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基本説明
Covers the operational aspects of securities trading after the trade happens.
"Wiley Finance"
Full Description
The only comprehensive account of operational risk in securities settlements
Securities Operations focuses on the settlement aspects of a securities transaction. As financial analysts make a greater effort toward quantifying and managing operational risk, they are paying more attention to securities transactions in general and to the settlement phase in particular. While describing the practical issues, this book enumerates the different "back office" related risks potentially encountered throughout the settlement. Simmons also covers more advanced topics such as derivatives, trade compensation, internal allocation of funding costs, and operational performance measurement.
Michael Simmons (London, UK) is currently Head of Business Consultancy at Wilco International, a major software systems provider to the financial markets.
Over the years, financial professionals around the world have looked to the Wiley Finance series and its wide array of bestselling books for the knowledge, insights, and techniques that are essential to success in financial markets. As the pace of change in financial markets and instruments quickens, Wiley Finance continues to respond. With critically acclaimed books by leading thinkers on value investing, risk management, asset allocation, and many other critical subjects, the Wiley Finance series provides the financial community with information they want. Written to provide professionals and individuals with the most current thinking from the best minds in the industry, it is no wonder that the Wiley Finance series is the first and last stop for financial professionals looking to increase their financial expertise.
Contents
Essential Trading and Settlement Concepts.
The Securities Marketplace.
Bringing Securities to the Securities Marketplace.
Structure of a Securities Trading Organisation.
Transaction Types.
Security Forms.
Security Types
Trade Cash Value Calculation
Static Data
The Trade Lifecycle and Straight Through Processing
Trade Execution and Capture.
Trade Enrichment.
Trade Validation.
Trade Confirmation.
Trade Agreement
Transaction Reporting.
Settlement Instructions.
The Role of the Custodian
Pre-Value Date Settlement Instruction Statuses
Settlement Failure
Trade Settlement
Reflecting Trade Settlement Internally
Position and Trade Related Operations
Funding.
Securities Lending & Borrowing.
Safe Custody
Corporate Actions
Reconciliation.
Accounting
Objectives and Initiatives
