Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
William Trout
Insights
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28 October 2020
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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9 September 2020
Report Highlights Global AuM of ESG-directed institutional and retail assets (2021) AuM breakdown of US vs Europe versus other regions ESG p…
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30 June 2020
Celent explores key trends, data sources, metrics, and partnerhsips in ESG. We look at the implications across capital markets, asset and wealth…
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21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
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16 June 2020
Months into the COVID-19 crisis, wealth manager focus is shifting from business continuity and financial survival toward driving client engageme…
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3 June 2020
Neil Sheehan and Will Trout discuss trends and COVID-19's impact on outsourcing for Wealth Managers.
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27 May 2020
It took just a few days this March for a booming US economy to stop in its tracks, and a few weeks to end a 10-year bull market. As markets crat…
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19 April 2020
5G is rolling out around the world, COVID-19 notwithstanding. It’s 10 to up to 100 times as fast as its predecessor 4G, has higher capacity, and…
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16 April 2020
Robust levels of organic growth demanded a new approach to business assurance (compliance) at St. James’s Place, a wealth manager serving indivi…
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16 April 2020
Celent recognizes PIMCO as the winner of the Model Asset Manager 2020 Products and Platforms Award for their initiative PIMCO PRO and portfolio…
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15 April 2020
Celent's Wealth Management team discusses how COVID-19 impacts recent reports. Reports discussed: Digitizing Estate PlanningAwaad AamirHands-on…
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23 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
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8 March 2020
Update to the Report Not your Grandfather's Wealth Manager: Digitizing the Legacy Platform This report, now titledThe Front Office Is Powered By…