最 低 价：￥636.10
定 价：￥795.07
作 者：MichaelSimmons, ElaineDalgleish 著 著
出 版 社：John Wiley & Sons
出版时间：2006-12-1
I S B N：9780470870662
| MICHAEL SIMMONS has spent the majority of his working life within the operational areas of international investment banks, most notably within the S.G. Warburg group in London. Having gained a detailed understanding of various back office tasks through many years of hands-on experience, he assumed managerial responsibility for a number of operational areas.
In recent years, Michael has worked as head of business consultancy within a global computing services firm, and is now an independent analyst and trainer. Michael’s areas of expertise include all aspects of the fixed income and equity trade lifecycle and related activities, including operational risks and controls. Recent assignments include the offshoring of operational activities to India and operational risk analysis (the Sarbanes Oxley act). In addition, he creates and delivers training courses on the workings of the securities industry and associated operational aspects to audiences around the world. Michael is author of Securities Operations: A Guide to Trade and Position Management published by John Wiley & Sons, which describes the fundamental components of operational activities from a first-principles perspective. |
| Introduction About the Authors PART I INTRODUCTORY ELEMENTS 1 Basic Corporate Action Concepts 2 Event Description and Classification 3 The Securities (and Corporate Actions) Market Place 4 Static Data 5 Securities Position Management PART II MANDATORY EVENTS 6 Overview of the Generic Corporate Action Lifecycle 7 Straight Through Processing 8 Event Terms Capture and Cleansing 9 Determining Entitlement 10 Communication of Event Information 11 Calculation of Resultant Entitlements 12 Passing of Internal Entries 13 Collection/Disbursement of Resultant Entitlements 14 Updating of Internal Entries 15 Examples of Mandatory Events PART III EVENTS WITH ELECTIONS 16 Concepts of Events with Elections 17 Management of Mandatory with Options Events 18 Management of Voluntary Events PART IV MULTI-STAGE EVENTS 19 Concepts of Multi-Stage Events 20 Management of a Rights Issue 21 Example of a Rights Issue 22 Concepts of Takeover Events 23 Management of Takeover Events PARTV TAXATION 24 Concepts and Management of Taxation 25 Management of Income Tax PART VI ISSUER NOTICES 26 Concepts and Management of Issuer Notices PART VII OBJECTIVES AND INITIATIVES 27 Objectives and Initiatives Glossary of Terms Index |
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