Securities Operations PDF Download
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Author | : Michael Simmons |
Publisher | : John Wiley & Sons |
Total Pages | : 486 |
Release | : 2003-07-07 |
Genre | : Business & Economics |
ISBN | : 0470857153 |
Download Securities Operations Book in PDF, ePub and Kindle
The only comprehensive account of operational risk in securities settlements Securities 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 transactions in general and to the settlement phase in particular. While describing the practical issues, this book enumerates the different "back office" related risks potentially encountered throughout the settlement. Simmons also covers more advanced topics such as derivatives, trade compensation, internal allocation of funding costs, and operational performance measurement. Michael Simmons (London, UK) is currently Head of Business Consultancy at Wilco International, a major software systems provider to the financial markets. Over the years, financial professionals around the world have looked to the Wiley Finance series and its wide array of bestselling books for the knowledge, insights, and techniques that are essential to success in financial markets. As the pace of change in financial markets and instruments quickens, Wiley Finance continues to respond. With critically acclaimed books by leading thinkers on value investing, risk management, asset allocation, and many other critical subjects, the Wiley Finance series provides the financial community with information they want. Written to provide professionals and individuals with the most current thinking from the best minds in the industry, it is no wonder that the Wiley Finance series is the first and last stop for financial professionals looking to increase their financial expertise.
Author | : Michael T. Reddy |
Publisher | : Prentice Hall Press |
Total Pages | : 662 |
Release | : 1995 |
Genre | : Business & Economics |
ISBN | : |
Download Securities Operations Book in PDF, ePub and Kindle
As the industry-altering shift from Trade Date +5 to Trade Date +3 grows ever closer, securities operations executives and managers are looking for facts, figures and updates on new technology that will enable them to meet the new 3-day settlement periods. This text ties together much-needed information on the back office (operations) and the data processing (information systems) functions of international securities industries.
Author | : David M. Weiss |
Publisher | : Penguin |
Total Pages | : 544 |
Release | : 2006-08-17 |
Genre | : Business & Economics |
ISBN | : 1440623791 |
Download After the Trade Is Made, Revised Ed. Book in PDF, ePub and Kindle
The fully updated classic guide to the mechanics of securities processing—a must for professional investors This third edition of After the Trade Is Made reflects the changes that have taken place in recent years as a result of new products, technological breakthroughs, and the globalization of the securities industry. Comprehensive and easy to understand, it provides brokers, operations personnel, and individual investors with definitive and up-to-the-minute explanations of each step in the trading process—from the moment a customer decides to buy or sell a security through the final requirements of record keeping. Written for both securities professionals and individual investors, whether domestic or in other countries, this new edition clearly explains the core of underwritings, new and established trading markets, transaction processing, margin, and more—while providing critical insights into the most recent wave of industry changes. David M. Weiss, a veteran securities professional, traces the entire process of buying or selling a security, from order management to transaction processing to the final posting on the firm’s books and records. He covers the specialized attributes of each function in a typical brokerage firm, as well as their relationships with commercial banks, transfer agents, clearing corporations, and depositories. After the Trade Is Made is the definitive resource for anyone eager to understand and confidently navigate the vast and often surprising world of securities.
Author | : United States. General Accounting Office |
Publisher | : |
Total Pages | : 32 |
Release | : 2001 |
Genre | : Day trading (Securities) |
ISBN | : |
Download Securities Operations Book in PDF, ePub and Kindle
Author | : James M. Schell |
Publisher | : Law Journal Press |
Total Pages | : 864 |
Release | : 2023-08-28 |
Genre | : Business & Economics |
ISBN | : 9781588520883 |
Download Private Equity Funds Book in PDF, ePub and Kindle
"The best guide to private equity funds. Insight and explanations for both fund sponsors and investors. The gold standard." --Andrew Zalasin, General Partner and CFO: RRE Ventures Best Practices for Organizing and Managing a Fund With nearly $7 trillion invested in more than 20,000 funds, investor interest in the private equity industry has returned, despite the economic turmoil of recent years. Still, guidance about the organization and administration of these funds is tough to find. This 1,400+ page resource, will equip corporate lawyers, investment professionals, and tax practitioners and with best practices to manage these funds effectively. Private Equity Funds: Business Structure and Operations covers a wide range of important issues, such as: the key economic differences between various types of funds; structuring the private equity fund to meet economic expectations and investment goals; securing maximum tax benefits for the sponsor of the fund; duties of the fund's General Partner and Investment Advisor; the major regulatory issues affecting the private equity fund; and much more. Private Equity Funds: Business Structure and Operations reflects the aftermath of the financial crisis of 2007 to 2009. The authors also focus on cyber risk and the compliance obligations of investment advisers.
Author | : Jerry W. Markham |
Publisher | : |
Total Pages | : |
Release | : 1998-01-12 |
Genre | : |
ISBN | : 9780420611307 |
Download Broker Dealer Operations Under Securities and Commodities Law Book in PDF, ePub and Kindle
This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
Author | : Frank J. Fabozzi |
Publisher | : John Wiley & Sons |
Total Pages | : 369 |
Release | : 2005-09-01 |
Genre | : Business & Economics |
ISBN | : 0471756059 |
Download Securities Finance Book in PDF, ePub and Kindle
In Securities Finance, editors Frank Fabozzi and Steven Mann assemble a group of prominent practitioners in the securities finance industry to provide readers with an enhanced understanding of the various arrangements in the securities finance market. Divided into three comprehensive parts—Securities Lending, Bond Financing via the Repo Market, and Equity Financing Alternatives to Securities Lending—this book covers a wide range of securities finance issues, including alternative routes to the securities lending market, evaluating risks in securities lending transactions, U.S. and European repo markets, dollar rolls and their impact on MBS valuation and strategies, derivatives for financing equity positions and equity repos, and more. Filled with in-depth insight and expert advice, Securities Finance contains the information readers need to succeed in this rapidly expanding market.
Author | : Hal McIntyre |
Publisher | : |
Total Pages | : 329 |
Release | : 2005-01-01 |
Genre | : Securities |
ISBN | : 9780966917871 |
Download Securities Operations Glossary III Book in PDF, ePub and Kindle
Author | : United States. General Accounting Office |
Publisher | : |
Total Pages | : 48 |
Release | : 2000 |
Genre | : Day trading (Securities) |
ISBN | : |
Download Securities Operations Book in PDF, ePub and Kindle
Author | : Michael Simmons |
Publisher | : John Wiley & Sons |
Total Pages | : 429 |
Release | : 2006-02-03 |
Genre | : Business & Economics |
ISBN | : 0470870672 |
Download Corporate Actions Book in PDF, ePub and Kindle
Corporate actions are events that affect large corporations through to the individual investor - even those that own a single-share! All organizations that hold equity and debt securities for themselves and/or on behalf of others are affected when the issuer of a security announces an income or corporate action event. The successful management of the array of different event types requires understanding of the inherent risks, and tight controls at critical points in the event lifecycle. The management of income and corporate action events are important and essential parts of the securities industry business. Written by authors with many years experience within this sector, Corporate Actions: A Guide to Securities Event Management sets out to demystify the subject and provides a thorough, step-by-step introduction to corporate actions and income events. Corporate Actions is a comprehensive source for understanding a major component of operational processing. The individual components and their relation to each other within the corporate actions lifecycle are explained in detail, through which the reader will gain a clear and thorough understanding of the lifecycle together with potential processing risks and the strategies to mitigate Corporate Actions is essential reading for all those involved in the securities industry, from new recruits to those involved in both the day-to-day operations process and those within executive management. It will also prove invaluable to those providing consultancy and software solutions to the securities industry. Corporate Actions is the first major work on this subject. Many people within the securities industry have heard of corporate actions - many people know they can be highly risky - many organizations have lost vast sums of cash in attempting to process them - very few understand them!