5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
AxiomSL
Email
Call back
Website
close
This feature is upgradeable
For End Users
You can activate this feature and other links for ALL VENDORS with a VendorMatch Premium subscription. Additionally you can gain access to an increased depth of data, summary reports, RFX reports (detailed completed RFIs - available to financial institutions only) and comparison grids. Please click here for more information on Premium features.
For Vendors
Vendors can activate their links and gain access to analytics by upgrading to VendorMatch PRO. Please click here for more information
Ask an Analyst
Ask an analyst is the ability to communicate with one of our analysts about this vendor, system or genre of solution.
Survey Summary
The Survey Summary provides a download of the vendor profile, solution profile and the VendorMatch Discovery survey vendor responses used to power the directory. All responses are provided by the vendor online.
Note that this report is a high level summary of the vendor's credentials and a solution's capabilities designed to assist with solution short-listing. The RFX report is the more comprehensive Request For Information report designed to support evaluation and selection, this will only show where the vendor has completed the "RFX" RFI.
HOW TO SUBSCRIBE
To protect vendor data only financial institutions and recognized advisors can subscribe to VendorMatch Premium. Please click here for more information on Premium features or contact us to discuss a subscription.
RFX Report
The RFX report is an XLS download of the Vendors response to the “RFX” Request for Information for this solution.
The RFX is a centralized golden copy of a RFI authored by our analysts based on their expertise in running real-life system evaluation and selection projects and completed by the vendor online.
Note to protect vendor that only Financial Institutions and recognized Advisor can subscribe to this feature.
In each instance the first time the link is used the user requests permission to access the RFX report and it is the vendor who is required to authorizes access. You will be alerted when the vendor has reviewed your request and granted permission.
HOW TO SUBSCRIBE
You can activate this feature with a VendorMatch Premium subscription. Please click here for more information on Premium features or contact us to discuss a subscription.
To learn more about subscribing to our service options, please contact us here
Research related to US Broker Dealers Net Capital Calculations solution
-
-
30 September 2020Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020Set 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…
-
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…
-
24 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…
-
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…
-
17 March 2020COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 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…
-
20 August 2019Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to FDIC Part 370 solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to SA-CCR - Standard Approach for Measuring Counterparty Credit Risk Exposures solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to FDSF - Firm Data Submission Framework solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to SCCL - Single Counterparty Credit Risk Limits
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to BCAR Basel Capital Adequacy Requirements solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to Swap Dealer Capital Calculations solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to Swiss Basel III Capital & Liquidity Calculations solution
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
-
Capital Markets Surveillance Vendor Landscape: The Next Wave in Trade and Communication Surveillance6 February 2018Analytics is reshaping capital markets surveillance. This report presents the latest trends and innovation in multichannel surveillance technol…
Research related to MAS 610/1003 solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to MAS 610 Open Taxonomy solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to IFRS 9 solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to MiFID and MiFID II solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to QFC - Qualifited Financial Contracts
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to NSFR - Net Stable Fund Ratio
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to SFTR - Securities Financing Transactions Regulation
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to Form PF
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to Solvency II solution
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
-
Capital Markets Surveillance Vendor Landscape: The Next Wave in Trade and Communication Surveillance6 February 2018
Analytics is reshaping capital markets surveillance. This report presents the latest trends and innovation in multichannel surveillance technol…
Research related to PRA 110 - Prudential Regulation Authority
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to SHS - Statistics on Holdings of Securities
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to Anacredit solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to Trade and Transaction Reporting Overview
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to ControllerView Platform
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to APRA EFS solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to BCBS 239 solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to Broker Dealers Customer Protection Rule
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to FATCA - Foreign Account Tax Compliance Act solution
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
-
Capital Markets Surveillance Vendor Landscape: The Next Wave in Trade and Communication Surveillance6 February 2018
Analytics is reshaping capital markets surveillance. This report presents the latest trends and innovation in multichannel surveillance technol…
Research related to CRS - Common Reporting Standard solution
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
-
Capital Markets Surveillance Vendor Landscape: The Next Wave in Trade and Communication Surveillance6 February 2018
Analytics is reshaping capital markets surveillance. This report presents the latest trends and innovation in multichannel surveillance technol…
Research related to CRD IV Large exposures solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to FORM CPO-PQR
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to Shareholding Disclosures solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to Risk Management
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
2 April 2020Globally, the financial environment remains in an ultra-low interest rate environment and there is a high probability that interest rates will r…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
17 March 2020How much does a bank's balance sheet asset-liability management (ALM) systems fit into a bank's COVID-19 response strategy? Apparently a lot. An…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to CECL - Current Expected Credit Loss
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to FRTB - Fundamental Review of the Trading Book solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to Data Lineage solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
Research related to Liquidity Risk Management solution
-
10 September 2020Celent's parent company, Marsh & McLennan, is proud to sponsor the Association for Financial Professionals’ (AFP) 2020 survey that examines the…
-
17 August 2020Globally, the financial environment remains in an ultra-low interest rate environment and there is a high probability that interest rates will r…
-
12 August 2020Celent launched its inaugural Corporate Banking Digital Channels Survey in June 2020 with much of the world still grappling with the personal an…
-
23 July 2020At the beginning of 2020, Corporate Banking revenue trends continued their annual upward trajectory. Just a few months later, those trends drama…
-
29 June 2020Know Your Customer (KYC) attracts ever-increasing scrutiny from regulators and has become one of the most complex operational areas in anti-mone…
-
11 June 2020Managing liquidity during COVID-19 has become both challenging and critical for businesses. The pandemic has exposed important gaps in the frame…
-
23 April 2020The 2020 edition of Oliver Wyman's annual report with Morgan Stanley offers an overview of industry trends and analysis in wholesale banking.The…
-
15 April 2020Citizens Commercial Banking transformed its business and technology ecosystem in a multi-year, multi-faceted program to enhance the commercial b…
-
23 March 2020Our parent firm, Oliver Wyman (OW), is closely monitoring COVID-19 events in real-time and has compiled resources to help clients and the indust…
-
28 February 2020Within the domain of financial asset-liability (ALM) and balance sheet risk management, next generation technology and emerging digital approach…
-
9 January 2020THREE EXTERNAL FORCES DRIVING CORPORATE BANKING CHANGE Corporate bankers face a 2020 landscape shaped by three powerful external forces: Corpora…
-
13 December 2019Earlier this year I wrote a blog "US Corporate Real-Time Payment (RTP) Adoption: If You Build It, Will They Come?" discussing how at the 2019 NA…
-
3 December 2019Many banks lament corporate treasurers’ lukewarm demand for real time payments, causing those financial institutions to postpone investments in…
-
3 October 2019The overarching theme @Sibos 2019 was hyperconnectivity which naturally octopuses into several other headlines. In particular, there was buzz ar…
-
13 May 2019I’ve been attending the NACHA Payments conference for many years, either as a banker, technologist, or industry research analyst. In recent year…
Research related to IRRBB - Interest Rate Risk in the Banking Book solution
-
5 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
30 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
28 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
29 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
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…
-
7 June 2020
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…
-
2 April 2020
Globally, the financial environment remains in an ultra-low interest rate environment and there is a high probability that interest rates will r…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
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…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
17 March 2020
How much does a bank's balance sheet asset-liability management (ALM) systems fit into a bank's COVID-19 response strategy? Apparently a lot. An…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…