2021/05/11
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
Research related to Third Party Risk Management
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2021/03/30Digital customer acquisition was a white hot topic before the pandemic and has exploded since then. Our March 2021 Digital Banking Panel survey…
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2021/03/10RBC launched new remote account open tools for personal and business clients. With this, RBC offers clients three convenient ways to open an acc…
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2020/09/21Join Awaad Aamir as he highlights findings from over 30 direct financial institution use cases on wealth management IT spending. Our videocast w…
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2020/07/13Shelter-in-place and attendant work from home have been a litmus test for the state of digitization at banks. Those in the vanguard have fared r…
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2020/05/06In today’s post-COVID climate which is in part characterized by limited in-person contact, wealth managers are refocusing their IT investments t…
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2020/04/27Digitizing commercial and corporate customer onboarding requires not only resources but also fortitude and perseverance. The size of the prize m…
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2020/04/21Revelations of lax control in financial institutions’ know your customer (KYC) and anti-money laundering (AML), associated regulatory fines, and…
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2020/04/16Robust 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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2020/04/10Digitization and operational efficiency have become even more important as we enter a global recession. Amongst the numerous areas ripe for both…
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2020/01/28Digitizing customer onboarding is like using starting blocks in a sprint. It improves performance materially. Onboarding times can be reduced fr…
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2020/01/27The past two years has seen an explosion of fintech product launches in response to the manifest demand for digital customer origination and onb…
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2019/11/212019 has seen a bevy of banks rush to stand up a digital customer acquisition capability - for good reason. But having digital onboarding capabi…
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2019/09/10The complex dynamics of technology and regulatory evolution have placed unprecedented demands on banks’ Know Your Customer (KYC) and anti-money…
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2019/08/20Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Research related to Senior Managers & Certification Regime Management (SMCR)
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2021/05/11
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
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2021/04/14In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
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2021/04/11Snap polls reflect questions posed by members of the Celent Executive Research Panel, a group of C level executives in the insuranace industry.…
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2021/03/09Congratulations to Celent's Model Risk Manager 2021 Award winners: Credit Suisse, Fino Payments Bank, Goldman Sachs, HSBC, Standard Bank, State…
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2021/02/24
When it comes to the capital markets, a shift is underway in the process of application development. This is driven by increasing demands across…
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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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2020/11/10Broker-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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2020/10/29Regulation 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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2020/09/29Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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2020/09/27Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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2020/07/15A new world of more costly, intrusive, and data-intensive regulatory regimes has challenged ALM practices and operating models to embrace greate…
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2020/06/21Set 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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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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2020/04/02Globally, the financial environment remains in an ultra-low interest rate environment and there is a high probability that interest rates will r…
Research related to GDPR Management
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2021/05/11
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
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2021/04/14
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
2021/04/11
Snap polls reflect questions posed by members of the Celent Executive Research Panel, a group of C level executives in the insuranace industry.…
-
2021/03/09
Congratulations to Celent's Model Risk Manager 2021 Award winners: Credit Suisse, Fino Payments Bank, Goldman Sachs, HSBC, Standard Bank, State…
-
2021/02/24
When it comes to the capital markets, a shift is underway in the process of application development. This is driven by increasing demands across…
-
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…
-
2020/11/20Risk management has a crucial role to play in keeping financial institutions on an even keel during these turbulent times. This session focuses…
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2020/11/10
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…
-
2020/10/29
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
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…
-
2020/09/29
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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2020/09/27
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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2020/09/19It is imperative for financial institutions to stay competitive in digital financial services. Yet digital architectures bring new risks,with co…
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2020/07/15
A new world of more costly, intrusive, and data-intensive regulatory regimes has challenged ALM practices and operating models to embrace greate…
-
2020/06/21
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…
Research related to Risk Management
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2021/05/11
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
2021/04/14
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
2021/04/11
Snap polls reflect questions posed by members of the Celent Executive Research Panel, a group of C level executives in the insuranace industry.…
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2021/03/09Credit Suisse’s Chief Risk Office in Asia Pacific created a cross-risk platform for risk identification and analysis across financial risk, oper…
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2021/03/09
Congratulations to Celent's Model Risk Manager 2021 Award winners: Credit Suisse, Fino Payments Bank, Goldman Sachs, HSBC, Standard Bank, State…
-
2021/02/24
When it comes to the capital markets, a shift is underway in the process of application development. This is driven by increasing demands across…
-
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…
-
2020/11/10
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…
-
2020/10/29
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
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…
-
2020/09/29
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
2020/09/27
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
2020/07/15
A new world of more costly, intrusive, and data-intensive regulatory regimes has challenged ALM practices and operating models to embrace greate…
-
2020/06/21
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…
-
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…
Research related to Compliance Management
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2021/05/11
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
2021/04/14
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
2021/04/11
Snap polls reflect questions posed by members of the Celent Executive Research Panel, a group of C level executives in the insuranace industry.…
-
2021/03/09
Congratulations to Celent's Model Risk Manager 2021 Award winners: Credit Suisse, Fino Payments Bank, Goldman Sachs, HSBC, Standard Bank, State…
-
2021/02/24
When it comes to the capital markets, a shift is underway in the process of application development. This is driven by increasing demands across…
-
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…
-
2020/11/20
Risk management has a crucial role to play in keeping financial institutions on an even keel during these turbulent times. This session focuses…
-
2020/11/10
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…
-
2020/10/29
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
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…
-
2020/09/29
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
2020/09/27
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
2020/09/19
It is imperative for financial institutions to stay competitive in digital financial services. Yet digital architectures bring new risks,with co…
-
2020/07/15
A new world of more costly, intrusive, and data-intensive regulatory regimes has challenged ALM practices and operating models to embrace greate…
-
2020/06/21
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…