2024/03/20
OakNorth is integrating climate transition risk into portfolio risk management. ON Climate provides lenders the ability to assess climate transi…
Research related to Regulatory Reporting Solutions
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2023/06/13On 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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2021/10/19The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
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2021/06/21This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
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2020/12/08The 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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2020/11/09Broker-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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2020/10/28Regulation 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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2020/10/04Employee 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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2020/06/07Improving 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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2020/03/23In 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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2020/03/22So-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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2020/01/08EVOLUTION 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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2018/11/12The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to Investment Compliance Solutions
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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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2023/12/02In 2024, technological turbulence – generative artificial intelligence (Gen AI), digital asset adoption, increased fraud and cyber risk – will r…
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2023/11/23When 2023 opened with the scare of an SVB-led financial contagion, financial risk topped the list of CRO concerns. With that crisis averted, ope…
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2023/10/29Recorded on October 31, 2023. The first waves of Gen AI are hitting the shore as FIs test use cases in call centers. But Risk Leaders see a tsun…
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2023/08/08Few financial institutions have yet to implement Generative Artificial Intelligence (GenAI) technology in their operations, however, both large…
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2023/07/19Recorded on July 19, 2023. Want to hear more about the current state of technology strategy and investment prioritization in the industry? Our w…
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2023/07/12Operational resilience regulation is spurring GRC transformation in financial institutions - more urgently in countries with high regulatory req…
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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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2023/03/29To facilitate adoption of AI and Machine Learning across the bank, CIBC built a shared AI/ML Platform in the Cloud. By taking care of governance…
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2023/03/29With rising foreign investment in Vietnam, VP Bank wanted to offer their corporate customers currency and interest rate swaps, but the banks’ co…
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2023/03/28Bank of America's Operational Intelligence team developed Virtual On-Watch to automate incident response workflows. The tool improves operationa…
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2023/02/27Industry standards are defined by industry-wide acceptance. It is that universality that makes them so hard to establish, and so useful once the…
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2023/01/30Increasingly, risk offices at financial institutions are using advanced data management and artificial intelligence (AI), orchestration, high-pe…
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2022/10/30Recorded on October 27th, 2022 Geopolitical and economic headwinds, following straight on the heels of the pandemic, highlight the need for resi…
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2022/10/28Previsory is a portmanteau word coined by Celent to describe a forward-looking view of technology, and advice on how to respond to and leverage…