Volume 2 (2009-10)

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

The articles published in Volume 2 are listed below:

Volume Two Number Four

  • Building a new financial order: How will the financial markets industry make money in the future?
    Suzanne L. Duncan, Financial Markets Industry Leader and Shanker Ramamurthy, Global Leader, Banking and Financial Markets Industry Consulting, IBM
  • Central counterparties for OTC derivatives: Neither panacea nor placebo
    Daniel Heller, Head, Secretariat, Committee on Payment and Settlement Systems, Bank for International Settlements
  • The European Commission recommendations for simplified procedures for claiming cross-border withholding tax relief
    Rogier Wezenbeek, Principal Administrator, Directorate General, Internal Market and Services, European Commission
  • The new cost basis rules: Preparing to comply without regulations
    Martin Bentsen, Chief Operating Officer, Computer Research
  • Why is operational risk management important?
    Philip Martin, Founder, Enterprise Risk Advisors and Chairman, Institute of Operational Risk
  • The Options Symbology Initiative and industry testing
    David Harrison, VP, Member Services, The Options Clearing Corp
  • Naked short sales and fails to deliver: An overview of clearing and settlement procedures for stock trades in the US
    Talis J. Putnins, Lecturer, Stockholm School of Economics

Volume Two Number Three

  • Strategically responding to industry consolidation
    Robert Mattsson Axén, Head of Product Development, Sub-Custody, Nordea Bank
  • Reforming the OTC derivatives market
    Carlo de Meijer, Senior Researcher, Market Infrastructures, RBS
  • Coping with counterparty risk: Hedge funds and the need for rigorous due diligence
    Marina Lewin, Head of Relationship Management, Alternative Investment Services, The Bank of New York Mellon and Jeremy Todd, Director, Pershing
  • Infrastructure issues in the securities industry: The case for a central counterparty for data management
    Allan Grody, Principal, Financial InterGroup Advisors
  • The future of the Nordic custody business
    Göran Fors, Global Head of Custody Services and Ulf Norén, Head, Sub-Custody Client Relations, SEB
  • Enterprise case and investigation management: A modern vision
    Sean Sullivan, Director, Business Infrastructure, Actimize

Volume Two Number Two

  • How technology will make or break banks attempting to integrate mission-critical processes as a result of a merger
    Ryan Bagnulo, Founder, ASPECT-i
  • Adding value to your firm through operational risk management
    David Breden, Head, HSBC Operational Risk Consultancy Practice
  • XBRL reaches tipping point
    Alfred Berkeley, Chairman & CEO, Pipeline Trading Systems, Donald Donahue, Chairman & CEO, DTCC, Philip Moyer, President & CEO, EDGAR Online and Mark Bolgiano, President & CEO, XBRL US
  • Credit risk management and mitigation
    Darren Measures, Executive Director, JPMorgan
  • A roadmap to achieving STP in corporate actions
    Brett Lancaster, VP and David Hands, Director, Product Management, DTCC
  • The industrialisation of asset management reporting services
    Kai Saathoff, VP, DB Advisors, Deutsche Asset Management
  • The silent revolution: Clearing and settlement in the future
    Godfried DeVidts, Director of European Affairs, ICAP
  • Internal systems and controls to help prevent rogue trading
    Jennifer Moodie, Head of Operational Risk, Business Control Solutions
  • What is the price of a derivative security?
    Sasha Rozenberg, Product Manager, SuperDerivatives

Volume Two Number One

  • The trading environment under MIFiD: One year on
    Carlo de Meijer, Senior Researcher, ABN AMRO Bank
  • Critical operations processes for OTC derivatives in need of attention
    Richard Robinson, former Global Head of Custodian Markets, Omgeo, Brian Lynn, CTO, Global Electronic Markets and Simon Lillystone, Omgeo
  • Risk management in UCITS III funds
    Ravi Beegun, Partner and Pascale Leroy, Director, KPMG
  • Société Genérale’s massive loss Of €4.9 Billion: An insider analysis
    Rita Previtali, former Director, Operational Risk Control, Equity Derivatives, Société Générale
  • Legal issues in China’s QDII regime: Opportunities and Challenges
    James Walker, Mark Shipman, Yang Tie Cheng and Zhang Nan, Clifford Chance
  • Fund administration: Alternative investment industry overview; Administrator selection and best practices
    Udit Gambhir, Wholesale Banking, Standard Chartered Bank
  • Booking the US taxation of corporate actions correctly under the new cost basis reporting law
    Stevie Conlon, GainsKeeper, WoltersKluwer Financial Services

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