Security Operations

Front Cover
Wiley India Pvt. Limited, Mar 27, 2006 - 488 pages
The book provides a clear picture, at a practical level, of all the major aspects of securities settlement. Whilst describing the practical issues involved in this process, the different settlement-related risks is also described and discussed at every step. Numerous examples and real-world case vignettes will be used throughout plus a glossary of terms. Advanced topics covered in the book are securities settlement, namely derivatives; trade compensation; internal allocation of funding costs; operational performance measurement.

  • 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
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