2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
Research related to US Broker Dealers Net Capital Calculations solution
-
-
19 October 2021The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020Broker-dealers continue to watch how the SEC and FINRA interpret and enforce Regulation Best Interest (Reg BI) and Form CRS. On October 26th, th…
-
28 October 2020Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to FDIC Part 370 solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to SA-CCR - Standard Approach for Measuring Counterparty Credit Risk Exposures solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to FDSF - Firm Data Submission Framework solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to SCCL - Single Counterparty Credit Risk Limits
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to BCAR Basel Capital Adequacy Requirements solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to Swap Dealer Capital Calculations solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to Swiss Basel III Capital & Liquidity Calculations solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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 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…
-
8 January 2020EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
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…
Research related to MAS 610/1003 solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to MAS 610 Open Taxonomy solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to IFRS 9 solution
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 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…
-
8 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 2018The 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
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to QFC - Qualifited Financial Contracts
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to NSFR - Net Stable Fund Ratio
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to SFTR - Securities Financing Transactions Regulation
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to Form PF
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 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…
-
8 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
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
-
8 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…
Research related to PRA 110 - Prudential Regulation Authority
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to SHS - Statistics on Holdings of Securities
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to Anacredit solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to Trade and Transaction Reporting Overview
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to ControllerView Platform
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 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…
-
8 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
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to BCBS 239 solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to Broker Dealers Customer Protection Rule
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to FATCA - Foreign Account Tax Compliance Act solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
-
8 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…
Research related to CRS - Common Reporting Standard solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
-
8 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…
Research related to CRD IV Large exposures solution
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 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…
-
8 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
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 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…
-
8 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
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 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…
-
8 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
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to CECL - Current Expected Credit Loss
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to FRTB - Fundamental Review of the Trading Book solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to Data Lineage solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…
Research related to Liquidity Risk Management solution
-
3 December 2021For transaction banking, the sharp downturn in interest rates in 2020 led to a collapse of net interest income on deposits and effectively wiped…
-
11 November 2021The COVID-19 pandemic caused corporate leaders to look for ways to keep their businesses viable, and many of those leaders looked to their CFOs…
-
27 October 2021Transaction banking, including cash management and payments, has been hit hard over the past 18 months. A sharp downturn in interest rates in 20…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
16 August 2021Much of a bank's corporate banking revenue is attributable to meeting the complex financial operations needs of their business customers, who re…
-
16 August 2021Much of a bank's corporate banking revenue is attributable to meeting the complex financial operations needs of their business customers, who re…
-
22 July 2021Serving corporate clients requires banks to offer a dizzying array of products and services to manage working capital, liquidity, investments, a…
-
13 April 2021Wholesale banks are delivering high returns. A decade of structural changes in the Markets and IBD businesses has led to more efficient balance…
-
22 December 2020In the Fall of 2020, Celent launched its “Future of Cloud in Financial Services” research hub, highlighting our coverage of advances in financia…
-
9 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…
-
11 August 2020Celent launched its inaugural Corporate Banking Digital Channels Survey in June 2020 with much of the world still grappling with the personal an…
-
22 July 2020At the beginning of 2020, Corporate Banking revenue trends continued their annual upward trajectory. Just a few months later, those trends drama…
-
27 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…
Research related to IRRBB - Interest Rate Risk in the Banking Book solution
-
2 November 2021
With the growing adoption of cryptocurrencies and crypto-based assets, the crypto ecosystem and its participants are coming under greater scruti…
-
19 October 2021
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
-
23 July 2021
Digitalization of financial services is creating new products, channels, and business models. New players such as digital banks, payment and rem…
-
21 June 2021
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
-
11 May 2021
Risk and compliance functions have traditionally lagged in adopting new technology. But that had started to change in the last 24 months, and th…
-
13 April 2021
In its inaugural year, Celent Model Risk Manager 2021 program received several high-quality nominations from a diverse mix of financial institut…
-
8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
9 November 2020
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…
-
28 October 2020
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
-
4 October 2020
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
-
28 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
-
27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
-
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…