| 作者简介： David Loader is Managing Director of the London based Derivatives and Securities Consultancy Ltd (DSC). DSC provides various consultancy and educational services to a wide range of financial institutions globally. David has over thirty years’ experience in the finance industry, particularly in operations, gained in a number of major organisations including SG Warburg Group where he was Operations Director. He is heavily involved in financial education and training, as a Director of Computer Based Learning Ltd (providing e-learning solutions to the financial services industry), and as an author and presenter of training courses for The Securities and Investment Institute. David is a member of The International Guild of Bankers, The Institute of Directors and The Securities and Investment Institute. |
| preface about the author 1 operations management 2 markets equity securities debt securities derivative markets foreign exchange and money markets retail and other products other products market and product knowledge market structure and membership products traded structure and characteristics of the products clearing mechanisms, membership and the clearing house role structure of securities clearing and settlement conventions regulation, accounting and tax issues policy, procedures and controls 3 banking, broking and institutional clients what are the issues for the operations managers in these scenarios? .4 concepts of risk settlement risk system risk counterparty and agent risk personnel risk regulatory risk legal risk reputational risk infrastructure risk financial risk disaster risk 5 clearing and settlement fixed rate bonds floating rate notes the role of the clearing house the concept of margining, collateral and treasury management margin collateral treasury management otc derivatives products swaps otc options settlement of otc products event calendar communication/information other settlement issues accounting and regulatory issues swapclear swapswire summary suggested further reading checklists 6 custody 7 technology 8 regulation and compliance basel ii, sarbanes–oxley and ucits directive 9 client services the approach to customer relationships and the ‘client culture’ structure of client services within the operations team responsibility measuring performance escalation procedures client liaison programmes front-office client team industry issues analysing the competition developing the service what are the potential problems in customer relationships? managing risk within the customer relationship client visits 10 operations in the future appendices a ucits iii: introduction b extracts from sarbanes–oxley act of 2002 c the g30 twenty recommendations d sound practices for the management and supervision of operational risk (february 2003) glossary useful websites and selected further reading index |
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