Securities operations a guide to trade and position management
The only comprehensive account of operational risk in securities settlementsSecurities 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...
Autor principal: | |
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Formato: | Libro electrónico |
Idioma: | Inglés |
Publicado: |
Chichester, West Sussex, England ; New York, NY :
J. Wiley
c2002.
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Edición: | 1st edition |
Colección: | Wiley finance series.
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Materias: | |
Ver en Biblioteca Universitat Ramon Llull: | https://discovery.url.edu/permalink/34CSUC_URL/1im36ta/alma991009627958806719 |
Tabla de Contenidos:
- Securities Operations; Contents; Foreword; Introduction; Acknowledgements; 1 Essential Trading and Settlement Concepts; 1.1 Introduction; 1.2 Terminology; 1.3 Differences in Terminology; 1.4 Differences in the Exchange of Goods/Securities and Cash; 1.5 Methods of Exchanging Securities and Cash; 1.6 Remaining in Control; 1.7 Recording Details of Individual Trades; 1.8 Summary; 2 The Securities Marketplace; 2.1 Introduction; 2.2 Securities; 2.3 Participants; 2.4 Regulators; 2.5 Custodians; 2.6 Other Participants in the Securities Marketplace; 2.7 Globalisation; 2.8 Summary
- 3 Bringing Securities to the Marketplace3.1 Introduction; 3.2 Methods of Issuing Securities; 3.3 Bond Issues via Syndication; 3.4 Equity Issues via IPO and Public Offer for Sale; 3.5 Post the Launch of Securities; 3.6 Settlement of Trades in the Secondary Market; 3.7 Further Issues of Equity; 3.8 Summary; 4 Structure of a Securities Trading Organisation; 4.1 Introduction; 4.2 The Group of Companies; 4.3 Companies within a Group; 4.4 Divisions within a Company; 4.5 Departments within Divisions; 4.6 Departments Independent of Divisions; 5 Transaction Types; 5.1 Introduction
- 5.2 Securities Transaction Types5.3 Cash Transaction Types; 5.4 Overview of Transaction Types; 5.5 Automation; 5.6 Summary; 6 Security Forms; 6.1 Introduction; 6.2 Registered Securities; 6.3 Bearer Securities; 6.4 Methods of Transfer of Registered and Bearer Securities; 6.5 Registered and Bearer Securities: Similarities and Differences; 6.6 Summary; 7 Security Types; 7.1 Introduction; 7.2 Equities; 7.3 Bonds; 7.4 Grouping of Securities; 7.5 Derivatives; 7.6 Summary; 8 Trade Cash Value Calculation; 8.1 Introduction; 8.2 Gross Cash Value Calculation; 8.3 Additional Trade Amounts
- 8.4 Net Settlement Value8.5 Summary; 9 Static Data; 9.1 Introduction; 9.2 Trading Companies; 9.3 Counterparties; 9.4 Trading Books; 9.5 Currencies; 9.6 Securities; 9.7 Security Groups; 9.8 Timing of Static Data Set-Up; 9.9 Sources of Static Data; 9.10 Management of Static Data; 9.11 Summary; 10 The Trade Lifecycle and Straight Through Processing; 10.1 The Trade Lifecycle; 10.2 Straight Through Processing; 10.3 Summary; 11 Trade Execution and Capture; 11.1 Introduction; 11.2 Orders From Institutional Clients; 11.3 Trade Execution; 11.4 Trade Capture (Front Office)
- 11.5 Trade Capture (Settlement System)11.6 Summary; 12 Trade Enrichment; 12.1 Introduction; 12.2 Trade Enrichment Components; 12.3 Determining Factors in Trade Enrichment; 12.4 Static Data Defaulting; 12.5 Failure to Apply Static Data Defaults; 12.6 Enrichment of Counterparty Custodian Details; 12.7 Summary; 13 Trade Validation; 13.1 Introduction; 13.2 Straight Through Processing; 13.3 Fundamental Risks; 13.4 Basic Trade Validation; 13.5 Additional Trade Validation; 13.6 Methods of Trade Validation; 13.7 Summary; 14 Trade Agreement; 14.1 Introduction; 14.2 Reducing the STO's Risk
- 14.3 Trade Agreement Methods