TREASURY & SECURITIES SERVICES
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TREASURY & SECURITIES SERVICES. March 2006. IT For Financial Services. Joe Leinhauser. Agenda. Introduction After the Trade is Made Who is Behind the Curtain Industry Drivers Impacting IT Q&A. AFTER THE TRADE IS MADE. Internal Systems

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March 2006

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March 2006

TREASURY & SECURITIES SERVICES

March 2006

IT For Financial Services

Joe Leinhauser


Agenda

Agenda

  • Introduction

  • After the Trade is Made

  • Who is Behind the Curtain

  • Industry Drivers Impacting IT

  • Q&A


After the trade is made

AFTER THE TRADE IS MADE

  • Internal Systems

    Front Office trade capture and risk management systems

    Securities Processing and control applications

    Reporting (e.g., client, regulatory)

    Financial (e.g., P&L, General Ledger)

  • Interfaces with external entities

    Exchanges (e.g., NYSE, NASDAQ, LSE)

    Clearing houses (e.g., DTCC, CREST, EuroClear)

    Commercial Banks (e.g., Custodians, Transfer Agent)

  • Communication with Clients

    Confirmations

    Settlements instructions (cash, securities)


Who is behind the curtain

WHO IS BEHIND THE CURTAIN

  • Software developers/vendors

    Developers of custom code for client-driven requirements (e.g., IBM, Cognizant)

    Providers of “packaged” or semi-custom software (e.g., Sungard, MKI-Frustum)

  • Data Providers

    Bloomberg

    Reuters

  • Securities Operations

    Depositories

    Custodians

    Transfer Agents

  • Communication Facilitators

    SWIFT

    FIX


Swift

SWIFT

  • SWIFT is the financial industry-owned co-operative supplying secure, standardized messaging services and interface software to 7,800 financial institutions in more than 200 countries.

  • SWIFT's worldwide community includes banks, broker/dealers and investment managers, as well as their market infrastructures in payments, securities, treasury and trade.

  • SWIFT Mission

    • Work in partnership with its members to provide low-cost, competitive financial processing and communications services of the highest security and reliability.

    • Contribute significantly to the commercial success of its members through greater automation of the end-to-end financial transaction process, based on its leading expertise in message processing and financial standards setting

    • Capitalise on its position as an international open forum for the world’s financial institutions to address industry-level threats, issues and opportunities


Industry drivers impacting it

INDUSTRY DRIVERS IMPACTING IT

  • Past

  • Y2k

  • European Union

  • Mergers

  • Present

  • Exchange consolidation

  • SOX

  • Mergers

  • STP

  • Risk Management

  • Future

  • T+1

  • Regulatory Harmonization

  • Non-standard competitors

  • Mergers

  • STP

  • Risk Management


March 2006

Q&A


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