Securities & Investments Newsletter: September 2018

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13 September 2018
United States

Welcome back from summer! I’d like to highlight some of our recent insights you may have missed along with some future insights and events we don’t want you to miss.

Risk Heating Up

In the Risk and Compliance area, we have been quite active with Neil Katkov recently delivering a webinar on incumbents and challengers in financial crime technology. Continuing this theme, Arin Ray delivered a report on an exciting new dawn in AML Technology. Moreover, Cubillas Ding delivered part 1 of a series of detailed reports on Next-Generation Portfolio and Investment Risk Capabilities. Speaking of next-gen, our team will present its views on next-generation technologies for operational risk, compliance and financial crime at a roundtable on September 27 in London.

Capital Markets Evolution

Capital markets continue to re-invent themselves, and we recently interviewed 20 leading market infrastructure players, including CIOs, to determine their priorities as they continue their radical transformation and adopt new technologies across their organizations.

Moreover, we continue our dive into individual asset classes as Brad Bailey recently delivered a treatise on capital markets FX technology solutions, where he provides a buyers’ guide to FX solutions across the value chain. Speaking of asset classes, John Dwyer recently followed up on asset-backed tokens with a report on the rise of tokenization as a business strategy.

Arin Ray closely tracked the evolution of utilities and managed services in capital markets, where we see growing adoption and signs of further technology innovation. For further evidence of an evolution of capital markets infrastructure and the front office, see our upcoming London roundtable on September 27 where we will present insights on how new business models and technologies are affecting the capital markets front office value chain.

Speaking of front-office, AI and machine learning continue to grab people’s attention. And Josephine de Chazournes would like your attention for a client-only webinar on September 18 on AI across the front office.


We have released a slew of wealth management reports, including a look at current initiatives and technology adoption in US and UK online brokerage, courtesy of Ashley Globerman. In emerging technology, Kelley Byrnes recently offered a report on demystifying AI in wealth management as well as building your DevOps chops in wealth and asset management. Furthermore, customer analytics, including predictive analytics, are increasingly being leveraged, and we offer views on best practicesfor communication, marketing, and security in wealth management. In asset management, Will Trout discussed how asset managers are fighting back to secure distribution and leveraging the data revolution.


Several vendors across the financial services technology spectrum have chosen to list their services on our new platform VendorMatch. VendorMatch helps you to discover new, exciting, and relevant commercial technology solutions, allows you to evaluate partners for future projects, and saves you time and money in the process.

We are not stopping there! We will also use VendorMatch internally as a mechanism for our own research and plan to deliver the bulk of our vendor-related research through the platform. Our goal is to run our ABCD and Spectrum reports on VendorMatch by the end of the year. We’ve got an ambitious digital roadmap ahead of us, and I look forward to hearing your feedback from you as we continue to launch our new digital services.

Finally, we recently launched our 2019 Model Wealth Manager and Asset Manager Awards. We invite financial institutions to submit their technology initiatives for consideration by November 16.

David Easthope
Senior Vice President

News article details

Capital Markets, Wealth Management
Media Type
Geographic Focus
Asia-Pacific, EMEA, LATAM, North America