
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
Subject to reasonable use.
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
This report aims to better understand the impact of future challenges and opportunities, as risk and compliance executives increasingly face int…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
This report aims to better understand the impact of future challenges and opportunities, as risk and compliance executives increasingly face int…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
This report aims to better understand the impact of future challenges and opportunities, as risk and compliance executives increasingly face int…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
This report aims to better understand the impact of future challenges and opportunities, as risk and compliance executives increasingly face int…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
Globally, the financial environment remains in an ultra-low interest rate environment and there is a high probability that interest rates will r…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
In the Fall of 2020, Celent launched its “Future of Cloud in Financial Services” research hub, highlighting our coverage of advances in financia…
Celent's parent company, Marsh & McLennan, is proud to sponsor the Association for Financial Professionals’ (AFP) 2020 survey that examines the…
Globally, the financial environment remains in an ultra-low interest rate environment and there is a high probability that interest rates will r…
Celent launched its inaugural Corporate Banking Digital Channels Survey in June 2020 with much of the world still grappling with the personal an…
At the beginning of 2020, Corporate Banking revenue trends continued their annual upward trajectory. Just a few months later, those trends drama…
Know Your Customer (KYC) attracts ever-increasing scrutiny from regulators and has become one of the most complex operational areas in anti-mone…
Managing liquidity during COVID-19 has become both challenging and critical for businesses. The pandemic has exposed important gaps in the frame…
The 2020 edition of Oliver Wyman's annual report with Morgan Stanley offers an overview of industry trends and analysis in wholesale banking.The…
Citizens Commercial Banking transformed its business and technology ecosystem in a multi-year, multi-faceted program to enhance the commercial b…
Our parent firm, Oliver Wyman (OW), is closely monitoring COVID-19 events in real-time and has compiled resources to help clients and the indust…
Within the domain of financial asset-liability (ALM) and balance sheet risk management, next generation technology and emerging digital approach…
THREE EXTERNAL FORCES DRIVING CORPORATE BANKING CHANGE Corporate bankers face a 2020 landscape shaped by three powerful external forces: Corpora…
Earlier 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…
Many banks lament corporate treasurers’ lukewarm demand for real time payments, causing those financial institutions to postpone investments in…
The overarching theme @Sibos 2019 was hyperconnectivity which naturally octopuses into several other headlines. In particular, there was buzz ar…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
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…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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…
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…
Globally, the financial environment remains in an ultra-low interest rate environment and there is a high probability that interest rates will r…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
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…
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…
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…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…