
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
Subject to reasonable use.
The specialized technology that supports risk management functions has traditionally been supplied by internal development teams as well as by e…
This year, Celent interviewed 25 chief information officers and senior technology leaders of global market infrastructure (MI) to understand the…
Market Pain Points Risk-centric and market structure regulations continue to create complex requirements that pose integration and information c…
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
Broker-dealers continue to watch how the SEC and FINRA interpret and enforce Regulation Best Interest (Reg BI) and Form CRS. On October 26th, th…
Regulation based on principle will generate uncertainty; such are the challenges of interpretation. In the case of Reg BI, the tests involved in…
Employee conduct is critical for financial institutions due to the reputational and regulatory risks. It is a complex, enterprise-wide area invo…
Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…
March Madness: Month 1 of Covid-19 A brief look at the end of the beginning from a trading and communication perspective. A look at how trading…
In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…
So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…
Research helps power the investment engine. With investment decision-making getting more advanced, there is an increasing need to manage complex…
Join Awaad Aamir as he highlights findings from over 30 direct financial institution use cases on wealth management IT spending. Our videocast w…
Treasury and capital markets divisions at banks continue to struggle with the trilemma of complying with regulatory changes and meeting evolving…
As we enter April, proxy season kicks off with the majority of public companies starting to host their annual general meetings (AGMs). Amidst CO…
Amid COVID-19 panic and recovery, proxy season, and a US presidential election year, proxy voting is in the spotlight. These factors, along with…
The race is on to get lean and agile. Unfortunately, capital markets firms continue to struggle with common operational and technology challenge…
Client reporting is not new to the wealth management industry; wealth managers are required to provide portfolio and investment reporting to the…
This report outlines market demands: client expectations, commercial needs, technological and regulatory hurdles in the portfolio reporting indu…
Performance analysis and attribution is a top of the list requirement for asset managers to demonstrate their value. Performance analysis is cru…
Boston, MA, USA January 23, 2004 In a new report, " ," Celent compares eleven applications offered by leading investment performance attribut…