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Content
September 2018, Volume 10, Issue 4
June 2018, Volume 10, Issue 3
- 196-197 Editorial
by Unknown
- 198-201 Providing assurance on client assets to the financial conduct authority
by Babington, Mark
- 202-209 How are banking supervision measures influencing banks’ overall risk management?
by Kardorf, Sonja
- 210-221 Key compliance priorities of investment advisers: A short global overview
by Bornatico, Andrea M.
- 222-226 Concerns over the Commission’s proposal on investment funds that risks creating additional barriers rather than facilitating cross border fund distribution
by Pafili, Agathi
- 227-234 The securities financing transaction regulation: Practical implications for the securities lending industry
by Oliver, Ed
- 235-240 Making a success of Securities Financing Transactions Regulation
by Hide, Jo
- 241-253 Enhancing the links between risk appetites and risk processes embedded in the business
by De Villiers Getz, Liezl
- 254-267 A review of stress test methodology
by Riebl, Leonhard & Gutierrez, Pilar
- 268-278 Analytical credit dataset, the integrated reporting framework and the banks’ integrated reporting dictionary: Do we overshoot? Or do we undershoot?
by Bier, Werner & Israël, Jean-Marc & Colangelo, Antonio & Bonci, Riccardo
- 279-283 EU Benchmark Regulation: Our translation, your transition and the timeframe
by Farrell, Stephen & Cankett, Mark
March 2018, Volume 10, Issue 2
- 100-102 Editorial
by Unknown
- 103-106 Asset management 2020
by Bannister, Joe
- 107-116 The fundamentals of financial product distribution oversight: Towards the age of maturity?
by Vacic, Sinisa & Lyons, Marie & Pipoz, Yvan
- 117-124 The state of play of MIFID II on fund distribution
by Newnham, Matthew
- 125-130 MiFID II, US federal securities laws and investment research: The compliance challenge
by Corey, Ethan D.
- 131-136 Processing of settlement and corporate actions versus mobilising and optimising assets: Can securities operations be more than a cost centre?
by Wille, Guido
- 137-144 Achieving effective oversight where third parties are outsourcing to ‘fourth parties’ in the supply chain
by Bwanya, Tendai
- 145-156 Outsourcing, new technologies and new technology risks: Current and trending UK regulatory themes, concerns and focuses
by Lewis, Mark
- 157-166 The obsession with green: Subconsciously increasing risk in third-party governance
by Nguyen, Don & Gilson, William
- 167-175 Should you be banking on RegTech?
by Walshe, Jane & Cropper, Tom
- 176-183 The Municipal Securities Rulemaking Board’s self-regulatory organisation (SRO) model
by Post, Michael L.
- 184-189 How will transfer agency continue to be relevant in the current age of disruption?
by Clarkson, Richard
January 2018, Volume 10, Issue 1
- 4-5 Editorial
by Unknown
- 6-11 Wealth management advice in the digital age
by Thompson, Kendra
- 12-17 Advancing the Federal Reserve’s wholesale services in an era of unprecedented challenge and change
by Dzina, Richard P.
- 18-28 Disclosure of costs and charges under Article 24 MiFID II
by Göb, Wolfgang
- 29-37 Robotics in securities operations
by Hegde, Shailendra & Gopalakrishnan, Sriram & Wade, Mike
- 38-44 Reaping strategic data benefits from mandatory trade reporting projects
by Daly, Hugh
- 45-56 Securities settlement revolution in Japan: The future of securities settlement
by Yanagawa, Eiichiro
- 57-66 Regulatory reporting: Success is found in a solid foundation
by Gordon, Maryse
- 67-76 Economic incentives and Blockchain security
by Freund, Dr Andreas
- 77-83 Consolidated Audit Trail: Strategic planning and best practices
by Martinen, Michael & Black, George & Bhullar, Ripple & Marranca, Victor
- 84-90 An overview of corporate actions
by Babu, Lavanya
September 2017, Volume 9, Issue 4
- 298-301 What a year: MiFID II/MiFIR, EMIR RTS, SFTR and SEC SBSR
by Altman, Lloyd
- 302-312 Assessing cybersecurity risks and practices in the broker-dealer industry
by Trottman-Adewumi, Yolanda & Kelley, David & Smuglin, Len & Markovich, Gregory
- 313-320 The identifier challenge: Attributes of MiFID II that cannot be ignored
by Young, Richard
- 321-328 Best execution reporting requirements for electronic communications under MiFID II
by Smith, Robin
- 329-333 Dark execution strategies under MiFID II: A few shades lighter?
by Mensah, Danielle
- 334-340 MiFID II and the relationship between public markets and systematic internalisers
by Fischer, Artur & Murphy, David
- 341-346 US Securities and Exchange Commission suggests greater actions may be required under its custody rule
by Felsenthal, Steven M. & Loffreno, Frank
- 347-355 Distributed ledger technology: Implications of blockchain for the securities industry
by Workie, Haimera & Jain, Kavita
- 356-373 Securities settlement revolution: Japanese Government Bonds move to T+1 with the advent of a new repo market
by Yanagawa, Eiichiro
- 374-390 Resolving the disconnect between risk appetites, tolerances, exposures and monitoring measurements
by Getz, Liezl De Villiers
July 2017, Volume 9, Issue 3
- 196-197 Editorial
by Unknown
- 198-205 SWIFT’s customer security programme: Preventing, detecting and responding to the growing cyber threat
by Gilderdale, Stephen
- 206-214 The impact of regulation on buyside users of derivatives
by Lund, John
- 215-224 Building an effective compliance risk assessment programme for a financial institution
by Nicolas, Stephanie & May, Paul V.
- 225-235 CSDs and the challenges of financial integration and financial stability
by Ravalo, Theresa B.
- 236-244 Financial crime compliance in securities custody and settlement: ISSA’s principles and their implementation
by Staehli, Urs
- 245-251 Securities market automation from standards to self-learning machines: Current state and future perspectives
by Ehrenfeld, Jonathan
- 252-258 AnaCredit: Why it matters to look at other regulations in context
by Dorval, Michel
- 259-268 The EU’s new regulatory framework: The auditor’s perspective
by Dennett, Simon
- 269-292 The case for a ‘sovereign’ distributed securities depository for securities settlement
by Everett, Steve & Calitz, André & Greyling, Jean
March 2017, Volume 9, Issue 2
- 96-97 Editorial
by Unknown
- 98-105 Recovery and resolution regimes for CCPs: Making financial markets resilient to the most extreme events
by Plata, Rafael
- 106-116 Moving the USA to T+2 settlement
by Schneider, Lee A. & Tessler, Lilya & Lascelles, Clare K.
- 117-126 Funds automation in Asia Pacific: A state of the union, a 2025 vision
by Chong, Jean & Kech, Alexandre
- 127-140 Linkages of stress, reverse stress and wind-down
by Getz, Liezl De Villiers
- 141-159 Remaking the corporate bond market: The state and evolution of the European investment grade corporate bond secondary market
by Hill, Andy
- 160-177 Bracing for the FRTB: Capital, business and operational impact
by Farag, Hany M.
- 178-184 Collateral management: Addressing different regulatory requirements
by Heckler, Jan
- 185-191 Managing operational risk in relation to internal capital adequacy assessment process (ICAAP)
by Baijal, Rajat
January 2017, Volume 9, Issue 1
- 4-5 Editorial
by Unknown
- 6-17 Navigating the US Securities and Exchange Commission's evolving expectations for cybersecurity preparedness
by Martinez, Vincente L. & Koeppel, Erin Ardale & Amorosi, Mark
- 18-24 Challenges of regulatory reporting
by Boston, Gillian
- 25-29 Collateral management: A changing landscape
by Java, Mayur & Carman, Julianne & Thoman, Max & Shah, Manan
- 30-37 Cost model evolution of custody
by Fors, Göran
- 38-46 The future of European financial market infrastructure: A business case for distributed ledger technology?
by Bullmann, Dirk & Pinna, Andrea
- 47-56 Preparing for AnaCredit: A timely start is crucial
by Broersen, Paul & Koppen, Ronald
- 57-61 Trade surveillance in a global context
by Carreiro, Lynne & Anderson, Flavia
- 62-70 Utilities in capital markets: New frontier for operational transformation
by Ray, Arin
- 71-75 The US municipal securities market’s self-regulatory organisation seeks efficiency and risk management improvements in securities operations
by Kelly, Lynnette & Vouté, Barbara
- 76-82 Benefits of an international board and the opening of global markets
by Ford, Noel
October 2016, Volume 8, Issue 4
- 284-285 Editorial
by Unknown
- 287-291 Blockchain YES, blockchain NO: An outsider (non-IT expert) view
by Tranquillini, Andrea
- 292-297 Examining the future of regulatory reporting for the banking industry
by Visnovsky, Frédéric
- 298-305 Generating returns through better relationships: How managed custody accounts benefit managers and investors
by Hickey Iii, Thomas A. & Fross, Stuart E. & Resendiz, Gustavo & Nee, Kenneth C.
- 306-310 Corporate actions and the need for market efficiency
by Westhuizen, Bennie Van Der
- 311-321 Understanding the EU’s approach to harmonised regulatory reporting
by Petrenko, Olga
- 322-329 Blockchain and the securities industry: Towards a new ecosystem
by Meijer, Carlo R. W. De
- 330-340 A new European approach to transaction reporting
by Bannigan, Vivienne
- 341-355 Anti-money laundering and sanctions compliance challenges for custody services
by Levin, Sharon Cohen & Gutierrez, Franca Harris & Carroll, Katrina & Alper, Elijah
- 356-363 Reconciliations: The forefront of regulatory compliance procedures
by Gordon, Maryse
August 2016, Volume 8, Issue 3
- 184-186 Editorial
by Moody, Daryn
- 187-190 Trade and transaction reporting challenges facing buy-side firms
by Hayter-Holt, Angela
- 191-196 Fixed income pre- and post-trade transparency
by Singh-Muchelle, Arjun
- 197-200 The FRTB: Do not underestimate the standardised approach
by Hortin, Nicola
- 201-207 The changing role of the network manager: Is network management morphing into vendor governance?
by Holmqvist, Sandra & Fors, Göran
- 208-227 Financial technology: Blockchain and securities settlement
by Mori, Taketoshi
- 218-227 Clarifying MiFID II: Pre-trade transparency for non-equities
by Morad, Miranda & Waight, Jason
- 228-237 The G20 leaders’ financial reform and its impact on EU banks’ back-office function
by Stubbe, Michel M.
- 238-247 Assessing the practical impacts of the EU derivatives trading obligation
by Øverland, Elisabeth
- 248-258 Panama papers highlight the urgency: From FATCA to the OECD CRS
by Moss, Meredith
- 259-271 Evolution of collateral ‘management’ into collateral ‘optimisation’
by Aydin, Bilgehan
- 272-277 MiFID II and regulatory transaction reporting
by Farhadi, Nirvana
March 2016, Volume 8, Issue 2
- 96-98 Editorial
by Moody, Daryn
- 99-100 Progress, or simply the start of the real chaos?
by Datoo, Akber
- 101-105 Emerging trends in securities services and how Deutsche Bank is responding to them
by Singh, Satvinder
- 107-112 Fintech and the future of securities services
by Campenon, Bruno
- 113-118 Operational alpha and reconciliation solutions for growing asset managers
by Merrell, Todd W.
- 119-125 ‘Check yourself before you rec. yourself’: Eight things to consider when embarking on a reconciliation project
by Chapman, Andrew
- 126-131 Europe’s plumbers: Keeping capital flowing
by Bayle, Marc
- 132-145 An industry ontology for risk data aggregation reporting
by Bennett, Mike
- 146-150 A review of RMB internationalisation, investment and financial products with assessment of past trends and discussion of likely future developments
by Dirckx, Philippe
- 151-156 Global securities reporting: Industry trends, challenges and future perspectives
by Ehrenfeld, Jonathan
- 157-162 The challenges of complying with the FCA’s client assets regime
by Huby, Kevin
- 163-175 Fundamentals of market discipline and custody risk management
by Coskun, Yener
January 2016, Volume 8, Issue 1
- 4-8 How are agents dealing with network managers in the new regulatory environment?
by Schnaitt, Günter
- 9-11 Collateral management: A waiting game
by Laurensy, Philippe
- 12-17 Back to the future: The changing nature of securities service provision
by Scott, Rob
- 18-27 Towards a convergence of CSD account segregation practices?
by Belghazi, Soraya
- 28-34 How investors can enter new markets and the questions they should ask their custodian
by Maloney, Sonia
- 35-40 Enhancing the quality of risk reporting: The roles of the risk decision maker and the accountable executive
by Kerle, Kathryn
- 41-45 Collateral management — Winners or losers in five years’ time?
by Ruault, Philippe
- 46-55 Process leadership and managing process performance: Two elements that make the difference in process management
by Deenitchin, Iassen & Dmitriev, Dmitriy & Hebenstreit, Gert
- 56-64 Process improvement in the banking sector
by Kovacs, Zsofia
- 65-81 BCBS239: Reasons, impacts, framework and route to compliance
by Chakravorty, Rajib
- 82-87 The hidden costs of outsourcing: A case study
by Gašparac, Davor
September 2015, Volume 7, Issue 4
- 276-278 Editorial
by Moody, Daryn
- 279-283 Intelligent network management contingency
by Ansiaux, Dominique
- 284-295 Managing cross-regulatory data challenges in practice
by Johnson, Christopher
- 296-304 Evolving financial benchmarks: The impact on legacy contracts
by Perkins, Joanna & Mortby, Paul
- 305-311 Collateral management: Recurring issues and emerging trends
by Tranquillini, Andrea
- 312-318 Reviewing the implementation of T+2, the impact on the industry and what comes next (T2S)
by Mortensen, Søren F.
- 319-328 The evolution of EEA transaction reporting
by Nowell, David & Vincent, Matthew
- 329-336 The operational challenges of adopting the LEI
by Janssens, Paul
- 337-347 Coping with European regulatory requirements for automated trading: Best practices and new requirements resulting from regulation
by Stangl, Gunnar
- 348-354 The drivers behind the reporting obligations of EMIR, MiFIR and SFTR
by Jardelot, Julien & Mitov, Martin
- 355-361 Funding of research under MiFID II
by O’Halloran, Timothy
- 362-369 The Mexican transparency standoff: What will you do ‘next time’?
by Gibson, Alaric & Simpson, Daniel
March 2015, Volume 7, Issue 3
- 184-185 Editorial
by Tamplin, Robert
- 186-195 Industrialisation of the back-office function
by Colladon, Pierre
- 196-203 Asset managers and outsourced activities: What other industries can learn
by Wright, Susan
- 204-217 Measuring performance for ‘long-horizon’ investing
by Ringrose, Kyle
- 218-233 A modest proposal: Right-sizing exchange immunity
by Flati, Zachary J.
- 234-241 Securities lending as part of responsible and risk-averse asset management
by Van Der Struik, Roelof
- 242-252 Central Securities Depositories Regulation: The next systemic crisis waiting to happen?
by Vanderheyden, Koen & Reucroft, Tim
- 253-259 Legal contract data: The new reference data challenge for financial firms
by Datoo, Akber
- 260-268 The application of mathematical models to measure collateral concentration risk
by Seagroatt, Martin & Cockram, Ed
February 2015, Volume 7, Issue 2
- 97-99 Editorial
by Moody, Daryn
- 100-106 More resilient, better managed, less complex: Strengthening FMUs and linkages in the system
by Dahlgren, Sarah
- 107-112 Investigating the role of the sub-custodian in risk mitigation and who bears the sub-custodian risk
by Schnaitt, Günter
- 113-127 Protecting collateral contributions under the mandatory clearing regime
by Stanfield, Eugene
- 128-138 Chasing shadows? The FCA and the measurement of ‘culture’
by Pitts, Gary & Grourk, Terry
- 139-143 A radically new market environment requires comprehensive data-driven digital collateral management
by Barrett, Michael
- 144-154 Corporate governance for financial market infrastructures
by Giraldo, Ana
- 155-161 Getting ready for TARGET2 Securities (T2S): The time is now
by Garnons-Williams, Tim
- 162-171 When does a company have the choice to waive its attorney-client privilege in the USA?
by Riefberg, Linda & Passavia, Christopher
October 2014, Volume 7, Issue 1
- 4-5 Editorial
by Moody, Daryn
- 6-20 Collateral is the new cash: The systemic risks of inhibiting collateral fluidity
by Hill, Andy
- 21-26 Société Générale corporate and investment banking: How we monitor market risk
by Beurotte, Pascal & Bory, Georges
- 27-35 The EMIR compliance game
by Cates, Emily
- 36-41 Regulations impacting corporate actions and best practices for implementation
by Culhane, Deborah
- 42-50 Client clearing: Portability between clearing members
by Ho, Mark
- 51-61 Developing a straight-through process for corporate actions in Australia
by Webb, Karen
- 62-68 Withholding tax: Issues for securities operations and custody
by Mcgill, Ross
- 69-80 Banking without banks: Exploring the disruptive effects of converging technologies that will shape the future of banking
by Walker, Andrew
June 2014, Volume 6, Issue 4
- 288-289 Editorial
by Moody, Daryn
- 290-294 An overview of standardisation and market practices harmonisation in the Asia-Pacific region
by Kech, Alexandre
- 295-299 Legal entity identifiers: The beginning of a new platform in financial data
by Ali, Robleh
- 300-307 Trends in post-trade processing
by Probert, Gary & Ali, Asmaah
- 308-324 Finding financial fraudsters: Quantitative and behavioural finance approaches
by Zask, Ezra
- 325-333 The taxation of repos: Key tax risks and how to manage them
by Walker, Martin
- 334-341 Collateral management: Factors affecting the supply and demand for collateral and emerging trends and developments in the market
by Leveroni, Ted
- 342-349 Building a risk framework under AIFMD
by Tykoczinski, Isabelle
- 350-359 The role of the custodian in servicing the reporting needs of the securities industry
by Stevenson, Jamie
- 360-366 Europe gets ready for T + 2
by Freeman, Tony
- 367-372 A primer on fee calculation in wealth management
by Balasubrmanian, Vasanth Sandilya
March 2014, Volume 6, Issue 3
- 196-197 Editorial
by Moody, Daryn
- 198-205 The implementation of the G20 mandate in the EU: Will financial markets be safer than five years ago?
by Plata, Rafael
- 206-211 Compliance rules for an effective investment management system
by Balasubrmanian, Vasanth Sandilya
- 212-219 CSD regulation: A major change for the post-trade arena
by Dubrau, François
- 220-227 UCITS VI: In practice
by Muller, Charles & Braunstein, Clara
- 228-233 The Swiss Collective Investment Schemes Act: New challenges and opportunities for fund managers and investors
by Scharfman, Jason
- 234-239 Valuing illiquid and ‘hard to value’ assets
by Larsen, David L.
- 240-263 Margins and financial collateral for derivatives contracts: How to deal with procyclical implications in a financial crisis
by Tambucci, Martina
- 264-269 Outsourcing and delegation in the post-AIFMD environment
by Brett, Shane
- 270-281 Developing and implementing an appropriate surveillance system and organisation
by Nylén, Peter
January 2014, Volume 6, Issue 2
- 100-101 Editorial
by Moody, Daryn
- 102-112 Preparing to comply with the CSD Regulation
by Belghazi, Soraya
- 113-121 Assessing the potential impact of the AIFMD on the UCITS industry: Threat or opportunity?
by Delfrayssi, Carine
- 122-131 TARGET2-Securities: A platform for solving some of the key structural issues raised by the financial crisis and its aftermath
by Brown, Philip
- 132-137 Essential features of a portfolio management system
by Vasanth, Sandilya B.
- 138-149 Industrialisation of securities and derivatives transaction processing: Silos in the past, platforms today and functional modules in the future
by Holz, Andreas & Neumann, Frank & Milkau, Udo
- 150-166 Capital market trends in Japan: The birth of a new exchange
by Yanagawa, Eiichiro
- 167-173 Cross-border securities settlement in Europe: Improvements so far
by Van Wageningen, Ariena J.
- 174-180 Assessing buy-side preparations for meeting derivatives reform under the European Market Infrastructure Regulation
by Goodchild, Elspeth
- 181-188 Overview of the UK intergovernmental agreement for FATCA implementation
by Bjorkberg, Bengt & Leiva, Ricardo & Afolabi, Yemi
August 2013, Volume 6, Issue 1
Printed from https://ideas.repec.org/s/aza/jsoc002.html
