Table of contents

• How will T2S affect the European securities landscape?
  Richard Turrell, Clearing & Custody Services, BNP Paribas Securities Services
• Preventing market abuse: Can market surveillance really improve amidst fragmentation and low-cost competition?
  Annika von Haartman, Head of Surveillance, NASDAQ OMX
• A common platform model for Asia: How will an inter-Asian and cross-border processing infrastructure benefit Asian capital markets?
  Shu Pui Li, Head, Financial Infrastructure Development, Hong Kong Monetary Authority
• CSD regulation: The missing piece in the European post-trade puzzle?
  Soraya Belghazi, Secretary General, European Central Securities Depositories Association
• Renminbi cross-border trade settlement
  Carlo R. W. de Meijer, Senior Researcher, Market Infrastructures, RBS
• Evolution of the Romanian post-trade environment: Embracing the new European post-trade realities
  Adriana Tanasoiu, CEO, Central Depository, Romania
• Leveraging a shared infrastructure to trade across asset classes, regions and strategies
  Eugen Tjong, Head of Enterprise Solutions Real-Time, Asia-Pacific, Thomson Reuters
• Advancing transparency and harmonisation in corporate actions processing: Where are we now and where are we headed?
  Tim Hamer, Director, Securities Markets, Asia Pacific, SWIFT Services Australia
• Cost basis reporting: The impact on investment advisers
  Jeff Gowan, Senior Product Manager and Aaron Adolphson, Product Manager, Advent Software

• Using the SwapClear Client Clearing Service to meet current solution to today’s challenges in the interest rate swaps market
  Matteo Bertotti, Head of Fixed Income Derivatives and Andrea Girometti, Senior IR Derivatives trader, MPS Capital Services
• Assets or liabilities? Custodian risk in the new regulatory paradigm
  Bill Scrimgeour, Global Head of Regulatory and Industry Affairs, HSBC
• The limitations of transparency policy in OTC markets and derivatives trading
  Yener Coşkun, Chief Expert, Intermediary Activities Department, Capital Markets Board of Turkey
• Addressing risk through best practice in Japan: Shortening settlement cycles, imposing fail charges
  Taketoshi Mori, Head of Securities Market Infrastructure - Global Network Management, Bank of Tokyo-Mitsubishi UFJ
• What is the true role and value of custody within correspondent banking?
  Richard Fodder, Head of Investor Services, Brown Brothers Harriman
• UCITS IV nuts and bolts: What to expect under the new regulatory regime
  Ken Owens, Partner, Asset Management Group and Suzanne Senior, Consultant, PricewaterhouseCoopers
• Hidden operational drivers for increased fund expense ratios uncovered: Reducing the impact of increased order fragmentation on clearing and custody
  Scott Kurland, Director, ITG

• The rapidly changing market infrastructure supporting the OTC derivatives markets
  Marc Hollanders, Special Adviser on Financial Infrastructure, Bank for International Settlements
• CSD cross-border linkages: How is the landscape evolving?
  Gagan Rai, Managing Director and CEO, National Securities Depository, India
• Cross-border fund distribution operations: Making investment funds easily accessible to global investors - A wake up call
  Sebastien Chaker, Managing Director, Calastone Transaction Network
• MiFID II: Towards a consolidated tape in Europe
  Carlo de Meijer, Senior Researcher, Market Infrastructures, RBS
• The mandatory clearing regime as proposed in the EMIR-Regulation
  Bas Zebregs, Senior Legal Counsel, Asset Management, APG All Pensions Group
• Legal considerations when managing counterparty credit risk in OTC derivatives
  Edward Miller, Partner and Sarah Reid, Associate, Field Fisher Waterhouse
• To what extent is ’intent’ relevant to Australia’s market manipulation regime? How does this approach differ from other jurisdictions and should it be reconsidered?
  Brian Goldsmith, Head of Law and Compliance (Asia Pacific), Liquid Capital Group

• How can we improve the use and effectiveness of loss data?
  Robert Huebner, Deputy Head, Operational Risk Management, Deutsche Bank
• Trade matching in the traditional and alternative markets
  Holly H. Miller, Partner, Stone House Consulting
• Investigating partnerships with local players: Build, buy or partner?
  Toyin Sanni, CEO Trustees/Global Investor Services, United Bank for Africa
• Using a data warehouse to improve risk, performance, reporting and compliance
  Tom Stock, SVP, Product Management, GoldenSource
• Regulatory intrusion: Is regulation becoming impossible to manage?
  Peter Richards-Carpenter, Senior Counsel, Fried, Frank, Harris, Shriver & Jacobson
• The MiFID metamorphosis: A new paradigm for market structure
  Karel Lannoo, Chief Executive and Diego Valiante, Research Fellow, Centre for European Policy Studies
• Opting out of securities class actions: Why wait?
  Nick N. Goseland, Attorney

• Operations and settlement risk in extreme market conditions
  Sergio Scandizzo, Head, Operational Risk Section, European Investment Bank
• The impact of Target 2 Securities on sub-custodians
  Janne Palvalin, Manager, Nordea Securities Services
• The great risk vs. compensation debate
  Andrew Rand, SVP and Head of Network Management, Brown Brothers Harriman
• Custodial operations in Malta: Current opportunities
  Max Ganado, Managing Partner, Ganado & Associates
• The road to risk-based supervision: Lessons from Chile
  Jeanne Balcom, Senior Director and Nileema Pargaonker, Director, FINRA
• New OTC derivatives regulation and the future of the derivatives industry
  Carlo de Meijer, Senior Researcher, Market Infrastructures, GTS and John Wilson, Managing Director & Global Head, OTC Derivatives Clearing, RBS
• Direct overseas listing of Chinese enterprises: A clear regulatory framework and explicit regulatory requirements are needed
  Liu Yi, Overseas Listing Project Officer, China Securities Regulatory Commission

• Optimising the cost equation in securities clearing, settlement and custody
  Venkatesh Rathnam, Global Head, Securities Services Operations, Standard Chartered Bank
• Automating the OTC derivative collateral management function
  Thomas Ciulla, Senior Manager, Daniel Bloom and Justin Ages, Finance Operations & Controls Transformation, Deloitte & Touche
• Mutual fund omnibus processing: A way to increase revenues and improve the client experience
  Craig Kolzow, President, Conferre Solutions
• Reviewing your organisation’s approach to data management
  Rick Enfield, Product Business Owner, Asset Control
• Web development and e-servicing: Are your investments paying off?
  Kristyn Harmon, VP, PWI Online Channels, Fidelity Investments and George Moriarty, Editor-in-Chief for Online Platforms, Merrill Lynch Global Wealth Management
• Customisation, automation, globalisation: How should you respond to these drivers?
  Peter Ellis, Managing Director, Investit
• Brokers are fiduciaries - now what? The new US federal fiduciary best interest of the customer standard of care and its impact on existing FINRA regulation of wrap accounts
  Daniel Miller, Founder, Miller Fiduciary Law Group and Eugene F. Maloney, Senior Corporate Counsel, Federated Investors
• Responding to stepped-up FCPA enforcement
  Lucinda A. Low, Partner and Owen Bonheimer, Associate, Steptoe & Johnson

• Building a new financial order: How will the financial markets industry make money in the future?
  Suzanne L. Duncan, Financial Markets Industry Leader and Shanker Ramamurthy, Global Leader, Banking and Financial Markets Industry Consulting, IBM
• Central counterparties for OTC derivatives: Neither panacea nor placebo
  Daniel Heller, Head, Secretariat, Committee on Payment and Settlement Systems, Bank for International Settlements
• The European Commission recommendations for simplified procedures for claiming cross-border withholding tax relief
  Rogier Wezenbeek, Principal Administrator, Directorate General, Internal Market and Services, European Commission
• The new cost basis rules: Preparing to comply without regulations
  Martin Bentsen, Chief Operating Officer, Computer Research
• Why is operational risk management important?
  Philip Martin, Founder, Enterprise Risk Advisors and Chairman, Institute of Operational Risk
• The Options Symbology Initiative and industry testing
  Dave Harrison, VP, Member Services, The Options Clearing Corp
• Naked short sales and fails to deliver: An overview of clearing and settlement procedures for stock trades in the US
  Tālis J. Putniņš, Lecturer, Stockholm School of Economics

• Strategically responding to industry consolidation
  Robert Mattsson Axén, Head of Product Development, Sub-Custody, Nordea Bank
• Reforming the OTC derivatives market
  Carlo de Meijer, Senior Researcher, Market Infrastructures, RBS
• Coping with counterparty risk: Hedge funds and the need for rigorous due diligence
  Marina Lewin, Head of Relationship Management, Alternative Investment Services, The Bank of New York Mellon and Jeremy Todd, Director, Pershing
• Infrastructure issues in the securities industry: The case for a central counterparty for data management
  Allan Grody, Principal, Financial InterGroup Advisors
• The future of the Nordic custody business
  Göran Fors, Global Head of Custody Services and Ulf Norén, Head, Sub-Custody Client Relations, SEB
• Enterprise case and investigation management: A modern vision
  Sean Sullivan, Director, Business Infrastructure, Actimize

Volume Two Number Two (Autumn/Fall 2009)

• How technology will make or break banks attempting to integrate mission-critical processes as a result of a merger
  Ryan Bagnulo, Founder, ASPECT-i
• Adding value to your firm through operational risk management
  David Breden, Head, HSBC Operational Risk Consultancy Practice
• XBRL reaches tipping point
  Alfred Berkeley, Chairman & CEO, Pipeline Trading Systems, Donald Donahue, Chairman & CEO, DTCC, Philip Moyer, President & CEO, EDGAR Online and Mark Bolgiano, President & CEO, XBRL US
• Credit risk management and mitigation
  Darren Measures, Executive Director, JPMorgan
• A roadmap to achieving STP in corporate actions
  Brett Lancaster, VP and David Hands, Director, Product Management, DTCC
• The industrialisation of asset management reporting services
  Kai Saathoff, VP, DB Advisors, Deutsche Asset Management
• The silent revolution: Clearing and settlement in the future
  Godfried DeVidts, Director of European Affairs, ICAP
• Internal systems and controls to help prevent rogue trading
  Jennifer Moodie, Head of Operational Risk, Business Control Solutions
• What is the price of a derivative security?
  Sasha Rozenberg, Product Manager, SuperDerivatives

Volume Two Number One (Summer 2009)

• The trading environment under MIFiD: One year on
  Carlo de Meijer, Senior Researcher, ABN AMRO Bank
• Critical operations processes for OTC derivatives in need of attention
  Richard Robinson, former Global Head of Custodian Markets, Omgeo, Brian Lynn, CTO, Global Electronic Markets and Simon Lillystone, Omgeo
• Risk management in UCITS III funds
  Ravi Beegun, Partner and Pascale Leroy, Director, KPMG
• Société Genérale’s massive loss Of €4.9 Billion: An insider analysis
  Rita Previtali, former Director, Operational Risk Control, Equity Derivatives, Société Générale
• Legal issues in China’s QDII regime: Opportunities and Challenges
  James Walker, Mark Shipman, Yang Tie Cheng and Zhang Nan, Clifford Chance
• Fund administration: Alternative investment industry overview; Administrator selection and best practices
  Udit Gambhir, Wholesale Banking, Standard Chartered Bank
• Booking the US taxation of corporate actions correctly under the new cost basis reporting law
  Stevie Conlon, GainsKeeper, WoltersKluwer Financial Services

Volume One Number Four (Spring 2008)

• Has the EU Code of Conduct for market infrastructures delivered measurable benefits for users?
  Angela Knight, Chief Executive, Cassandra Kenny, Policy Advisor for Market Infrastructures and Alex Merriman, Executive Director, British Bankers’ Association
• Managing operational risk in a rapidly changing environment
  Joseph Iraci, SVP, Risk Management and Bryan Baas, Senior Director, Operational Risk, Fidelity Investments
• Are your securities operations sufficiently resilient? A business continuity briefing
  Alton Harvey, Chief, Office of Contingency Planning, Division of Trading and Markets, US Securities and Exchange Commission
• Operational risk management and control: Managing data as a key enterprise asset
  Steve Manz, former Group President and Nolan Gesher, Senior Relationship Manager, ProfitStars
• Global sourcing within the investment management industry: The road ahead
  Martyn Cuff, Director, Head of Operations, Allianz Global Investors
• Effective reconciliation of trading: Managing and mitigating operational risk
  Colin Day, VP, SunGard
• What do we want from the transfer agency service provider?
  Christophe Lentschat, Head of Sales, Product Development & Marketing, European Fund Administration
• Redemption payments: Proposed rules for U.S. withholding tax under Section 302
  Richard Ryndak, Michael Ouderkirk and Jonathan Mosier, CCH Capital Changes

Volume One Number Three (Winter 2008)

• Servicing derivatives positions: Challenges and best practices amid a convergence of market utilities
  Neil Wright, Head, Derivative Product and Strategy Group, State Street
• Best practices in achieving an efficient reconciliation system
  Joseph Conway, SVP, Brown Brothers Harriman
• The race for European financial unity: Where is it going?
  Joël Mérère, Vice Chairman, Euroclear
• Standards migration: 15022 vs. 20022
  Chris Pickles, Manager, Industry Relations, BT Global Financial Services
• Advancements in listed derivatives post-trade automation
  Matt Simpson, Associate Director, CME Group
• The European Code of Conduct for clearing and settlement: Towards more interoperability?
  Ruud Sleenhoff, SVP, Market Infrastructures and Carlo de Meijer, Senior Researcher, ABN AMRO Bank
• Data governance: Supporting data-centric risk management
  Aaron Weller, Associate Director, Technology Risk, Protiviti
• Assessing the real impact of securities lending upon the corporate governance landscape
  Mark Faulkner, CEO, Data Explorers

Volume One Number Two (Autumn/Fall 2008)

• Will financial market data be sufficiently consolidated and of high enough quality under MiFID?
  Karel Lanoo, Chief Executive, Centre for European Policy Studies
• What can the buy-side and sell-side do to minimise settlement fails?
  Christopher Marzullo, Senior Manager, Fixed Income Middle Office Trade Support, Lord Abbett & Co, Fred Lipinski, Director, Nomura Securities and Peter W. Kelly, Merrill Lynch
• Developing an optimal custodian relationship management strategy
  Philip J. Brown, General Manager, Clearstream Banking
• STP: Current trends driving investment and how to deploy a strategic plan without disrupting business operations
  Kaj Pedersen, Chief Operating Officer, Pendo Systems
• OTC derivatives processing: Challenges and opportunities facing asset servicers
  Cherie A. Graham, Head of Derivatives Product Group, Brown Brothers Harriman
• Operational risk red flags: Lessons learned from ten hedge fund blow-ups
  Penny Cagan, Managing Director, Algorithmics/Fitch Group
• General meeting-related processes in Italy: The role of listed companies, intermediaries and CSDs in light of recent EU developments
  Carmine DiNoia, Deputy Director General, Matteo Gargantini, Capital Market Department, Assonime and Salvatore Lo Giudice, Economist, CONSOB

Volume One Number One (Summer 2007)

• Reducing risk and costs in cross border securities transactions: Are Hague and UNIDROIT the missing pieces in the puzzle?
  Kirsty Davenport, Senior Associate and Dermot Turing, Partner, Clifford Chance
• Credit derivatives processing: A buy-side perspective on how to cope with rapidly increasing volumes
  James P. Wallin, SVP, AllianceBernstein Fixed Income
• Operational due diligence considerations for multi-jurisdictional hedge fund analysis
  Jason Scharfman, Director, Morgan Stanley - Graystone Research
• TARGET2–Securities: What are the challenges and opportunities for CSDs and custodians?
  Katja Rosenkranz, Director, Head of Strategy and Tomas Kindler, Head of Marketing & Sales Support, Clearstream Banking
• An implementation roadmap for overcoming Giovannini barriers
  Andrew J. Muir, Senior Market Manager, Market Reform Group, SWIFT
• The state of operational risk management: An industry fighting itself?
  Richard Robinson, Global Head of Custodian Markets, Omgeo
• Identifying warning signs of operational weakness in hedge funds and exercising rights as an investor
  Julian Korek, Founding Member and Ann-Sofie Alsbro, Consultant, Kinetic Partners
• Case study in automating and off-shoring the reconciliation process
  John Coker, CEO, Motif & John Petryszyn, Director of Operations, Affiliated Computer Services
• The EU code of conduct for clearing and settlement: Background, status and challenges for the securities industry
  Stefan Mai, Director, Head of Section Market Policy, Deutsche Börse