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Financial Markets Operations Management (56 page)
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Authors:
Keith Dickinson
BOOK:
Financial Markets Operations Management
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earnings, corporate actions
EB
see
Euroclear Bank
ECNs (electronic communication networks)
ECP (euro commercial paper)
ECSDA
see
European Central Securities Depositories Association
EDSP (exchange delivery settlement price)
effective date, FRAs
election risk
electronic communication networks (ECNs)
electronic platform trading, derivatives
electronic trade confirmation (ETC)
eligible assets, initial margin
energy products
enrichment of trade
entitlement, corporate actions
environmental tax
equities
accounting equation
CCP
classes
closing prices
corporate actions
data management
debt vs.
definition
finance, corporate banking
haircuts
issuance
reference data
securities clearing
see also
shares
equity index product listings
equity instruments
equity repos
equity swaps
ETC (electronic trade confirmation)
ETDs
see
exchange-traded derivatives
ETL (extract, transform and load) systems
Eurex clearing
Euribor (Euro Interbank Offered Rate)
euro commercial paper (ECP)
euro-currency deposits
Euro Interbank Offered Rate (Euribor)
Euro Markets, custody in
Eurobonds
Euroclear Bank (EB)
Europe
CSD linkages
regulatory authorities
securities portfolios
settlement cycles
trade repositories
European Central Securities Depositories Association (ECSDA)
Eurosystem, T2S
event creation
see also
corporate actions
event-driven managers
event monitoring, OTCDs
ex-dividend date, corporate actions
ex-entitlement date, rights issue
ex-entitlement period, corporate actions
ex-rights price, corporate actions
exchange/clearing system, derivatives
exchange delivery settlement price (EDSP)
exchange platform trading, derivatives
exchange-traded derivatives (ETDs)
accounting lifecycle
summary
exchangeable bonds
exchanges
see
derivative exchanges; stock exchanges
excise duty
external clients, operations relationships
external reconciliation
external records
extract, transform and load (ETL) systems
fails management
types
delivery vs. payment
free of payment settlement
settlement failure
shorter settlement cycles
fair value
see also
mark-to-market
FIFO (First In, First Out) approach
financial accounting
financial assets, HNWIs
financial instruments
calculations
issuance reasons
reportable
summary
Financial Stability Board (FSB)
Financial Standards Board (FSB), banks
financial statements
financial transaction tax (FTT)
financing securities
agreements
code of guidance
intermediaries
players/motivations
summary
transactions
types
First In, First Out (FIFO) approach
first long coupon
first short coupon
fixed-income bond coupons
fixed rate
bonds
FRAs
IRS
fixing dates, money market instruments
flip-flop FRNs
floating IRS
floating-rate notes (FRNs)
floating-rate repos
floored FRNs
FoP (free of payment) settlement
forecasting
cash
securities
foreign bonds
foreign CCPs
foreign CSDs
foreign exchange
forward rate agreements (FRAs)
forwards
FRAs
see
forward rate agreements
free of payment (FoP) settlement
FRNs
see
floating-rate notes
front office
FSB
see
Financial Stability Board; Financial Standards Board
FTT
see
financial transaction tax
fully paid shares
fund managers
fund-to-fail approach
fund-to-settle approach
funding uncertainties
fungibility, bearer securities
futures
accounting lifecycle
options comparison
pricing
risks
single position approach
gains, securities accounting
GC pooling market
general clearing members (GCMs)
general securities
generic clearing cycle, securities
gilts
Giovannini Group
give-up agreements
GLEIS (Global Legal Entity Identifier System)
global communication chain, issuer/investor
global custody/custodians
communication
corporate actions participation
services
structure
global investment managers
Global Legal Entity Identifier System (GLEIS)
global macroeconomic events
global markets, custody in
Global Master Repurchase Agreement (GMRA)
Global Master Securities Lending Agreement (GMSLA)
global securities financing, CBL
global trade repositories, OTCDs
GMRA
see
Global Master Repurchase Agreement
GMSLA
see
Global Master Securities Lending Agreement
governance
see
corporate governance
government agencies, banking
government bonds
gridlock scenario, settlement failure
gross settlement
haircuts
repos
securities financing
hedge funds
hedge programme, OCC
hedging derivatives
held-to-maturity (HTM) investments
Hibu plc.
HIC (hold-in-custody) repos
high-net-worth individuals (HNWIs)
high-yield bonds
HNWIs (high-net-worth individuals)
hold-in-custody (HIC) repos
holders, options
holding securities
horizontal integration, CSD linkages
HSBA shares
HSBC as local custodian
HTM
see
held-to-maturity investments
human resources
hybrid approaches, data management
IA (independent amount)
icing, securities financing
ICMA
see
International Capital Market Association
ICSDs
see
international central securities depositories
IM
see
initial margin
immobilised-form securities
in-the-money (ITM) options
income, corporate actions
income collection, CSDs
income tax
incoming trade confirmations
independent amount (IA)
indirect investment, retail clients
individual clearing members
see
clearing members
industry initiatives, corporate actions
industry sector derivatives usage
information announcements, corporate actions
information capture risk
information flow, corporate actions
information technology, investment companies
information vendors
inheritance tax
initial margin (IM)
derivatives clearing
ETDs
independent amount
Initial Public Offering (IPO)
input of trade, securities clearing
institutional clients
institutional funds
institutional investors
instructions for clearing
matching
types
validation
instructions for settlement, free of payment
insurance companies
integrated model, T2S
inter-CSD linkages
CBL
EB
inter-dealer brokers
interest
bonds
calculations
ETDs
payment, bonds
interest rate bonds
see also
coupons
interest rate products listing
interest rate reset, FRNs
interest rate swaps (IRS)
interest rates, repos
intermediaries
corporate actions
decision timeline
securities financing
sell-side
internal audit
internal clients, operations relationships
internal reconciliation
internal records
internal treasury deadlines, cash forecasting
International Capital Market Association (ICMA)
international central securities depositories (ICSDs)
communication
corporate actions participation
definitions
Euro Market custody
features
international securities, settlement cycles
International Securities Identification Numbering (ISIN)
International Securities Lending Association (ISLA)
International Securities Services Association (ISSA)
International Swaps and Derivatives Association (ISDA)
interoperability, CSDs
intra-day margin calls
inventories, borrowing cash to finance
inverse FRNs
investment allocation, pension funds
investment banking
investment companies' organisational structure
investment funds services
investment managers
custody clients
front office
global
investment types, accounting
investors
information from issuers
information to issuers
issuer communication chains
issuer relationships
invoicing amounts, gilts
IPO (Initial Public Offering)
IRS (interest rate swaps)
ISDA (International Swaps and Derivatives Association)
ISIN (International Securities Identification Numbering)
ISLA (International Securities Lending Association)
ISSA (International Securities Services Association)
issuers
information to investors
information from investors
investor communication chains
investor relationships
ITM (in-the-money) options
Japan, regulatory authorities
know your customer (KYC) requirements
Last In, First Out (LIFO) approach
LCH.Clearnet
ledgers, reconciliation
legal entity
definitions
identification
Legal Entity Identification (LEI) systems
legal ownership, securities
LEI (Legal Entity Identification) systems
lenders
banks
borrower relationship
borrowers approaching
choices for
see also
loans
lending
fees
securities
see also
loans
liabilities
LIBID (London Interbank Bid Rate)
LIBOR (London Interbank Offered Rate)
life insurance
lifecycle
accounting for derivatives
accounting for securities
reconciliation
repos
securities lending
LIFO (Last In, First Out) approach
Link Up Markets venture
liquidation
loans
closure
commencement
initiation
maintenance
see also
debt instruments; lenders; lending
local CCPs
local communication chain
local CSDs
see also
domestic CSDs
local custodians
local markets, custody in
local operating unit, GLEIS
local taxes, equity instruments
location vs. ownership, reconciliation
London Interbank Bid Rate (LIBID)
London Interbank Offered Rate (LIBOR)
long coupons
long futures contracts
long put options
long-term credit ratings, securities
losses, securities accounting
M&As (mergers and acquisitions)
macro operations
macroeconomic events
majority shareholders, disclosure reporting
management accounting
mandatory convertibles
mandatory events, corporate actions
manufactured income
margin
derivatives
ETDs
loan maintenance
OCTD
repos
securities financing
Margin Survey, ISDA
mark-to-market (MTM)
see also
fair value
market associations
market infrastructures, trade lifecycles
market loan programme, OCC
market makers/making
market participation
market players
market price, bonds
market regulators
market structure
Master Agreement terminology, securities
matched instructions, securities clearing
maturity
bonds
money market instruments
mergers, corporate actions
mergers and acquisitions (M&As)
metal products
micro operations
middle office, investment companies
migration plan, T2S
mini-max FRNs
minimum transfer amount (MTA), OTCDs
minority shareholders, disclosure reporting
mismatch FRNs
models
CCPs
clearing house
DVP
T2S
money market
capital market differentiators
instruments
money transfer, EB
monitoring
back office
OTCDs
mortgage agencies, USA
MRW shares
MTA (minimum transfer amount), OTCDs
MTFs
see
multilateral trading facilities
MTM
see
mark-to-market
multilateral netting
multilateral trading facilities (MTFs)
municipalities, banking
mutual funds
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