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Description of Fundamentals of Global Operations Management |
"Fundamentals of Global Operations Management, 2nd Edition" provides an overview of the fundamentals of the operations functions and is suitable for people working in any organization in the financial markets. Key issues affecting the industry are covered, such as operational risk management, traditional and new market environments, mergers and alliances, and integration across clearing and settlement. It also looks at how globalisation is presenting new challenges in operations and the new regulatory environment. David Loader takes the reader through the many issues that are important in a management or supervisory role in a practical rather than theoretical way. The new edition features updated regulations and examples.
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Contents of Fundamentals of Global Operations Management |
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
Aggregate limits
Transferable securities and money market instruments
Bank deposits
Financial derivatives instruments
Funds of funds
Index tracking funds
Use of subsidiaries
Permitted activities of management companies
EU passport for management companies
Simplified prospectus
Capital adequacy requirements
Further investor protection measures
B EXTRACTS FROM SARBANES-OXLEY ACT OF 2002
C THE G30 TWENTY RECOMMENDATIONS
Creating a strengthened, interoperable global network
Mitigating risk
Improving governance
D SOUND PRACTICES FOR THE MANAGEMENT AND SUPERVISION OF OPERATIONAL RISK (February 2003)
Introduction
Background
Industry trends and practices
Sound practices
Developing an appropriate risk management environment
Glossary
Useful websites and selected further reading
Index
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About David Loader |
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.
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