Below you will find reports and documents published by ISSA. More documents can be found in the respective Working Group sections of this website.

 



Collateral Management

  • Collateral Management – Cross Border Mobilisation of Collateral (07/2016) > PDF 632 kB
  • Collateral Management – Best Practices for Cleared and Bi-laterally Traded Products (02/2014) > PDF 711 kB


Corporate Actions and Proxy Voting

  • Survey Questionnaire on current practices for beneficial owner disclosure (03/2019) > PDF 1.5 MB
  • Digitization at Source of Corporate Action event data (12/2015) > PDF 918 kB
  • Final Report on Global Principles for Corporate Actions Processing and Proxy Voting (06/2012) > PDF 797 kB


Distributed Ledger Technology

  • Report "Infrastructure for Crypto-Assets: A Review by Infrastructure Providers" (10/2018) > PDF 787 kB
  • Distributed Ledger Technology - Principles for Industry-Wide Acceptance, v1.0 (06/2018) > PDF 1.2 MB
  • Report "General Meeting Proxy Voting on Distributed Ledger"; Product Requirements v2.1 (11/2017) > PDF 685 kB
  • Cross-Reference Table aligning the Proxy Voting DLT solution with ISO 20 (11/2017) > PDF 395 kB


Financial Crime Compliance Principles for Securities Custody and Settlement

  • ISSA Financial Crime Compliance Principles for Securities Custody and Settlement, second revision (05/2019) > PDF 326 kB
  • ISSA Financial Crime Compliance Questionnaire (ISSA DDQ), simplified version (05/2019) > DOC 300 kB
  • Examples of Draft Contractual Terms to Support the Implementation of the Principles (05/2019) > PDF 211 kB
  • Background & Overview on the Financial Crime Compliance Principles (05/2019) > PDF 574 kB
  • ISSA commissioned Study on the Benefits and Costs of Securities Accounting Systems, (08/2015) > PDF 950 kB


Process Efficiency

  • Report "Investment Funds Processing in Europe" (10/2009) > PDF 743 kB
  • Executive Summary and Guiding Principles (10/2009) > PDF 97 kB
  • Annexes to the Report (10/2009) > PDF 2.4 MB
  • Final Report on Communication Standards and Reference Data (06/2012) > PDF 3.9 MB
  • Report on the verification of valuations of OTC derivatives (09/2008) > PDF 168 kB


Regulatory Issues

  • Final Report on Regulatory Developments in the Securities Services Chain (08/2018) > PDF 593 kB
  • Regulatory Developments in the Securities Services Chain (11/2017) > PDF 2.3 MB
  • Regulatory Trends and Initiatives Affecting Custodians, Clearers and (I)CSDs; Impacts and Implications (06/2012) > PDF 799 kB
  • Shadow Banking – Developments of Regulatory Changes and their Impact on ISSA Members (02/2014) > PDF 624 kB


Risk Management

  • Report "Cyber Security Risk Management in Securities Services" (10/2018) > PDF 929 kB
  • Inherent Risks within the Global Custody Chain (02/2017) > PDF 1.9 MB
  • AGC / ISSA Joint Report on Addressing Challenges in Safekeeping and Super­visory Services for Out-of-Network Assets (04/2014) > PDF 704 kB
  • Hidden Risks in the Securities Services Industry – A Sampling of Consequences to Custodians, Clearers and (I)CSDs (06/2012) > PDF 577 kB
  • Letter to European Commission (09/2009), PDF 125 kB
  • Final paper: UCITS Depositary Functions - Risks and Liabilities (10/2009), PDF 262 kB