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Managing Financial Information in the Trade Lifecycle

Managing Financial Information in the Trade Lifecycle
A Concise Atlas of Financial Instruments and Processes

by Martijn Groot

  • Publisher : Elsevier
  • Release : 2010-07-28
  • Pages : 288
  • ISBN : 9780080559933
  • Language : En, Es, Fr & De
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Information is the oxygen supply of the financial markets. Financial information, or data, is so important that companies such as Barclays and Citigroup now have executive positions of Chief Data Officer or Head of Data Acquisition. This book, by a long-time industry insider at one of the leading data management vendors, discusses the present and future of financial data management by focusing on the lifecycle of the financial instruments (stocks, bonds, options, derivatives) that generate and require data to keep the markets moving. This book is a concise reference manual of the financial information supply chain and how to maximize effectiveness and minimize cost. *First book fully dedicated to financial information supply chain and how to manage it effectively *Addresses hot topics that readers need to know: regulatory reporting regulations, data pooling, hubs, and data exchanges *Draws from actual lessons learned and presents many real-life scenarios of the business

The Trade Lifecycle

The Trade Lifecycle
Behind the Scenes of the Trading Process

by Robert P. Baker

  • Publisher : John Wiley & Sons
  • Release : 2015-07-27
  • Pages : 416
  • ISBN : 1118999460
  • Language : En, Es, Fr & De
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Drive profit and manage risk with expert guidance on trade processing The Trade Lifecycle catalogues and details the various types of trades, including the inherent cashflows and risk exposures of each. Now in its second edition, this comprehensive guide includes major new coverage of traded products, credit valuation adjustment, regulation, and the role of information technology. By reading this, you ll dissect a trade into its component parts, track it from preconception to maturity, and learn how it affects each business function of a financial institution. You will become familiar with the full extent of legal, operational, liquidity, credit, and market risks to which it is exposed. Case studies of real projects cover topics like FX exotics, commodity counterparty risk, equity settlement, bond management, and global derivatives initiatives, while the companion website features additional video training on specific topics to help you build a strong background in this fundamental aspect of finance. Trade processing and settlement combined with control of risk has been thrust into the limelight with the recent near collapse of the global financial market. This book provides thorough, practical guidance toward processing the trade, and the risks and rewards it entails. Gain deep insight into emerging subject areas Understand each step of the trade process Examine the individual components of a trade Learn how each trade affects everything it touches Every person working in a bank is highly connected to the lifecycle of a trade. It is the glue by which all departments are bound, and the aggregated success or failure of each trade determines the entire organization′s survival. The Trade Lifecycle explains the fundamentals of trade processing and gives you the knowledge you need to further your success in the market.

Financial Market Operations

Financial Market Operations
A Book

by Keith Dickinson

  • Publisher : John Wiley & Sons
  • Release : 2015-02-16
  • Pages : 448
  • ISBN : 1118843916
  • Language : En, Es, Fr & De
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A comprehensive text on financial market operations management Financial Market Operations Management offers anyone involved with administering, maintaining, and improving the IT systems within financial institutions a comprehensive text that covers all the essential information for managing operations. Written by Keith Dickinson—an expert on the topic—the book is comprehensive, practical, and covers the five essential areas of operations and management including participation and infrastructure, trade life cycle, asset servicing, technology, and the regulatory environment. This comprehensive guide also covers the limitations and boundaries of operational systems and focuses on their interaction with external parties including clients, counterparties, exchanges, and more. This essential resource reviews the key aspects of operations management in detail, including an examination of the entire trade life cycle, new issue distribution of bonds and equities, securities financing, as well as corporate actions, accounting, and reconciliations. The author highlights specific operational processes and challenges and includes vital formulae, spreadsheet applications, and exhibits. Offers a comprehensive resource for operational staff in financial services Covers the key aspects of operations management Highlights operational processes and challenges Includes an instructors manual, a test bank, and a solution manual This vital resource contains the information, processes, and illustrative examples needed for a clear understanding of financial market operations.

A Primer in Financial Data Management

A Primer in Financial Data Management
A Book

by Martijn Groot

  • Publisher : Academic Press
  • Release : 2017-05-10
  • Pages : 306
  • ISBN : 0128099003
  • Language : En, Es, Fr & De
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A Primer in Financial Data Management describes concepts and methods, considering financial data management, not as a technological challenge, but as a key asset that underpins effective business management. This broad survey of data management in financial services discusses the data and process needs from the business user, client and regulatory perspectives. Its non-technical descriptions and insights can be used by readers with diverse interests across the financial services industry. The need has never been greater for skills, systems, and methodologies to manage information in financial markets. The volume of data, the diversity of sources, and the power of the tools to process it massively increased. Demands from business, customers, and regulators on transparency, safety, and above all, timely availability of high quality information for decision-making and reporting have grown in tandem, making this book a must read for those working in, or interested in, financial management. Focuses on ways information management can fuel financial institutions’ processes, including regulatory reporting, trade lifecycle management, and customer interaction Covers recent regulatory and technological developments and their implications for optimal financial information management Views data management from a supply chain perspective and discusses challenges and opportunities, including big data technologies and regulatory scrutiny

Handbook of Financial Data and Risk Information I

Handbook of Financial Data and Risk Information I
A Book

by Margarita S. Brose,Mark D. Flood,Dilip Krishna,Bill Nichols

  • Publisher : Cambridge University Press
  • Release : 2014-01-09
  • Pages : 658
  • ISBN : 1107012015
  • Language : En, Es, Fr & De
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A comprehensive resource for understanding the issues involved in collecting, measuring and managing data in the financial services industry.

Handbook of Financial Data and Risk Information II

Handbook of Financial Data and Risk Information II
A Book

by Margarita S. Brose,Mark D. Flood,Dilip Krishna,Bill Nichols

  • Publisher : Cambridge University Press
  • Release : 2014-01-09
  • Pages : 574
  • ISBN : 1107012023
  • Language : En, Es, Fr & De
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A comprehensive resource for understanding the issues involved in collecting, measuring and managing data in the financial services industry.

An Introduction to Trading in the Financial Markets

An Introduction to Trading in the Financial Markets
Technology : Systems, Data and Networks

by R. Tee Williams

  • Publisher : Academic Press
  • Release : 2011
  • Pages : 378
  • ISBN : 0123748402
  • Language : En, Es, Fr & De
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Networks, systems, and data join the financial markets into a single interrelated environment that processes millions of transactions in real time. This volume, the third of four, investigates the interconnected nature of financial markets by examining networks, systems, and data in turn. Describing what technologies do instead of how they work, the book shows how they drive each step of the trading process. We learn why the speed and scope of financial automation are growing, and we observe the increasing importance of data in the regulatory process. Contributing to these explanations are visual cues that guide readers through the material. If knowledge comes from information, then this volume reveals much about the core of the finance industry. Explains how technologies and data make the financial markets one of the most automated industries Describes how each step in the trading process employs technology and generates information Presents major concepts with graphs and easily understood definitions

An Introduction to Trading in the Financial Markets SET

An Introduction to Trading in the Financial Markets SET
A Book

by R. Tee Williams

  • Publisher : Academic Press
  • Release : 2012-12-31
  • Pages : 1000
  • ISBN : 012384973X
  • Language : En, Es, Fr & De
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How do financial markets operate on a daily basis? These four volumes introduce the structures, instruments, business functions, technology, regulations, and issues commonly found in financial markets. Placing each of these elements into context, Tee Williams describes what people do to make the markets run. His descriptions apply to all financial markets, and he includes country-specific features, stories, historical facts, glossaries, and brief technical explanations that reveal individual variations and nuances. Detailed visual cues reinforce the author’s insights to guide readers through the material. This book will explain where brokers fit into front office, middle office, and back office operations. Provides easy-to-understand descriptions of all major elements of financial markets Heavily illustrated so readers can easily understand advanced materials Filled with graphs and definitions that help readers learn quickly Offers an integrated context based on the author's 30 years' experience

An Introduction to Trading in the Financial Markets: Global Markets, Risk, Compliance, and Regulation

An Introduction to Trading in the Financial Markets: Global Markets, Risk, Compliance, and Regulation
A Book

by R. Tee Williams

  • Publisher : Academic Press
  • Release : 2010-02-12
  • Pages : 472
  • ISBN : 0080951163
  • Language : En, Es, Fr & De
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Succeeding in the financial markets requires a mastery of many disciplines. Mastery begins with understanding the actors, rules, and dynamics, and the ways in which they interact. This volume, the last of a 4-volume series, presents a broad perspective on key subjects such as regulation and compliance, risk and ways to mitigate it, and the directions in which trading markets might evolve. Like its predecessors, it presents alternative versions of the future: will the sell side or buy side come to dominate, for example, and how might new technologies shape global markets? Mastery of the financial markets begins with its authoritative, heavily illustrated presentation. Presents a high-level view of global financial markets, including institutions, instruments, and dynamic interactions Describes the assumptions and expectations of market participants Heavily illustrated so readers can easily understand advanced materials

Managing Big Data in Cloud Computing Environments

Managing Big Data in Cloud Computing Environments
A Book

by Ma, Zongmin

  • Publisher : IGI Global
  • Release : 2016-02-02
  • Pages : 314
  • ISBN : 1466698357
  • Language : En, Es, Fr & De
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Cloud computing has proven to be a successful paradigm of service-oriented computing, and has revolutionized the way computing infrastructures are abstracted and used. By means of cloud computing technology, massive data can be managed effectively and efficiently to support various aspects of problem solving and decision making. Managing Big Data in Cloud Computing Environments explores the latest advancements in the area of data management and analysis in the cloud. Providing timely, research-based information relating to data storage, sharing, extraction, and indexing in cloud systems, this publication is an ideal reference source for graduate students, IT specialists, researchers, and professionals working in the areas of data and knowledge engineering.

The Future of the Financial Exchanges

The Future of the Financial Exchanges
Insights and Analysis from The Mondo Visione Exchange Forum

by Herbie Skeete

  • Publisher : Elsevier
  • Release : 2010-07-28
  • Pages : 168
  • ISBN : 9780080922218
  • Language : En, Es, Fr & De
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In May 2007, an extraordinary meeting took place in London's The Exchange Forum. Chief executives from many of the world's most important financial exchanges came together with senior executives from a wide array of global banking, trading, and investing firms, index providers, regulators, system suppliers, and key academics to discuss the rapidly changing business and technological environment in which exchanges function. The forum was an exclusive event, open only to the most senior-level individuals in the global exchanges community: those who run exchanges, who are clients of exchanges, who invest in exchanges, and who supply goods and services to exchanges. In presentations and panel discussions over two days, these experts explored the effect of shrinking margins as more instruments became exchange traded rather than OTC and the conflicts that creates. They shared what exchanges are doing today to respond to the challenges wrought by competition, globalization, and rapid technology advances. And they looked into the future and discussed the multi-asset, multi-currency, and multi-region trading that holds out the promise of future success. The book is based on the discussion and analysis that took place at this exclusive event that brought together leading exchange professionals, their customers, and suppliers from around the globe to share insights and experiences. It will provide an overview of the latest technological, regulatory, and market developments in the exchange industry and the common problems exchanges face; explain how these problems are being addressed; and present the consensus view from leading exchange professionals about how to move forward. Most significant, the ideas in the book will come directly from the worlds leading exchange professionals and customers. * Hear the voices of executive-level exchange professionals throughout the book for a candid, realistic, and high-level analysis of the exchange business, its present and future * Share the stories of success and failure these exchange executives shared as they discussed solutions to common challenges * Chart the way forward for your exchange business with confidence based on the collective insights and experience of these professionals

Managing Derivatives Contracts

Managing Derivatives Contracts
A Guide to Derivatives Market Structure, Contract Life Cycle, Operations, and Systems

by Khader Shaik

  • Publisher : Apress
  • Release : 2014-09-29
  • Pages : 492
  • ISBN : 1430262753
  • Language : En, Es, Fr & De
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"I am sure practitioners, auditors, and regulators will find the content of Mr Shaik's book of value. The accessible style is also welcome. All in all, a worthwhile addition to the finance literature and one that hopefully helps plug the knowledge gap in this field." — from the foreword by Professor Moorad Choudhry, Brunel University Managing Derivatives Contracts is a comprehensive and practical treatment of the end-to-end management of the derivatives contract operations, systems, and platforms that support the trading and business of derivative products. This book focuses on the processes and systems in the derivatives contract life cycle that underlie and implement the activities of derivatives trading, pricing, and risk management. Khader Shaik, a Wall Street derivatives platform implementation expert, lays out all the fundamentals needed to understand, conduct, and manage derivatives operations. In particular, he provides both introductory and in-depth treatment of the following topics: derivative product classes; the market structure, mechanics, and players of derivatives markets; types of derivative contracts and life cycle management; derivatives technology platforms, software systems, and protocols; derivatives contracts management; and the new regulatory landscape as shaped by reforms such as Dodd-Frank Title VII and EMIR. Managing Derivatives Contracts focuses on the operational processes and market environment of the derivatives life cycle; it does not address the mathematics or finance of derivatives trading, which are abundantly treated in the standard literature. Managing Derivatives Contracts is divided into four parts. The first part provides a structural overview of the derivatives markets and product classes. The second part examines the roles of derivatives market players, the organization of buy-side and sell-side firms, critical data elements, and the Dodd-Frank reforms. Within the framework of total market flow and straight-through processing as constrained by regulatory compliance, the core of the book details the contract life cycle from origination to expiration for each of the major derivatives product classes, including listed futures and options, cleared and bilateral OTC swaps, and credit derivatives. The final part of the book explores the underlying information technology platform, software systems, and protocols that drive the end-to-end business of derivatives. In particular, it supplies actionable guidelines on how to build a platform using vendor products, in-house development, or a hybrid approach.

Securities Operations

Securities Operations
A Guide to Trade and Position Management

by Michael Simmons

  • Publisher : John Wiley & Sons
  • Release : 2003-07-07
  • Pages : 486
  • ISBN : 0470857153
  • Language : En, Es, Fr & De
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The only comprehensive account of operational risk in securities settlements Securities Operations focuses on the settlement aspects of a securities transaction. As financial analysts make a greater effort toward quantifying and managing operational risk, they are paying more attention to securities transactions in general and to the settlement phase in particular. While describing the practical issues, this book enumerates the different "back office" related risks potentially encountered throughout the settlement. Simmons also covers more advanced topics such as derivatives, trade compensation, internal allocation of funding costs, and operational performance measurement. Michael Simmons (London, UK) is currently Head of Business Consultancy at Wilco International, a major software systems provider to the financial markets. Over the years, financial professionals around the world have looked to the Wiley Finance series and its wide array of bestselling books for the knowledge, insights, and techniques that are essential to success in financial markets. As the pace of change in financial markets and instruments quickens, Wiley Finance continues to respond. With critically acclaimed books by leading thinkers on value investing, risk management, asset allocation, and many other critical subjects, the Wiley Finance series provides the financial community with information they want. Written to provide professionals and individuals with the most current thinking from the best minds in the industry, it is no wonder that the Wiley Finance series is the first and last stop for financial professionals looking to increase their financial expertise.

Pricing, Risk, and Performance Measurement in Practice

Pricing, Risk, and Performance Measurement in Practice
The Building Block Approach to Modeling Instruments and Portfolios

by Wolfgang Schwerdt,Marcelle von Wendland

  • Publisher : Academic Press
  • Release : 2009-10-22
  • Pages : 398
  • ISBN : 9780080923048
  • Language : En, Es, Fr & De
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How can managers increase their ability to calculate price and risk data for financial instruments while decreasing their dependence on a myriad of specific instrument variants? Wolfgang Schwerdt and Marcelle von Wendland created a simple and consistent way to handle and process large amounts of complex financial data. By means of a practical framework, their approach analyzes market and credit risk exposure of financial instruments and portfolios and calculates risk adjusted performance measures. Its emphasis on standardization yields significant improvements in speed and accuracy. Schwerdt and von Wendland's focus on practical implementation directly addresses limitations imposed by the complex and costly processing time required for advanced risk management models and pricing hundreds of thousands of securities each day. Their many examples and programming codes demonstrate how to use standards to build financial instruments, how to price them, and how to measure the risk and performance of the portfolios that include them. Feature: The authors have designed and implemented a standard for the description of financial instruments Benefit: The reader can rely on accurate and valid information about describing financial instruments Feature: The authors have developed an approach for pricing and analyzing any financial instrument using a limited set of atomic instruments Benefit: The reader can use these instruments to define and set up even very large numbers of financial instruments. Feature: The book builds a practical framework for analysing the market and credit risk exposure of financial instruments and portfolios Benefit: Readers can use this framework today in their work and identify and measure market and credit risk using a reliable method.

Accounting for Investments, Fixed Income Securities and Interest Rate Derivatives

Accounting for Investments, Fixed Income Securities and Interest Rate Derivatives
A Practitioner's Handbook

by R. Venkata Subramani

  • Publisher : John Wiley & Sons
  • Release : 2011-07-07
  • Pages : 650
  • ISBN : 0470829052
  • Language : En, Es, Fr & De
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A comprehensive guide to new and existing accounting practices for fixed income securities and interest rate derivatives The financial crisis forced accounting standard setters and market regulators around the globe to come up with new proposals for modifying existing practices for investment accounting. Accounting for Investments, Volume 2: Fixed Income and Interest Rate Derivatives covers these revised standards, as well as those not yet implemented, in detail. Beginning with an overview of the financial products affected by these changes—defining each product, the way it is structured, its advantages and disadvantages, and the different events in the trade life cycle—the book then examines the information that anyone, person or institution, holding fixed income security and interest rate investments must record. Offers a comprehensive overview of financial products including fixed income and interest rate derivatives like interest rate swaps, caps, floors, collars, cross currency swaps, and more Follows the trade life cycle of each product Explains how new and anticipated changes in investment accounting affect the investment world Accurately recording and reporting investments across financial products requires extensive knowledge both of new and existing practices, and Accounting for Investments, Volume 2, Fixed Income Securities and Interest Rate Derivatives covers this important topic in-depth, making it an invaluable resource for professional and novice accountants alike.

The Trade Lifecycle

The Trade Lifecycle
Behind the Scenes of the Trading Process

by Robert P. Baker

  • Publisher : John Wiley & Sons
  • Release : 2010-05-11
  • Pages : 320
  • ISBN : 0470971606
  • Language : En, Es, Fr & De
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The lifecycle of a trade is the fundamental activity of investment banks, hedge funds, pension funds and many other financial companies. There is no better way to understand the working s of a financial institution than to follow the progress of a trade through all of its various stages and all the activities performed upon it. The Trade Lifecycle: Behind the Scenes of the Trading Process is a guide to the trade lifecycle and it inherent risks and weaknesses. The book dissects a trade into its component parts, tracking it from pre-conception to maturity, and examines how the trade affects each business function of a financial institution. As well as illustrating each part of the trade process it highlights the legal, operational, liquidity, credit and market risks to which the trade is exposed. Readers will benefit from a full understanding of all parts of the trade process, including derivative and credit derivative trades and will also see, with examples where appropriate, how the mismanagement of these risks led to the recent financial crisis. The book is divided in to 4 parts. Part 1 covers products and the background to trading including: trading risk; asset classes; derivatives, structures and hybrids; credit derivatives; liquidity, price and leverage. Part 2 covers the trade lifecycle including: the anatomy of a trade; the lifecycle of a trade; cashflows and asset holdings; risk management; market risk control; counterparty risk control; accounting and P&L attribution. Part 3 covers systems and procedures including;: the people; developing processes for new products; new products; systems; testing; data; reports; calculation; mathematical model and systems validation; regulatory, legal and compliance issues and business continuity planning. Finally Part 4 covers what can go wrong, discussing credit derivatives and the financial crisis. In the aftermath of the financial crisis emphasis had moved to transparency and due diligence involving closer scrutiny of all forms of risk. In this new world order, there is a much greater analysis of every trade and all market participants will need to have a better understanding of the impact of their work on the whole trade cycle – this book provides a one stop comprehensive guide to the lifecycle of a trade.

The British National Bibliography

The British National Bibliography
A Book

by Arthur James Wells

  • Publisher : Unknown Publisher
  • Release : 2009
  • Pages : 129
  • ISBN : 9876543210XXX
  • Language : En, Es, Fr & De
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Straight Through Processing for Financial Services

Straight Through Processing for Financial Services
The Complete Guide

by Ayesha Khanna

  • Publisher : Academic Press
  • Release : 2010-08-03
  • Pages : 264
  • ISBN : 0080554849
  • Language : En, Es, Fr & De
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As economic and regulatory pressures drive financial institutions to seek efficiency gains by improving the quality of their trading processes and systems, firms are devoting increasing amounts of capital to maintaining their competitive edge. Straight-Through Processing (STP), which automates every step in the trading system, is the most effective way for firms to remain competitive. According to the Securities Industry Association, the US securities industry will spend $8 billion to implement STP initiatives, and 99% percent of this investment will be made in systems internal to the firm. Straight-Through Processing for Financial Services: The Complete Guide provides the knowledge and tools required by operations managers and systems architects to develop and implement STP processing systems that streamline business processes to maintain competitiveness in the market. * Learn the tools and techniques for developing software systems and for streamlining business processes * Keep up to date and well informed in this highly regulated and ever changing market * Gain the knowledge and experience for a leading consultant in the field

Management of Commonwealth Guarantees, Indemnities and Letters of Comfort

Management of Commonwealth Guarantees, Indemnities and Letters of Comfort
A Book

by Australian National Audit Office

  • Publisher : Unknown Publisher
  • Release : 1998
  • Pages : 99
  • ISBN : 9876543210XXX
  • Language : En, Es, Fr & De
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Knowledge Management in Practice

Knowledge Management in Practice
A Book

by Anthony J. Rhem

  • Publisher : CRC Press
  • Release : 2016-08-19
  • Pages : 375
  • ISBN : 1315356775
  • Language : En, Es, Fr & De
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"This evidence-based book provides the framework and guidelines that professionals need for working with the contemporary explosion of data that is creating opportunities and challenges to all phases of our society and commerce." –Larry R. Medsker, Research Professor in Physics and Data Science, The George Washington University Knowledge Management in Practice is a resource on how knowledge management (KM) is implemented. It provides specific KM methods, tips, techniques, and best practices to gain competitive advantage and the most from investing in KM. It examines how KM is leveraged by first responders, the military, healthcare providers, insurance and financial services companies, legal firms, human resources departments, merger and acquisition (M&A) firms, and research institutions. Essential KM concepts are explored not only from a foundational perspective but also from a practical application. These concepts include capturing and codifying tacit and explicit knowledge, KM methods, information architecture, search, KM and social media, KM and Big Data, and the adoption of KM. Readers can visit the book’s companion website, KM Mentor (www.KMMentor.com), where they can access: Presentations by industry leaders on a variety of topics KM templates and instruction on executing KM strategy, performing knowledge transfer, and KM assessments and audits KM program and project implementation guidance Insights and reviews on KM tools Guidance on implementing and executing various KM Methods Specialized KM publications A private secure collaboration community for members to discuss ideas and get expert answers and advice