Volume 1 (2007-08)

Each volume of Journal of Securities Operations & Custody consists of four quarterly 100-page issues.

The articles published in Volume 1 are listed below:

Volume One Number Four

  • Has the EU Code of Conduct for market infrastructures delivered measurable benefits for users?
    Angela Knight, Chief Executive, Cassandra Kenny, Policy Advisor for Market Infrastructures and Alex Merriman, Executive Director, British Bankers’ Association
  • Managing operational risk in a rapidly changing environment
    Joseph Iraci, SVP, Risk Management and Bryan Baas, Senior Director, Operational Risk, Fidelity Investments
  • Are your securities operations sufficiently resilient? A business continuity briefing
    Alton Harvey, Chief, Office of Contingency Planning, Division of Trading and Markets, US Securities and Exchange Commission
  • Operational risk management and control: Managing data as a key enterprise asset
    Steve Manz, former Group President and Nolan Gesher, Senior Relationship Manager, ProfitStars
  • Global sourcing within the investment management industry: The road ahead
    Martyn Cuff, Director, Head of Operations, Allianz Global Investors
  • Effective reconciliation of trading: Managing and mitigating operational risk
    Colin Day, VP, SunGard
  • What do we want from the transfer agency service provider?
    Christophe Lentschat, Head of Sales, Product Development & Marketing, European Fund Administration
  • Redemption payments: Proposed rules for U.S. withholding tax under Section 302
    Richard Ryndak, Michael Ouderkirk and Jonathan Mosier, CCH Capital Changes

Volume One Number Three

  • Servicing derivatives positions: Challenges and best practices amid a convergence of market utilities
    Neil Wright, Head, Derivative Product and Strategy Group, State Street
  • Best practices in achieving an efficient reconciliation system
    Joseph Conway, SVP, Brown Brothers Harriman
  • The race for European financial unity: Where is it going?
    Joël Mérère, Vice Chairman, Euroclear
  • Standards migration: 15022 vs. 20022
    Chris Pickles, Manager, Industry Relations, BT Global Financial Services
  • Advancements in listed derivatives post-trade automation
    Matt Simpson, Associate Director, CME Group
  • The European Code of Conduct for clearing and settlement: Towards more interoperability?
    Ruud Sleenhoff, SVP, Market Infrastructures and Carlo de Meijer, Senior Researcher, ABN AMRO Bank
  • Data governance: Supporting data-centric risk management
    Aaron Weller, Associate Director, Technology Risk, Protiviti
  • Assessing the real impact of securities lending upon the corporate governance landscape
    Mark Faulkner, CEO, Data Explorers

Volume One Number Two

  • Will financial market data be sufficiently consolidated and of high enough quality under MiFID?
    Karel Lanoo, Chief Executive, Centre for European Policy Studies
  • What can the buy-side and sell-side do to minimise settlement fails?
    Christopher Marzullo, Senior Manager, Fixed Income Middle Office Trade Support, Lord Abbett & Co, Fred Lipinski, Director, Nomura Securities and Peter W. Kelly, Merrill Lynch
  • Developing an optimal custodian relationship management strategy
    Philip J. Brown, General Manager, Clearstream Banking
  • STP: Current trends driving investment and how to deploy a strategic plan without disrupting business operations
    Kaj Pedersen, Chief Operating Officer, Pendo Systems
  • OTC derivatives processing: Challenges and opportunities facing asset servicers
    Cherie A. Graham, Head of Derivatives Product Group, Brown Brothers Harriman
  • Operational risk red flags: Lessons learned from ten hedge fund blow-ups
    Penny Cagan, Managing Director, Algorithmics/Fitch Group
  • General meeting-related processes in Italy: The role of listed companies, intermediaries and CSDs in light of recent EU developments
    Carmine DiNoia, Deputy Director General, Matteo Gargantini, Capital Market Department, Assonime and Salvatore Lo Giudice, Economist, CONSOB

Volume One Number One

  • Reducing risk and costs in cross border securities transactions: Are Hague and UNIDROIT the missing pieces in the puzzle?
    Kirsty Davenport, Senior Associate and Dermot Turing, Partner, Clifford Chance
  • Credit derivatives processing: A buy-side perspective on how to cope with rapidly increasing volumes
    James P. Wallin, SVP, AllianceBernstein Fixed Income
  • The EU code of conduct for clearing and settlement: Background, status and challenges for the securities industry
    Stefan Mai, Director, Head of Section Market Policy, Deutsche Börse
  • TARGET2–Securities: What are the challenges and opportunities for CSDs and custodians?
    Katja Rosenkranz, Director, Head of Strategy and Tomas Kindler, Head of Marketing & Sales Support, Clearstream Banking
  • An implementation roadmap for overcoming Giovannini barriers
    Andrew J. Muir, Senior Market Manager, Market Reform Group, SWIFT
  • The state of operational risk management: An industry fighting itself?
    Richard Robinson, Global Head of Custodian Markets, Omgeo
  • Operational due diligence considerations for multi-jurisdictional hedge fund analysis
    Jason Scharfman, Director, Morgan Stanley – Graystone Research
  • Identifying warning signs of operational weakness in hedge funds and exercising rights as an investor
    Julian Korek, Founding Member and Ann-Sofie Alsbro, Consultant, Kinetic Partners
  • Case study in automating and off-shoring the reconciliation process
    John Coker, CEO, Motif & John Petryszyn, Director of Operations, Affiliated Computer Services

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