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Description of Handbook of Global Securities Operations

The authors, Neale Steiniger and Jerry O’Connell, have combined their expertise and experience to write the definitive reference book on global securities markets activities. Read this book for an easy to understand description of the clearance, settlement, and custody processes and flows.

Gain an understanding of the roles of the participants in a global trade, entries as the trade progresses from execution to settlement and through corporate actions. Follow the flows of the markets in Brazil, Hong Kong and the United Kingdom and reference a glossary of terms.

Title Information

ISBN:

9780934380874

Pages:

338 pages

Format:

Hardback

Product Code:

18877

Publisher:

Traders Press

Published:

01/10/2002

Edition:

1st Edition

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Contents of Handbook of Global Securities Operations

Acknowledgements
Forward by Chuck Wiley
Introduction

Introduction: About This Book

PART I: Pre-Settlement

1. Setting the Stage
2. The Order Flow
3. The Confirmation Process
4. The Market-side
5. The Clearance Process
- Questions

PART II: Settlement

6. The Settlement Process
7. Inventory Control and Registration
- Questions

PART III: Post-Settlement

8. Financing and Cash Management
9. Income Processing
10. Corporate Actions
11. Tax Withholding
12. Securities Lending
13. Custody
- Questions

PART IV: Beyond Settlement

14. Risk Management
15. Industry Organizations
- Answers to Sec. 1, 2, & 3

Appendix A VMU Customer Value Proposition: Investment Managers

Appendix B VMU Customer Value Proposition: Broker / Dealers

Appendix C VMU Customer Value Proposition: Custodian Banks

Glossary