Traditionally, the reconciliations process and technology have been seen as a "back-office" problem and have not received sufficient investment.…
Research related to AutoRek
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2024/04/09
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2024/03/20
OakNorth is integrating climate transition risk into portfolio risk management. ON Climate provides lenders the ability to assess climate transi…
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2023/06/13
On 12th June 2023 (just yesterday), Nasdaq announced their intentions to acquire Adenza (which itself was created from the coming together of Ca…
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2021/10/19
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
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2021/06/21
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
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2020/12/08
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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2020/11/09
Broker-dealers continue to watch how the SEC and FINRA interpret and enforce Regulation Best Interest (Reg BI) and Form CRS. On October 26th, th…
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2020/10/28
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
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2020/10/04
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
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2020/08/09
Reconciliation is a critical part of capital markets operations because the inability to get it right can result in business losses, suboptimal…
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2020/06/07
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
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2020/03/23
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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2020/03/22
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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2020/01/08
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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2019/01/24
Intelligent automation-enabled tools promise to offer significant operational and efficiency improvements in the middle and back office in capit…