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Informationen zum Autor 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. Klappentext This book provides a view of the fundamentals of operations functions and management and is suitable for people working in any organisation in the financial markets. Key issues affecting the industry are discussed and explained, such as operational risk management, traditional and new market environments, mergers, alliances, and integration across clearing and settlement. The author also explores how globalisation and straight-through processing are presenting new challenges in operations management and the changing regulatory environment.The book offers views and advice on a broad range of subjects and encourages further research by the reader through suggested work sessions. It is ideal for anyone new to or aspiring to become a supervisor or manager.Contents include:* Operations management* Markets* Banking, broking and institutional investors* Concepts of risk* Clearing and settlement* Custody* Technology* Regulation and compliance* Client services* Operations in the future Zusammenfassung This book provides a view of the fundamentals of operations functions and management and is suitable for people working in any organisation in the financial markets. Key issues affecting the industry are discussed and explained, such as operational risk management, traditional and new market environments, mergers, alliances, and integration across clearing and settlement. The author also explores how globalisation and straight-through processing are presenting new challenges in operations management and the changing regulatory environment.The book offers views and advice on a broad range of subjects and encourages further research by the reader through suggested work sessions. It is ideal for anyone new to or aspiring to become a supervisor or manager.Contents include:* Operations management* Markets* Banking, broking and institutional investors* Concepts of risk* Clearing and settlement* Custody* Technology* Regulation and compliance* Client services* Operations in the future Inhaltsverzeichnis 1 OPERATIONS MANAGEMENT.2 MARKETS.3 BANKING, BROKING AND INSTITUTIONAL CLIENTS.4 CONCEPTS OF RISK.5 CLEARING AND SETTLEMENT.6 CUSTODY.7 TECHNOLOGY.8 REGULATION AND COMPLIANCE.9 CLIENT SERVICES.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)....
