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Regulation And Compliance In Operations

Author: David Loader
Publisher: Butterworth-Heinemann
ISBN: 9780750654876
Size: 42.81 MB
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As such intense oversight is not practical, the regulator can only do so much, with most of the responsibility resting with the firms and organizations themselves. For operations teams their role in protecting the firm stems from their ability to manage critical processes like reconciliation, asset position agreements and the nostro accounts efficiently and effectively. Regulators need the help and support of the businesses to have a 'business-friendly environment'. When some abuse the trust placed in them and the regulatory environment, a 'scandal' or worse occurs, with the result that the majority are penalized as regulators react to criticism and apply more onerous regulations. It is often the operations teams that bear most, or at least some, of the repercussions of greater regulatory oversight of the business. It is therefore vitally important for operations teams to have a firm understanding of the regulatory issues and drivers.

Managing Technology In The Operations Function

Author: David Loader
Publisher: Elsevier
ISBN: 0080496350
Size: 48.65 MB
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'Managing Technology in The Operations Function' looks at issues in technology from the operations function rather than from an IT perspective. It explores the use of technology for processing, provision of client services, risk management and business management. The authors analyse the benefits of straight through processing and the practical implications of managing technology products in operations. System risk and opportunities are explored and case studies are examined along with industry trends to assess upcoming developments and their impacts. The use of technology is one of the key drivers of growth in the volumes of business in the financial markets today. The impact that technology has had, and is still having in the operations function is truly substantial. Technology now reaches into just about every aspect of the business. Electronic trading, messaging systems, and information distribution have created a global market that is, relatively speaking, instantly accessible and available. For operations this manifests itself in two ways: the automation of processes and the automation of information gathering and distribution. For operations managers this period of change has elevated the function from a pure support service into a dynamic revenue protector/generator, with a heavy client service and risk management focus. The reliance on technology to drive this progression forward and to meet the challenge is therefore of crucial consideration for the operations manager. The challenge for the operations teams and managers is to embrace technology and maximize the use of this vital and powerful tool within the business. A failure to do so will inevitably have a negative impact on the operations function and ultimately damage the whole business. The definitive series of professional references for those finance professionals concerned with "Back office" or operations management unique to this industry. Presents concise references on the essential management functions such as technology, client services, and risk management for financial operations management professionals.A comprehensive resource from a leading financial management consultant for global banks and institutions. DMS has also developed a wide range of financial management courses, materials and programs over the last seven years.

Clearing Settlement And Custody

Author: David Loader
Publisher: Butterworth-Heinemann
ISBN: 9780750654845
Size: 50.13 MB
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'Clearing, Settlement and Custody' focuses on the clearing, settlement and custody functions by analyzing how they work and the interaction between the organizations involved. The author examines the roles of clearing houses, central counterparties, central securities depositories and the custodians, as well as, assessing the impact on the workflow and procedures in the operations function at banks, brokers and institutions. The changes that are taking place in the industry are explored and the impact for operations managers and supervisors assessed. Clearing, settlement and custody is at the heart of everything that happens in the financial markets. The evolution of clearing and settlement is one that is still happening and as such, it is impacting on the operations function through both new practices but also, increasingly, in terms of regulation, risk and reputation. In essence the efficient clearing and settlement operation is managing risk, not because it is a direct part of the process but more because it is a bi-product. The routine procedures relate to reconciliation and record keeping. If these are performed efficiently and accurately it will result in accurate records of activity and profit and loss. The settlement process is a key element in identifying and correcting errors made by dealers and traders. Failure to identify the error or act promptly will result in potentially serious financial loss, as well as worrying audit and the regulators. In addition to these concerns the financial service sector is also undergoing a massive rationalization of the structure of clearing and settlement and seeking the twin goals of automation and shortening settlement cycles. The challenge for operations managers is considerable: manage costs, eradicate inefficiencies, create an environment to be competitive, and implement the procedures to meet future changes that will occur. In this book the author looks at some of the different roles, the processes and procedures, and the key issues, in order to help those in operations meet the challenge. The definitive series of professional references for those finance professionals concerned with "Back office" or operations management unique to this industry.Presents concise references on the essential management functions such as technology, client services, and risk management for financial operations management professionals.A comprehensive resource from a leading financial management consultant for global banks and institutions.

Fundamentals Of Global Operations Management

Author: David Loader
Publisher: John Wiley & Sons
ISBN: 0470031808
Size: 61.78 MB
Format: PDF, ePub, Docs
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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.

Relationship And Resource Management In Operations

Author: David Loader
Publisher: Butterworth-Heinemann
ISBN: 9780750654883
Size: 80.17 MB
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Successful operations teams are built on talented resource and effective management. This study aims to show in practical terms the importance of the business relationships with internal and external counterparts. The authors demonstrate how things can go wrong and what causes the situation. They also examine the need to instill cultures in the team focusing on client service, risk and cost effectiveness. The text covers, via practical examples, the kind of scenario managers or supervisors might face in their role and shows what decisions could and should be made. Critical relationship management issues are also dealt with, and solutions examined.

Compliance Management In Financial Industries

Author: Mathias Eggert
Publisher: Springer Science & Business Media
ISBN: 331903913X
Size: 43.27 MB
Format: PDF, ePub
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Since the peak of the world financial crisis in 2008, compliance management has gained more and more interest from practice and research. In particular the financial service industry is strongly regulated and has to follow specific laws, standards and guidelines. Considering the steadily increasing number of legal requirements in the design of information systems is a challenge to financial service providers. This book investigates the challenges of compliance management in financial industries and provides solutions for a compliant design of information models. From a business process perspective, an approach is presented that enables the automatic checking of business process models. From a supervisory reporting perspective a modeling technique is presented that allows for modeling regulatory data warehouse requirements as well as its analysis. Besides these two perspectives the author provides insights into the perceived relationship of Information Systems and Law.

Coercive And Discursive Compliance Mechanisms In The Management Of Natural Resources

Author: Geir Hønneland
Publisher: Springer Science & Business Media
ISBN: 9401140448
Size: 38.68 MB
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This book is the result of more than a decade's preoccupation with the issue of compliance in the Barents Sea fisheries, first as an interpreter in the Norwegian Coast Guard, then as a graduate student at the University of Troms0, and finally, as a PhD student at the University of Oslo and a research fellow at the FridtjofNansen Institute (FNI). Many of those who deserve a "thank you" in this preface have already been properly thanked on other occasions, among them my previous colleagues and superiors in the Norwegian Coast Guard. On the present occasion, I would particularly like to extend my thanks to the FNI leadership during my time here for giving me the trust and freedom to pursue my enthusiasm. Many other colleagues at the institute, from both the research and the administrative staff, have contributed to the present work. For fear of forgetting someone, I prefer not to mention names. There have to be a few exceptions though: From the administration, I would particularly like to thank Kari Lorentzen for her professional help in the library, and Ann Skarstad and Anne-Christine Thestrup for language assistance. Thanks to Claes Lykke Ragner for producing the map on page 7, and to Ivar M. Liseter for help in the preparation of camera-ready copy. Among the research staff, I would mention my long-standing fellow student and colleague both in the Coast Guard and at the FNI, Anne-Kristin J0rgensen.