
The CFPB's proposals for Section 1033 mark the beginning of a new era for open banking in the US. Assuming the proposals that are published in O…
The CFPB's proposals for Section 1033 mark the beginning of a new era for open banking in the US. Assuming the proposals that are published in O…
Risk management technology spending is accelerating worldwide, driven by a combination of regulatory change, technological development, and macr…
Traditionally, the reconciliations process and technology have been seen as a "back-office" problem and have not received sufficient investment.…
OakNorth is integrating climate transition risk into portfolio risk management. ON Climate provides lenders the ability to assess climate transi…
On 12th June 2023 (just yesterday), Nasdaq announced their intentions to acquire Adenza (which itself was created from the coming together of Ca…
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Reconciliation is a critical part of capital markets operations because the inability to get it right can result in business losses, suboptimal…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…