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International Trends, CSDs and how SWIFT can help

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

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  1. International Trends, CSDs and how SWIFT can help AECSD – 15th October 2009 John Falk – Securities Initiatives, EMEA

  2. 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

  3. 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

  4. 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

  5. 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

  6. AECSD 15th October 2009

  7. 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

  8. 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

  9. 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

  10. Alliance Lite Welcome to Alliance Lite AECSD 15th October 2009

  11. The only thing you need to connect to SWIFT AECSD 15th October 2009

  12. Plug your SWIFT USB Token in the USB Slot of your PC AECSD 15th October 2009

  13. 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

  14. 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

  15. 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

  16. 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

  17. 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

  18. 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

  19. 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

  20. 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

  21. SWIFT Training AECSD 15th October 2009

  22. Training solutions for everyone Classroom courses On-sitetraining SWIFTeTraining SWIFTWeb class General knowledge Payments Securities Treasury Trade Connectivity AECSD 15th October 2009

  23. 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

  24. 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

  25. 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

  26. International Trends, CSDs and how SWIFT can help AECSD – 15th October 2009 John Falk – Securities Initiatives, EMEA

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