9 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…
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Research related to US Broker Dealers Net Capital Calculations solution
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10 November 2020Broker-dealers continue to watch how the SEC and FINRA interpret and enforce Regulation Best Interest (Reg BI) and Form CRS. On October 26th, th…
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29 October 2020Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
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4 October 2020Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
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29 September 2020Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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7 June 2020Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
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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…
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22 March 2020So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
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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…
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9 January 2020EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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…
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17 January 2019Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to FDIC Part 370 solution
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9 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…
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10 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…
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29 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…
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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…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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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…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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…
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17 January 2019
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9 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…
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10 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…
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29 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…
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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…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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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…
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9 January 2020
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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…
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17 January 2019
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9 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…
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10 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…
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29 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…
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Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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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…
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9 January 2020
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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…
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17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
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9 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…
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10 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…
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29 October 2020
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4 October 2020
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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7 June 2020
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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…
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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…
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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…
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9 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…
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10 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…
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29 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…
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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…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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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…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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…
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17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to Swap Dealer Capital Calculations solution
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9 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…
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10 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…
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29 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…
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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…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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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…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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…
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17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to Swiss Basel III Capital & Liquidity Calculations solution
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9 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…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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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…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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…
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17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
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14 June 2018Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
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31 May 2018Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
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20 May 2018This report aims to better understand the impact of future challenges and opportunities, as risk and compliance executives increasingly face int…
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9 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…
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10 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…
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29 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…
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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…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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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…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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…
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17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to MAS 610 Open Taxonomy solution
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9 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…
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10 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…
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29 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…
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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…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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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…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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…
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17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to IFRS 9 solution
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9 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…
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10 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…
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29 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…
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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…
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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…
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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…
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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…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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12 November 2018The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to MiFID and MiFID II solution
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9 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…
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10 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…
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29 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…
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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…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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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…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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…
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17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to QFC - Qualifited Financial Contracts
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9 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…
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10 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…
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29 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…
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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…
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29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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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…
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17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to NSFR - Net Stable Fund Ratio
-
9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to SFTR - Securities Financing Transactions Regulation
-
9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to Form PF
-
9 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…
-
10 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…
-
29 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…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to Solvency II solution
-
9 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
-
20 May 2018
This report aims to better understand the impact of future challenges and opportunities, as risk and compliance executives increasingly face int…
Research related to PRA 110 - Prudential Regulation Authority
-
9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to SHS - Statistics on Holdings of Securities
-
9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to Anacredit solution
-
9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to Trade and Transaction Reporting Overview
-
9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to ControllerView Platform
-
9 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…
-
10 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…
-
29 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…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to APRA EFS solution
-
9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to BCBS 239 solution
-
9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to Broker Dealers Customer Protection Rule
-
9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to FATCA - Foreign Account Tax Compliance Act solution
-
9 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
-
20 May 2018
This report aims to better understand the impact of future challenges and opportunities, as risk and compliance executives increasingly face int…
Research related to CRS - Common Reporting Standard solution
-
9 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
-
14 June 2018
Financial services regulation has expanded at an astounding rate since the financial crisis — and, consequently, so has the cost of regulatory c…
-
31 May 2018
Today, an institution can take two approaches to reduce false alarms. It can either lower risk thresholds to capture more suspicious activities,…
-
20 May 2018
This report aims to better understand the impact of future challenges and opportunities, as risk and compliance executives increasingly face int…
Research related to CRD IV Large exposures solution
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9 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…
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10 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…
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29 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…
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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…
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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…
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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…
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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…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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
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9 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…
-
10 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…
-
29 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…
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22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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
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9 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…
-
10 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…
-
29 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…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
12 November 2018
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research related to Risk Management
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9 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…
-
10 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…
-
29 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…
-
29 September 2020
Financial institutions, and regulators, have traditionally been sensitive to data protection, privacy, and security issues for risk and complian…
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27 September 2020
Wealth managers increasingly are recognizing compliance as a business multiplier as opposed to a cost center. The InvestEdge Compliance and Surv…
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27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
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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…
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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…
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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…
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24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
17 March 2020How much does a bank's balance sheet asset-liability management (ALM) systems fit into a bank's COVID-19 response strategy? Apparently a lot. An…
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9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
Research related to CECL - Current Expected Credit Loss
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9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
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17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to FRTB - Fundamental Review of the Trading Book solution
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9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
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17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to Data Lineage solution
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9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
-
20 August 2019
Rather than thinking of them as a single solution that fixes all problems, AI solutions should be viewed as a toolkit with different capabilitie…
-
17 January 2019
Robotic process automation is a crunch technology that is relatively easy and quick to implement and promises a strong ROI, but a recent string…
Research related to Liquidity Risk Management solution
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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…
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9 September 2020Celent's parent company, Marsh & McLennan, is proud to sponsor the Association for Financial Professionals’ (AFP) 2020 survey that examines the…
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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…
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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…
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22 July 2020At the beginning of 2020, Corporate Banking revenue trends continued their annual upward trajectory. Just a few months later, those trends drama…
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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…
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11 June 2020Managing liquidity during COVID-19 has become both challenging and critical for businesses. The pandemic has exposed important gaps in the frame…
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23 April 2020The 2020 edition of Oliver Wyman's annual report with Morgan Stanley offers an overview of industry trends and analysis in wholesale banking.The…
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14 April 2020Citizens Commercial Banking transformed its business and technology ecosystem in a multi-year, multi-faceted program to enhance the commercial b…
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23 March 2020Our parent firm, Oliver Wyman (OW), is closely monitoring COVID-19 events in real-time and has compiled resources to help clients and the indust…
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28 February 2020Within the domain of financial asset-liability (ALM) and balance sheet risk management, next generation technology and emerging digital approach…
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9 January 2020THREE EXTERNAL FORCES DRIVING CORPORATE BANKING CHANGE Corporate bankers face a 2020 landscape shaped by three powerful external forces: Corpora…
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13 December 2019Earlier this year I wrote a blog "US Corporate Real-Time Payment (RTP) Adoption: If You Build It, Will They Come?" discussing how at the 2019 NA…
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3 December 2019Many banks lament corporate treasurers’ lukewarm demand for real time payments, causing those financial institutions to postpone investments in…
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3 October 2019The overarching theme @Sibos 2019 was hyperconnectivity which naturally octopuses into several other headlines. In particular, there was buzz ar…
Research related to IRRBB - Interest Rate Risk in the Banking Book solution
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9 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…
-
10 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…
-
29 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…
-
29 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…
-
27 June 2020
The COVID-19 pandemic is affecting all areas of risk, including financial risk, operational risk, and financial crime compliance. This gives ris…
-
21 June 2020
Set to go into effect on June 30, Reg BI requires US broker‐dealers to adhere to a best interest standard of care when making a recommendation o…
-
7 June 2020
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
-
2 April 2020
Globally, the financial environment remains in an ultra-low interest rate environment and there is a high probability that interest rates will r…
-
24 March 2020
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
-
22 March 2020
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
-
17 March 2020
COVID-19 continues to take its toll as its impact grows on several aspects of our lives. Celent has talked about its potential impact on financi…
-
17 March 2020
How much does a bank's balance sheet asset-liability management (ALM) systems fit into a bank's COVID-19 response strategy? Apparently a lot. An…
-
9 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…