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International Trends, CSDs and how SWIFT can help. AECSD – 15 th October 2009. John Falk – Securities Initiatives, EMEA. Agenda. Securities Market Infrastructures - trends CSD business conducted over SWIFT Use of SWIFTNet by CSDs SWIFT Alliance Lite Professional Services Education.

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international trends csds and how swift can help

International Trends, CSDs and how SWIFT can help

AECSD – 15th October 2009

John Falk – Securities Initiatives, EMEA

agenda
Agenda
  • Securities Market Infrastructures - trends
  • CSD business conducted over SWIFT
  • Use of SWIFTNet by CSDs
  • SWIFT Alliance Lite
  • Professional Services
  • Education

AECSD 15th October 2009

three major trends affecting securities market infrastructures
Three major trends affecting Securities Market Infrastructures
  • Focus on core business to develop added-value services for their user-community
  • Internationalisation of their landscape (participants and new competitors)
  • Drive towards full Straight Through Processing to decrease risk and processing costs

Growing importance of international market practices and standards (ISO 15022, ISO 20022) in a domestic market

AECSD 15th October 2009

typical csd workflows

Clearing Flows

Clearing Houses/CCPs

Settlement instructions,

status, confirmations

Payment flows

Banks, Central Banks

Payment instructions,

payment confirmations

SettlementFlows

Instruction

Capture

Instruction

Matching

Instruction

Settlement

Banks, brokers

Settlement instructions,

status, confirmations

and reporting

Regulatoryflows

Regulators

Transactions, positions,

specific reporting

Large

Message Volumes:

Typical CSD workflows

Medium

Small

Central Securities

Depository

Settlement Management

Registrar flows

Issuers, issuer agents

Shareholder statements asset servicing

Depository Function

Safekeeping

Asset

Servicing

Central

Registrar

Asset Servicing flows

Support

Custodians

Corporate Action notifications, instructions, confirmations, proxy voting

Reporting

Admin

AECSD 15th October 2009

swift solution toolkit for csds
SWIFT solution toolkit for CSDs

STaQS

SmartStream

Accord for Securities (future)

MT-MX

ISO 15022 – ISO 20022

Non-ISO (proprietary, FIX, FpML..)

Support

Partners, Training

Integration

Project management

Hosting services

Closed user group with centralized billing

Alliance Access

Alliance Gateway

Messenger, WebStation

Connect Silver or Gold

SNL, HSM, PKI certificates

Integrator

Standards Development Kit

+ for CSD participants

Alliance Entry

Starter Set

Kits, Lite

Connect Bronze

Service Bureau

Member concentrator

FIN

FileAct

InterAct

Browse

Instructions

Confirmations

Statements

CA reporting

Collateral Mgmt

(ISO 15022

only)

Putting legacy

file transfer

on

SWIFTNet

(proprietary formats or

ISO 15022 or

ISO 20022)

Putting legacy

messaging

on SWIFTNet

(proprietary formats or

ISO 15022 or

ISO 20022)

Putting legacy screen-based access on SWIFTNet

AECSD 15th October 2009

swift reach 8600 financial institutions
SWIFT Reach: > 8600 financial institutions

Banks

Custodians

Investment Managers

Pension

providers

Brokers-dealers

Fund Administrators / Registries

Securities Market Infrastructures

SWIFT

ETC Providers

Insurance

Companies

Fund Supermarkets

Corporates

Payment Market Infrastructures

AECSD 15th October 2009

csd business conducted over swift
Core functionality:

Instructions

Status reporting

Confirmations

Statements

Corporate Actions

Link with NCB

Borrowing/Lending

Non-core functionality

General payments

CSD-CSD links

Funds processing

CSD business conducted over SWIFT

AECSD 15th October 2009

securities market infrastructures on swift 80 institutions from 50 countries
Securities Market Infrastructures on SWIFT>80 institutions from 50 countries

Hungary

Indonesia

Ireland

Keler

KSEI

Euroclear UK & Ireland

Argentina

Caja de Valores

Singapore

Slovakia

The Central Depository (Pte) LtdMonetary Authority of Singapore

Australia

Australian Securities Exchange

Austraclear

Bank of SlovakiaCDCP

Israel

Tel Aviv Stock Exchange

Austria

OeKB

Slovenia

Central Securities Clearing Corporation – KDD

Belgium

Euroclear Belgium

Euroclear BankMTSNational Bank of Belgium

Italy

CCGMonte Titoli

MTS

South Africa

STRATEJSE Ltd

Japan

Bank of JapanJasdec

Spain

IberclearMEFFMTS

Brazil

CBLC

Central Securities Depository

Kazakhstan Stock Exchange

Kazakhstan

Canada

CDS

Chile

Deposito Centrale de Valores S.A.

Korea

Korea Securities Depository

Sri Lanka

Central Bank of Sri Lanka (LankaSecure)

Croatia

Sredisnja Depositarrna Agencija

Kuwait

Kuwait Clearing Company

Sweden

Euroclear SwedenNASDAQ OMX

Czech Republic

UNIVYC

Latvia

Bank of LatviaCentral DepositoryNASDAQ OMX

NASDAQ OMX

VP

Switzerland

SIXSIX x-clear

Denmark

Lebanon

Midclear Central Depository

Estonia

Estonian Securities Depository

NASDAQ OMX

Taiwan

Taiwan Depository & Clearing Corporation

Lithuania

NASDAQ OMX

MCSD MISR for Clearing, Settlement and Depository

Egypt

Luxemburg

Clearstream Banking SA

Thailand

Thailand Securities Dep Co. Ltd.

Mexico

S.D. Indeval

Turkey

TAKAS Bank

Finland

Euroclear FinlandNASDAQ OMX

Netherlands

Euroclear NederlandMTS

EMCF

UAE - Dubai

NASDAQ Dubai

France

Euroclear FranceEuronext Paris – MATIFMTS

United Kingdom

EuroCCPEuroclear UK & IrelandICE Futures EuropeLCH.ClearnetLondon Stock Exchange

New Zealand

RBNZ Austraclear

NZX Ltd

Eurex ClearingClearstream Banking AGMTS

Norway

VPS

Germany

USA

Chicago Mercantile ExchangeClearing CorporationDTCCFederal Reserve BanksOmgeoOptions Clearing Corporation

Poland

National Depository for Securities– KDPW

Portugal

Interbolsa

Banco de Portugal – SITEMEMTS

Hellenic Exchanges SABank of Greece

Greece

Qatar

Doha Securities Market

Hong Kong Exchanges and Clearing

Hong Kong Monetary Authority (CMU)

Romania

Depozitarul Central

Zimbabwe

Reserve Bank of Zimbabwe

Hong Kong

Depository Clearing CompanyThe National Depository Center

Russian Federation

AECSD 15th October 2009

AECSD 15th October 2009

slide10

Alliance Lite

Welcome to Alliance Lite

AECSD 15th October 2009

slide11
The only thing

you need to

connect to

SWIFT

AECSD 15th October 2009

slide12

Plug your SWIFT USB Token

in the USB Slot of your PC

AECSD 15th October 2009

slide13

The Service

Web server

SSL

Work flow

SWIFTNet Interface

Signed

messages

AutoClient

Business

Integration

Manual

Browser

Interface

SWIFT

Security

SWIFT

Managed

SWIFT

Messaging

SWIFT

Community

Alliance Lite

Customer

Internet

Counterparties

SWIFT

Network

Alliance Lite

Central

Infrastructure

AECSD 15th October 2009

slide14

SWIFT Professional ServicesWho we are

  • Cross-divisional teams of SWIFT professionals that have:
    • Expertise in business or technical analysis of your operational flows, vendor applications, technology and infrastructure
    • Comprehensive understanding of message standards, and end to end processing
    • Access to a large Knowledge Base and competitive benchmarking data
    • Project or Service Management experience
    • Extensive knowledge of financial markets, SWIFT infrastructure and/or latest technological developments

AECSD 15th October 2009

consulting services offering
Consulting services offering
  • Compare and Benchmarking against Peers
  • Assessment of business or technical operations
  • Analysis and Design of optimal solution
  • Implementation and go-live assistance
  • Training and knowledge management
  • Operational Support and Service Management
  • Tactical review of current infrastructure

AECSD 15th October 2009

swift professional services portfolio of services covering your needs

Compare

Analyse

Design

Implement

Review

Train

Go-Live

Support

SWIFT Professional ServicesPortfolio of services covering your needs

Technical and Business Consulting

Implementation and Integration Services

SWIFT Support and Training

The experts are chosen from various teams as appropriate

AECSD 15th October 2009

analysis and design of the optimal solution

Compare

Analyse

Design

Implement

Review

Train

Go-Live

Support

Analysis and design of the optimal solution
  • Review:
      • Business, operational and functional requirements,
      • Business criticality and resiliency targets
      • Regulatory requirements, procedures, SLAs
      • Optimal usage of available infrastructure components
      • Integration options and abilities
  • Design the a cost efficient infrastructure or integration solution.

Ourexpertise can help to design the infrastructure matching your needs

AECSD 15th October 2009

implementation and go live

Compare

Analyse

Design

Implement

Review

Train

Go-Live

Support

Implementation and Go-Live
  • Technical Project Management Assistance
  • Implementation Project Management and governance
  • Installation and migration assistance
  • Configuration and deployment of SWIFT integration package
  • Rapid prototyping and transfer of information
  • Training requirements assessment

SWIFT consulting services can help to speed up the implementation process

AECSD 15th October 2009

tactical review of current infrastructure

Compare

Analyse

Design

Implement

Review

Train

Go-Live

Support

Tactical review of current infrastructure
  • Review of your environment in terms of scalability, robustness and capacity
  • Assess ability of architecture in view of migrations and new flows
  • Technical health-check (OS, versions, patches, …)
  • Review of Daily, Monthly, … procedures
  • Audit of security profiles and users
  • Incident management and disaster site activation

The requirements may have changed over time

AECSD 15th October 2009

example review of current infrastructure do i have the right procedures
Example: Review of current infrastructureDo I have the right procedures?
  • Tailored to your specific infrastructure
  • Based on your operational and business requirements
  • According to best market practice
  • In-line with SSE guidelines

Recommendations on operational procedures

AECSD 15th October 2009

slide21

SWIFT Training

AECSD 15th October 2009

training solutions for everyone
Training solutions for everyone

Classroom

courses

On-sitetraining

SWIFTeTraining

SWIFTWeb class

General

knowledge

Payments

Securities

Treasury

Trade

Connectivity

AECSD 15th October 2009

classroom courses
Classroom courses
  • In-depth training on SWIFT’sproducts and services
  • High interactivity between instructorand participants
  • Available in a variety of locationsthroughout the world (over 130countries)
  • The instructor speaks your language(over 15 languages)
  • Courses from 1 to 3 days

AECSD 15th October 2009

on site training
On-site training
  • Content personalised to your specific needs
  • Only the topics you are interested in
  • As many days as you require
  • Training in the comfort of your office
  • No travel expenses for your staff
  • Can be combined with public classroom courses or SWIFT eTraining

Contact the SWIFT Training team to discuss your personalised training package

AECSD 15th October 2009

swift etraining

NEW!

SWIFT eTraining
  • State-of-the-art training modules
  • Reference material
  • With voice-over and interactive animations
  • Ready-to-use in a few seconds
  • Learn any time, anywhere

Your low-cost solution for high quality training

AECSD 15th October 2009

international trends csds and how swift can help26

International Trends, CSDs and how SWIFT can help

AECSD – 15th October 2009

John Falk – Securities Initiatives, EMEA