Volume 4, 2011-12

Each volume of Journal of Securities Operations & Custody consists of four quarterly 100-page issues. The articles published in Volume 4 were:

Volume Four, Number Four

• Risk management in securities settlement systems
  John Trundle, Chief Risk Officer, Euroclear
• OTC derivatives: How OTC will they be? A buy-side view
  Kerstin Grosse-Nobis, Head of Legal Department and Distribution Operations, WestLB Mellon Asset Management
• How to get issuers fully involved in the corporate actions process
  Werner Frey, Managing Director, Association for Financial Markets in Europe
• The role of market infrastructures in OTC derivatives markets
  Jesus Benito, CEO, IBERCLEAR
• Investigating the role of the sub-custodian in risk mitigation
  Gunter Schnaitt, Managing Director, Head of Global Securities Services Austria, UniCredit Bank
• The great race: Investment managers apply new technologies to get ahead
  Phil Tattersall, European Director of Consulting, Cutter Associates
• Outsourcing for fund managers: Demystifying the regulatory structure
  Amanda Lewis, Partner and Emma Radmore, Senior Associate, SNR Denton
• IT and equities operations: 12 best practices
  Vasanth Sandilya, Senior Consultant, Infosys
• The integrity of the price: Issues for securities fraud plaintiffs and defendants in US class actions
  Daniel E. Holloway, counsel, Boies, Schiller & Flexner

Volume Four, Number Three

• How will T2S affect the European securities landscape?
  Richard Turrell, Clearing & Custody Services, BNP Paribas Securities Services
• Preventing market abuse: Can market surveillance really improve amidst fragmentation and low-cost competition?
  Annika von Haartman, Head of Surveillance, NASDAQ OMX
• A common platform model for Asia: How will an inter-Asian and cross-border processing infrastructure benefit Asian capital markets?
  Shu Pui Li, Head, Financial Infrastructure Development, Hong Kong Monetary Authority
• CSD regulation: The missing piece in the European post-trade puzzle?
  Soraya Belghazi, Secretary General, European Central Securities Depositories Association
• Renminbi cross-border trade settlement
  Carlo R. W. de Meijer, Senior Researcher, Market Infrastructures, RBS
• Evolution of the Romanian post-trade environment: Embracing the new European post-trade realities
  Adriana Tanasoiu, CEO, Central Depository, Romania
• Leveraging a shared infrastructure to trade across asset classes, regions and strategies
  Eugen Tjong, Head of Enterprise Solutions Real-Time, Asia-Pacific, Thomson Reuters
• Advancing transparency and harmonisation in corporate actions processing: Where are we now and where are we headed?
  Tim Hamer, Director, Securities Markets, Asia Pacific, SWIFT Services Australia
• Cost basis reporting: The impact on investment advisers
  Jeff Gowan, Senior Product Manager and Aaron Adolphson, Product Manager, Advent Software

Volume Four, Number Two

• Using the SwapClear Client Clearing Service to meet today’s challenges in the interest rate swaps market
  Matteo Bertotti, Head of Fixed Income Derivatives and Andrea Girometti, Senior IR Derivatives trader, MPS Capital Services
• Assets or liabilities? Custodian risk in the new regulatory paradigm
  Bill Scrimgeour, Global Head of Regulatory and Industry Affairs, HSBC
• The limitations of transparency policy in OTC markets and derivatives trading
  Yener CoÅŸkun, Chief Expert, Intermediary Activities Department, Capital Markets Board of Turkey
• Addressing risk through best practice in Japan: Shortening settlement cycles, imposing fail charges
  Taketoshi Mori, Head of Securities Market Infrastructure - Global Network Management, Bank of Tokyo-Mitsubishi UFJ
• What is the true role and value of custody within correspondent banking?
  Richard Fodder, Head of Investor Services, Brown Brothers Harriman
• UCITS IV nuts and bolts: What to expect under the new regulatory regime
  Ken Owens, Partner, Asset Management Group and Suzanne Senior, Consultant, PricewaterhouseCoopers
• Hidden operational drivers for increased fund expense ratios uncovered: Reducing the impact of increased order fragmentation on clearing and custody
  Scott Kurland, Director, ITG

Volume Four, Number One

• The rapidly changing market infrastructure supporting the OTC derivatives markets
  Marc Hollanders, Special Adviser on Financial Infrastructure, Bank for International Settlements
• CSD cross-border linkages: How is the landscape evolving?
  Gagan Rai, Managing Director and CEO, National Securities Depository, India
• Cross-border fund distribution operations: Making investment funds easily accessible to global investors - A wake up call
  Sebastien Chaker, Managing Director, Calastone Transaction Network
• MiFID II: Towards a consolidated tape in Europe
  Carlo de Meijer, Senior Researcher, Market Infrastructures, RBS
• The mandatory clearing regime as proposed in the EMIR-Regulation
  Bas Zebregs, Senior Legal Counsel, Asset Management, APG All Pensions Group
• Legal considerations when managing counterparty credit risk in OTC derivatives
  Edward Miller, Partner and Sarah Reid, Associate, Field Fisher Waterhouse
• 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?
  Brian Goldsmith, Head of Law and Compliance (Asia Pacific), Liquid Capital Group