Volume 10 (2017-2018)

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

The articles published in Volume 10 are listed below:

Volume 10 Number 4

  • Editorial
    Daryn Moody, Publisher
  • Comment: Second Markets in Financial Instruments Directive: Firms should view the practical challenge of meeting the new record keeping, transaction reporting and best execution requirements not as a bureaucratic nuisance but as an opportunity
    Matt Smith, CEO, SteelEye
  • Innovate or stagnate: Digitalisation in investment management
    David Bates, Managing Partner and Paul Migliore, Global Chief Exectuive Officer, Citisoft
  • SFTR technical standards: Turning data into intelligence
    Nikolay Arnaudov, Senior Policy Officer, Market Department, ESMA
  • The CASS journey
    Gillian Boston, Head of Business Consulting, AutoRek
  • Analyses of market impact based on the published replies to ESMA’s Consultation Paper on the draft technical standards on disclosure requirements, operational standards and access conditions under the Securitisation Regulation
    Achim Sprengard, Managing Partner and Andreas Janzen, Manager, GAR
  • Governing investment funds: The latest trends
    Ingrid Pierce, Global Managing Partner, Walkers
  • Basel IV: IRB 2.0 and interdependencies with the new capital floor
    Martin Neisen, Global Basel IV leader, PricewaterhouseCoopers GmbH
  • Artificial intelligence and financial services: Regulatory tracking and change management
    Adedayo Banwo, Lawyer
  • A primer on cash management
    Geevar Baby, Service Program Manager, BNY Mellon Technology

Volume 10 Number 3

  • Editorial
    Daryn Moody, Publisher
  • Providing assurance on client assets to the financial conduct authority
    Mark Babington, Deputy Director, Audit Policy, Financial Reporting Council
  • How are banking supervision measures influencing banks’ overall risk management?
    Sonja Kardorf, Member of the Board, Investitionsbank Berlin
  • Key compliance priorities of investment advisers: A short global overview
    Andrea Bornatico, Chief Compliance Officer and Co-head of Risk Management, Argentiere Capital
  • Concerns over the Commission’s proposal on investment funds that risks creating additional barriers rather than facilitating cross border fund distribution
    Agathi Pafili, Senior Policy Adviser, EFAMA
  • The securities financing transaction regulation: Practical implications for the securities lending industry
    Ed Oliver, Managing Director, Product Development, eSecLending
  • Making a success of Securities Financing Transactions Regulation
    Jo Hide, Trade Repository Subject Matter Expert, REGIS-TR
  • Enhancing the links between risk appetites and risk processes embedded in the business
    Liezl de Villiers Getz, Head of Operational Risk Identification, Aviva Investors
  • A review of stress test methodology
    Leonhard Riebl, Bank Sector Analyst, European Banking Authority and Pilar Gutierrez, Bank Expert, European Banking Authority
  • Analytical credit dataset, the integrated reporting framework and the banks’ integrated reporting dictionary: Do we overshoot? Or do we undershoot?
    Werner Bier, Deputy Director General Statistics, Jean-Marc Israël Head of Division, ECB DG-Statistics, Antonio Colangelo, Principal Economiststatistician, Analytical Credit and Master Data Division, Riccardo Bonci, Senior Economiststatistician in the Analytical Credit and Master Data Division, ECB
  • EU Benchmark Regulation: Our translation, your transition and the time frame
    Stephen Farrell and Mark Cankett, Partners, Deloitte’s Banking & Capital Markets Audit Group, Deloitte Benchmarks Team

Volume 10 Number 2

  • Editorial
    Daryn Moody, Publisher
  • Comment: Asset management 2020
    Joe Bannister, Chairman, Malta Financial Services Authority
  • The fundamentals of financial product distribution oversight: Towards the age of maturity?
    Sinisa Vacic, Vice President and Senior Manager, Marie Lyons, Assistant Vice President and Manager, Yvan Pipoz, Assistant Vice President and Manager, Capital International Sarl (an affiliate of Capital Group)
  • The state of play of MIFID II on fund distribution
    Matthew Newnham, Head of Business Development and Fund Information, MFEX Mutual Funds Exchange
  • MiFID II, US federal securities laws and investment research: The compliance challenge
    Ethan D. Corey, Senior Vice President and Associate General Counsel, Legal Department, MFS Investment Management
  • Processing of settlement and corporate actions versus mobilising and optimising assets: Can securities operations be more than a cost centre?
    Guido Wille, Executive Board Member, Clearstream Banking Luxembourg
  • Achieving effective oversight where third parties are outsourcing to ‘fourth parties’ in the supply chain
    Tendai Bwanya, director, assurance and funds oversight, Global Fiduciary Platform team, Legg Mason Global Asset Management
  • Outsourcing, new technologies and new technology risks: Current and trending UK regulatory themes, concerns and focuses
    Mark Lewis, commercial and technology practice, Berwin Leighton Paisner
  • The obsession with green: Subconsciously increasing risk in third-party governance
    Don Nguyen, Director, Barings and William Gilson, Independent Director at Investment Funds and Management Companies
  • Should you be banking on RegTech?
    Jane Walshe, CEO and co-founder, Enforcd and Tom Cropper
  • The Municipal Securities Rulemaking Board’s self-regulatory organisation (SRO) model
    Michael L. Post, General Counsel, Municipal Securities Rulemaking Board
  • How will transfer agency continue to be relevant in the current age of disruption?
    Richard Clarkson, Principal Solution Consultant, Oracle

Volume 10 Number 1

  • Editorial
    Daryn Moody, Publisher
  • Wealth management advice in the digital age
    Kendra Thompson, Managing Director, Head, Global Wealth Management Practice, Accenture
  • Advancing the Federal Reserve’s wholesale services in an era of unprecedented challenge and change
    Richard P. Dzina, Executive Vice President, Financial Services Group and Member, Management Committee, Federal Reserve Bank of New York
  • Disclosure of costs and charges under Article 24 MiFID II
    Wolfgang Göb, Head of Business Development, Software Daten Service Gesellschaft
  • Robotics in securities operations
    Shailendra Hegde, Manager, Sriram Gopalakrishnan, Managing Director and Mike Wade, Managing Director, Deloitte & Touche
  • Reaping strategic data benefits from mandatory trade reporting projects
    Hugh Daly, General Manager, Message Automation, Broadridge
  • Securities settlement revolution in Japan: The future of securities settlement
    Eiichiro Yanagawa, Senior Analyst, Celent
  • Regulatory reporting: Success is found in a solid foundation
    Maryse Gordon, Senior Pre-Sales and Business Development Manager, UnaVista
  • Economic incentives and Blockchain security
    Dr Andreas Freund, Senior Manager, TCS
  • Consolidated Audit Trail: Strategic planning and best practices
    Michael Martinen, Managing Principal, George Black, Partner, Ripple Bhullar, Principal Consultant and Victor Marranca, Principal Consultant, Capco
  • An overview of corporate actions
    Lavanya Babu, Senior Business Analyst, iNautix Technologies