Volume 9, 2016-17

Each volume of Journal of Securities Operations & Custody consists of four quarterly 100-page issues. The articles published so far in the current volume, Volume 9, are:

Volume 9 Number 4

  • What a year! MiFID II/MiFIR, EMIR RTS, SFTR, and don’t forget SEC SBSR
    Lloyd Altman, Partner, RegTek.Solutions
  • Assessing cybersecurity risks and practices in the broker-dealer industry
    Yolanda Trottman-Adewumi, Surveillance Director, David Kelley, Surveillance Director, Len Smuglin, IT Exam Manager and Gregory Markovich, Regulatory Principal, FINRA
  • The identifier challenge: Attributes of MiFID II that cannot be ignored
    Richard Young, ‎Industry and Regulatory Affairs, ‎Bloomberg
  • Best execution reporting requirements for electronic communications under MiFID II
    Robin Smith, International Technical Director, Actiance
  • Dark execution strategies under MiFID II: A few shades lighter?
    Danielle Mensah, Head of Cash Markets and Deputy Head of Markets & Global Sales, Euronext
  • MiFID II and the relationship between public markets and systematic internalisers
    Artur Fischer, Joint CEO, Börse Berlin & CEO, Equiduct and David Murphy, Head of Market Operations, Equiduct
  • US Securities and Exchange Commission suggests greater actions may be required under its custody rule
    Steven M. Felsenthal, General Counsel and Chief Compliance Officer, and Frank Loffreno, New York Law School and Legal and Compliance Intern, Millburn Ridgefield Corporation
  • Distributed ledger technology: Implications of blockchain for the securities industry
    Haimera Workie, Senior Director and Kavita Jain, Director, Office of Emerging Regulatory Issues, FINRA
  • Securities settlement revolution: Japanese Government Bonds move to T+1 with the advent of a new repo market
    Eiichiro Yanagawa, Senior Analyst, Celent
  • Resolving the disconnect between risk appetites, tolerances, exposures and monitoring measurements
    Liezl de Villiers Getz, Head of Risk Identification, Aviva Investors

Volume 9 Number 3

  • SWIFT’s customer security programme: Preventing, detecting and responding to the growing cyber threat
    Stephen Gilderdale, Managing Director for the UK, Ireland and Nordics, SWIFT
  • The impact of regulation on buyside users of derivatives
    John Lund, Independent Practitioner
  • Building an effective compliance risk assessment programme for a financial institution
    Stephanie Nicolas, Partner, Securities Department, WilmerHale and Paul V. May, Chief Compliance Officer, ABN AMRO Securities
  • CSDs and the challenges of financial integration and financial stability
    Ma. Theresa B. Ravalo, President and COO, Philippine Depository and Trust Corp. and Philippine Securities Settlement Corp.
  • Financial crime compliance in securities custody and settlement: ISSA’s principles and their implementation
    Urs Staehli, Secretary, International Securities Services Association
  • Securities market automation from standards to self-learning machines: Current state and future perspectives
    Jonathan Ehrenfeld, Head of Securities Markets & FX, SWIFT
  • AnaCredit: Why it matters to look at other regulations in context
    Michel Dorval, Senior Strategist, Regulatory Compliance, Finastra 
  • The EU’s new regulatory framework: The auditor’s perspective
    Simon Dennett, Analyst, European Court of Auditors
  • The case for a ‘sovereign’ distributed securities depository for securities settlement
    Steve Everett, General Manager, Strate Collateral Management Services, André Calitz, Professor, and Jean Greyling, Associate Professor, Department of Computing Sciences, Nelson Mandela University

Volume 9 Number 2

  • Recovery and resolution regimes for CCPs: Making financial markets resilient to the most extreme events
    Rafael Plata, Secretary General, European Association of CCP Clearing Houses
  • Moving the USA to T+2 settlement
    Lee A. Schneider, Member, Debevoise & Plimpton’s Corporate Department, Lilya Tessler, Corporate Associate & Member and Clare K. Lascelles Corporate Associate & Member, Debevoise & Plimpton’s Financial Institutions Group
  • Funds automation in Asia Pacific: A state of the union, a 2025 vision
    Jean Chong, Manager, Securities & FX Markets team, and Alexandre Kech, Head of Securities & FX Markets, APAC, SWIFT
  • The challenge of linking stress testing, reverse stress test and wind-down
    Liezl DeVilliers, Risk Manager, Aviva
  • Remaking the corporate bond market: The state and evolution of the European investment grade corporate bond secondary market
    Andy Hill, Senior Director, International Capital Market Association
  • Bracing for the FRTB: Capital, business and operational impact
    Hany Farag, Senior Director, Head of Methodology and Analytics, Capital Markets Risk Management CIBC
  • Collateral management: Addressing different regulatory requirements
    Jan Heckler, Head Asset Management Business Services and Gesine Gehring, Head Asset Management Operations, Swiss Re 
  • Managing operational risk in relation to internal capital adequacy assessment process (ICAAP)
    Rajat Baijal, Head of Enterprise Risk, Cantor Fitzgerald

Volume 9 Number 1

  • Navigating the US Securities and Exchange Commission’s evolving expectations for cybersecurity preparedness
    Vincente L. Martinez, Government Enforcement Partner, Erin Ardale Koeppel, Government Enforcement Partner and Mark Amorosi, Investment Management Partner, K&L Gates
  • Challenges of regulatory reporting
    Gillian Boston, Regulatory Director, AutoRek
  • Collateral management: A changing landscape 
    Mayur Java, Director, Banking & Capital Markets, Julianne Carman, Manager, Digital Strategy Advisory Practice, Max Thoman, Experienced Associate, Banking & Capital Markets, and Manan Shah, Senior Manager, Banking & Capital Markets, PwC
  • Cost model evolution of custody
    Göran Fors, Deputy Head, Investor Services, SEB
  • The future of European financial market infrastructure: A business case for distributed ledger technology?
    Dirk Bullmann, Adviser to Director General, and Andrea Pinna, Market Infrastructure Expert, European Central Bank
  • Preparing for AnaCredit: A timely start is crucial
    Paul Broersen, Director IFRS and Regulatory Reporting, and Ronald Koppen, Financial Services Partner, Deloitte
  • Trade surveillance in a global context
    Lynne Carreiro, Managing Director, and Flavia Anderson, Principal Consultant, ACA Compliance
  • Utilities in capital markets: New frontier for operational transformation
    Arin Ray, Analyst, Celent
  • The US municipal securities market’s self-regulatory organisation seeks efficiency and risk management improvements in securities operations
    Lynnette Kelly, Executive Director, and Barbara Vouté, Director, Market Practices, MSRB
  • Conference review
    Benefits of an international board and the opening of global markets
    Noel Ford, Director, Governance Ireland