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The post-trading industry is one in which financial firms make money and one in which risk issues need careful management. Reliable payment, clearing and settlement structures are perceived to be essential to enable financial firms to withstand shocks. A great deal of the cost of trading and cross-border investment is attributed to the very complex process of clearing and settlement. This book describes and explains: 1. what happens in clearing and settlement, and the roles of (and risks assumed by) the various participants in the post-trade marketplace 2. the law applicable to infrastructures, how they are are regulated, and the other topographical features of their legal landscape 3. the legal and practical aspects of risk management and operations of infrastructures 4. the risks faced by participants in payment, clearing and settlement systems - the agent banks - along with practical and operational issues which they face in their roles. Fully revised, updates for the 3rd edition include: - Implications and impact of Brexit - CPMI and IOSCO paper on central counterparty default (CCP) management auctions - cyber-security and the resilience of financial market infrastructures (FMIs) and the wider market ecosystem.
Part I - Processes 1. Introduction to Clearing and Settlement 2. What happens in Clearing and Settlement 3. Trading 4. Post-trade support services 5. Cash 6. Securities Part II - Regulation 7. International regulatory standards 8. Regulation of infrastructures in the United Kingdom 9. Legal form and governance of infrastructures 10. The Clearing imperative 11. Competition 12. Prudential regulation of agent banks Part III - Risk and operations 13. Insolvency 14. Failure and rehabilitation of infrastructures 15. Interoperability 16. Risk management in payment systems 17. Risk management at CCPs 18. Risk management at CSDs 19. Risk management at the agent bank 20. Dividends, corporate actions and voting rights 21. Securities lending 22. Tax
Author(s) | By Mr Dermot Turing. |
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Publisher | Bloomsbury Publishing PLC |
ISBN | 9781526514967 |
Format | Hardback |
Pages | 752 |
Published in | United Kingdom |
Published | 12 Feb 2021 |
Availability | Available |
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