John Schiavetta

    Counterparty risk management at the advent of central clearing for swaps

    No.4, Spring

    pp. 331-337

    Jack Callahan

    Addressing initial margin challenges in the new swaps world

    No.4, Spring

    pp. 338-341

    Karel Lannoo

    Prospects and challenges of a pan- European post- trade infrastructure

    No.4, Spring

    pp. 342-356

    Timothy Cameron

    Swaps central clearing for asset managers: How clear is it?

    No.4, Spring

    pp. 357-362

    Sunil Hirani

    Automated terminations in a cleared world (coming soon)

    No.4, Spring

    pp. 363-368

    Alan Miller

    ESMA guidelines for securities lending: 'Gaming' the regulator?

    No.1, Summer

    pp. 6-9

    Francois Millet

    ESMA earns strong credentials thanks to its convincing approach concerning ETF regulation

    No.1, Summer

    pp. 10-15

    Monica Gogna

    The ETF industry: A retrospective and suggestion for the future

    No.1, Summer

    pp. 16-18

    Townsend Lansing

    Regulation of exchange traded funds as part of ESMA guidelines implementation: Operational costs and requirements for exchanges

    No.1, Summer

    pp. 19-24

    Sandilya B. asanth

    Asset allocation models

    No.1, Summer

    pp. 25-30

    Christos Costandinides

    Considerations when investing in and pricing emerging market fixed income securities

    No.1, Summer

    pp. 31-41

    Pat Bingham-Peters

    Going global: The international impact of securities class actions

    No.1, Summer

    pp. 42-50

    Eiichiro Yanagawa

    Capital market trends in Japan: Drivers of innovation and a market in transition

    No.1, Summer

    pp. 51-64

    Keukjin Choi, Youngwoo Han

    Practical development of a CCP risk management system for institutional investor settlement in the Korean stock market

    No.1, Summer

    pp. 65-80

    Yener Coskun

    Financial engineering and engineering of financial regulation: Guidance for compliance and risk management

    No.1, Summer

    pp. 81-94

    Journal of Securities Operations and Custody, 2014,Vol.6

    Author

    Title

    number

    Page to Page

    Soraya Belghazi

    Preparing to comply with the CSD Regulation

    No.2, Winter

    pp. 102-112

    Carine Delfrayssi

    Assessing the potential impact of the AIFMD on the UCITS industry: Threat or opportunity?

    No.2, Winter

    pp. 113-121

    Philip Brown

    TARGET2- Securities: A platform for solving some of the key structural issues raised by the financial crisis and its aftermath

    No.2, Winter

    pp. 122-131

    Sandilya B. Vasanth

    Essential features of a portfolio management system

    No.2, Winter

    pp. 132-137

    Andreas Holz, Frank Neumann

    Industrialisation of securities and derivatives transaction processing: Silos in the past, platforms today and functional modules in the future

    No.2, Winter

    pp. 138-149

    Eiichiro Yanagawa

    Capital market trends in Japan: The birth of a new exchange

    No.2, Winter

    pp. 150-166

    Ariena J. van Wageningen

    Cross- border securities settlement in Europe: Improvements so far

    No.2, Winter

    pp. 167-173

    Elspeth Goodchild

    Assessing buy- side preparations for meeting derivatives reform under the European Market Infrastructure Regulation

    No.2, Winter

    pp. 174-180

    Bengt Bjorkberg, Ricardo Leiva, Yemi Afolabi

    Overview of the UK intergovernmental agreement for FATCA implementation

    No.2, Winter

    pp. 181-188

    Rafael Plata

    The implementation of the G20 mandate in the EU: Will financial markets be safer than five years ago?

    No.3, Spring

    pp. 198-205

    Vasanth Sandilya Balasubrmanian

    Compliance rules for an effective investment management system

    No.3, Spring

    pp. 206-211

    Francois Dubrau

    CSD regulation: A major change for the post- trade arena

    No.3, Spring

    pp. 212-219

    Charles Muller, Clara Braunstein

    UCITS VI: In practice

    No.3, Spring

    pp. 220-227

    Jason Scharfman

    The Swiss Collective Investment Schemes Act: New challenges and opportunities for fund managers and investors

    No.3, Spring

    pp. 228-233

    David L. Larsen

    Valuing illiquid and 'hard to value' assets

    No.3, Spring

    pp. 234-239

    Martina Tambucci

    Margins and financial collateral for derivatives contracts: How to deal with procyclical implications in a financial crisis

    No.3, Spring

    pp. 240-263

    Shane Brett

    Outsourcing and delegation in the post- AIFMD environment

    No.3, Spring

    pp. 264-269

    Peter Nylen

    Developing and implementing an appropriate surveillance system and organisation

    No.3, Spring

    pp. 270-281

    Alexandre Kech

    An overview of standardisation and market practices harmonisation in the Asia- Pacific region.

    No.4, Summer

    pp. 290-294

    Robleh Ali

    Legal entity identifiers: The beginning of a new platform in financial data

    No.4, Summer

    pp. 295-299

    Gary Probert, Asmaah Ali

    Trends in post- trade processing

    No.4, Summer

    pp. 300-307

    Ezra Zask

    Finding financial fraudsters: Quantitative and behavioural finance approaches

    No.4, Summer

    pp. 308-324

    Martin Walker

    The taxation of repos: Key tax risks and how to manage them

    No.1, Summer

    pp. 325-333

    Ted Leveroni

    Collateral management: Factors affecting the supply and demand for collateral and emerging trends and developments in the market

    No.4, Summer

    pp. 334-341

    Isabelle Tykoczinski

    Building a risk framework under AIFMD

    No.4, Summer

    pp. 342-349

    Jamie Stevenson

    The role of the custodian in servicing the reporting needs of the securities industry

    No.4, Summer

    pp. 350-359

    Tony Freeman

    Europe gets ready for T+2

    No.4, Summer

    pp. 360-366

    Vasanth Sandilya Balasubrmanian

    A primer on fee calculation in wealth management

    No.4, Summer

    pp. 367-372

    Andy Hill

    Collateral is the new cash: The systemic risks of inhibiting collateral fluidity

    No.1, Fall

    pp. 6-20

    Pascal Beurotte, Georges Bory

    Societe Generale corporate and investment banking: How we monitor market risk

    No.1, Fall

    pp. 21-26

    Emily Cates

    The EMIR compliance game

    No.1, Fall

    pp. 27-35

    Deborah Culhane

    Regulations impacting corporate actions and best practices for implementation

    No.1, Fall

    pp. 36-41

    Mark Ho

    Client clearing: Portability between clearing members

    No.1, Fall

    pp. 42-50

    Karen Webb

    Developing a straight- through process for corporate actions in Australia

    No.1, Fall

    pp. 51-61

    Ross McGill

    Withholding tax: Issues for securities operations and custody

    No.1, Fall

    pp. 62-68

    Andrew Walker

    Banking without banks: Exploring the disruptive effects of converging technologies that will shape the future of banking

    No.1, Fall

    pp. 69-80

    Vasanth Sandilya alasubrmanian

    Eight practices for successful functional testing of an investment management system

    No.1, Fall

    pp. 81-87

    Journal of Securities Operations and Custody, 2015,Vol.7

    Author

    Title

    number

    Page to Page

    Sarah Dahlgren

    More resilient, better managed, less complex: Strengthening FMUs and linkages in the system

    No.2, Winter

    pp. 100-106

    Gunter Schnaitt

    Investigating the role of the sub- custodian in risk mitigation and who bears the sub- custodian risk

    No.2, Winter

    pp. 107-112

    Eugene Stanfield

    Protecting collateral contributions under the mandatory clearing regime

    No.2, Winter

    pp. 113-127

    Gary Pitts, Terry Grourk

    Chasing shadows? The FCA and the measurement of 'culture'

    No.2, Winter

    pp. 128-138

    Michael Barrett

    A radically new market environment requires comprehensive data- driven digital collateral management

    No.2, Winter

    pp. 139-143

    Ana Giraldo

    Corporate governance for financial market infrastructures

    No.2, Winter

    pp. 144-154

    Tim Garnons-Williams

    Getting ready for TARGET2 Securities (T2S): The time is now

    No.2, Winter

    pp. 155-161

    Linda Riefberg

    When does a company have the choice to waive its attorney- client privilege in the USA?

    No.2, Winter

    pp. 162-171

    Pierre Colladon

    Industrialisation of the back- office function

    No.3, Spring

    pp. 186-195

    Susan Wright

    Asset managers and outsourced activities: What other industries can learn

    No.3, Spring

    pp. 196-203

    Kyle Ringrose

    Measuring performance for 'long- horizon' investing

    No.3, Spring

    pp. 204-217

    Zachary J. Flati

    A modest proposal: Right- sizing exchange immunity

    No.3, Spring

    pp. 218-233

    Roelof van der Struik

    Securities lending as part of responsible and risk- averse asset management

    No.3, Spring

    pp. 234-241

    Koen Vanderheyden

    Central Securities Depositories Regulation: The next systemic crisis waiting to happen?

    No.3, Spring

    pp. 242-252

    Akber Datoo

    Legal contract data: The new reference data challenge for financial firms

    No.3, Spring

    pp. 253-259

    Martin Seagroatt

    The application of mathematical models to measure collateral concentration risk

    No.3, Spring

    pp. 260-268

    Dominique Ansiaux

    Intelligent network management contingency

    No.4, Autumn

    pp. 279-283

    Christopher Johnson

    Managing cross- regulatory data challenges in practice

    No.4, Autumn

    pp. 284-295

    Joanna Perkins

    Evolving financial benchmarks: The impact on legacy contracts

    No.4, Autumn

    pp. 296-304

    Andrea Tranquillini

    Collateral management: Recurring issues and emerging trends

    No.4, Autumn

    pp. 305-311

    Soren F. Mortensen

    Reviewing the implementation of T+2, the impact on the industry and what comes next (T2S)

    No.4, Autumn

    pp. 312-318

    David Nowell, Matthew Vincent

    The evolution of EEA transaction reporting

    No.4, Autumn

    pp. 319-328

    Paul Janssens

    The operational challenges of adopting the LEI

    No.4, Autumn

    pp. 329-336

    Gunnar Stangl

    Coping with European regulatory requirements for automated trading: Best practices and new requirements resulting from regulation

    No.4, Autumn

    pp. 337-347

    Julien Jardelot, Martin Mitov

    The drivers behind the reporting obligations of EMIR, MiFIR and SFTR

    No.4, Autumn

    pp. 348-354

    Timothy O'Halloran

    Funding of research under MiFID II

    No.4, Autumn

    pp. 355-361

    Alaric Gibson, Daniel Simpson

    The Mexican transparency standoff: What will you do 'next time'?

    No.4, Autumn

    pp. 362-369

     


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