公司行为：安全事件管理指南CORPORATE ACTIONS - A GUIDE TO SECURITIES EVENT MANAGEMENT
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作者： Michael Simmons, Elaine Dalgleish 著
出 版 社： John Wiley & Sons
出版时间： 2006-12-1字数：版次： 1页数： 403印刷时间： 2006/03/01开本：印次：纸张： 胶版纸I S B N ： 9780470870662包装： 精装内容简介
Corporate actions are events that affect large corporations through to the individual investor - even those that own a single-share! All organizations that hold equity and debt securities for themselves and/or on behalf of others are affected when the issuer of a security announces an income or corporate action event. The successful management of the array of different event types requires understanding of the inherent risks, and tight controls at critical points in the event lifecycle. The management of income and corporate action events are important and essential parts of the securities industry business. Written by authors with many years experience within this sector, Corporate Actions: A Guide to Securities Event Management sets out to demystify the subject and provides a thorough, step-by-step introduction to corporate actions and income events.
Corporate Actions is a comprehensive source for understanding a major component of operational processing. The individual components and their relation to each other within the corporate actions lifecycle are explained in detail, through which the reader will gain a clear and thorough understanding of the lifecycle together with potential processing risks and the strategies to mitigate
Corporate Actions is essential reading for all those involved in the securities industry, from new recruits to those involved in both the day-to-day operations process and those within executive management. It will also prove invaluable to those providing consultancy and software solutions to the securities industry.
Corporate Actions is the first major work on this subject. Many people within the securities industry have heard of corporate actions - many people know they can be highly risky - many organizations have lost vast sums of cash in attempting to process them - very few understand them!
作者简介
MICHAEL SIMMONS has spent the majority of his working life within the operational areas of international investment banks, most notably within the S.G. Warburg group in London. Having gained a detailed understanding of various back office tasks through many years of hands-on experience, he assumed managerial responsibility for a number of operational areas.
In recent years, Michael has worked as head of business consultancy within a global computing services firm, and is now an independent analyst and trainer. Michael’s areas of expertise include all aspects of the fixed income and equity trade lifecycle and related activities, including operational risks and controls. Recent assignments include the offshoring of operational activities to India and operational risk analysis (the Sarbanes Oxley act). In addition, he creates and delivers training courses on the workings of the securities industry and associated operational aspects to audiences around the world.
Michael is author of Securities Operations: A Guide to Trade and Position Management published by John Wiley & Sons, which describes the fundamental components of operational activities from a first-principles perspective.
目录
Introduction
About the Authors
PART I INTRODUCTORY ELEMENTS
1 Basic Corporate Action Concepts
2 Event Description and Classification
3 The Securities (and Corporate Actions) Market Place
4 Static Data
5 Securities Position Management
PART II MANDATORY EVENTS
6 Overview of the Generic Corporate Action Lifecycle
7 Straight Through Processing
8 Event Terms Capture and Cleansing
9 Determining Entitlement
10 Communication of Event Information
11 Calculation of Resultant Entitlements
12 Passing of Internal Entries
13 Collection/Disbursement of Resultant Entitlements
14 Updating of Internal Entries
15 Examples of Mandatory Events
PART III EVENTS WITH ELECTIONS
16 Concepts of Events with Elections
17 Management of Mandatory with Options Events
18 Management of Voluntary Events
PART IV MULTI-STAGE EVENTS
19 Concepts of Multi-Stage Events
20 Management of a Rights Issue
21 Example of a Rights Issue
22 Concepts of Takeover Events
23 Management of Takeover Events
PARTV TAXATION
24 Concepts and Management of Taxation
25 Management of Income Tax
PART VI ISSUER NOTICES
26 Concepts and Management of Issuer Notices
PART VII OBJECTIVES AND INITIATIVES
27 Objectives and Initiatives
Glossary of Terms
Index
