8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
Funds-Axis Ltd
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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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8 December 2020
The world had a tough 2020 but, unlike the 2008 financial markets crisis, this time capital markets emerged as the hero as governments worldwide…
-
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…
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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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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 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…
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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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8 January 2020
EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…
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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…
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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…