19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
Research related to UnaVista - MiFIR Transaction Reporting
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21 June 2021This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
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24 February 2021Market Pain Points Risk-centric and market structure regulations continue to create complex requirements that pose integration and information c…
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8 December 2020The 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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9 November 2020Broker-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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28 October 2020Regulation 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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4 October 2020Employee 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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7 June 2020Improving 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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8 April 2020March Madness: Month 1 of Covid-19 A brief look at the end of the beginning from a trading and communication perspective. A look at how trading…
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23 March 2020In 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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22 March 2020So-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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8 January 2020EVOLUTION 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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12 November 2018The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…