Shanghai Evans Investment Management Limited

Financial Markets Operations Management (Mandarin) – a practitioner’s guide to best practice

Financial Markets Training (FMT) is a sister company to SEIML that is comprised of many financial markets subject-matter leaders from industry and academia.  One of the unique offerings of FMT is the training in the ‘operations management’ side of financial markets.  This is an area rarely covered in training and almost completely missing from academic programmes.  Keith Dickinson of FMT authored the book and it was published (English) in 2015 in the Wiley Finance Series.  It covers the topic area completely, with comprehensive discussion of the trade life cycle and then moves into more specialised areas of custody and corporate actions.  Keith has also used it as the core textbook for the university courses he designed and delivered in both the United Kingdom and China.

There is a real absence of financial markets practitioners’ books in China, translated in Mandarin.  So, in 2016, after discussions with Keith and Wiley, Jie Ma, Publisher of China Financial Publishing House ( ), agreed to publish a translated version of the book here in China.  This was something very new but greatly needed as China’s securities markets evolve.  Translating and customising a book of this size (447 pages in English) was a huge undertaking.  So, we are fortunate that Dr. Yan Liu, who is associated with both FMT and SEIML, decided to take on responsibility for this task.  Starting the process from scratch in January 2017, the book was published in December 2017, just under one year; quite an achievement for an undertaking of this magnitude.  Funding for this effort was provided by the SWIFT Institute ( ).

Given the commitment of Keith, Yan and FMT and SEIML to practitioner education in the financial markets, we are now exploring with the Suzhou Equity Exchange ( ) a customised training programme for financial markets operations as it relates to equity markets in China.  I hope that in the not-to-distant future, we can put out a further Press Release on this proposed course.

John D. Evans, CFA

Founder of SEIML

4 February 2018

The book (Mandarin) is available at:

The book (English) is available at:

Financial Markets Operations Management (Mandarin):  ISBN 978-7-5049-8333-6
Financial Markets Operations Management (English):  ISBN 978-1-118-84391-8