Finsec Law Advisors – On July 29, 2024, the Securities and Exchange Board of India (“SEBI”) issued a Consultation Paper,…

Finsec Law Advisors – The article analyzes the changes proposed by the capital markets regulator i.e. SEBI to the regulatory…

CRB Monitor – CRB Monitor’s Chief Research Officer, James Francis, CFA, discusses certain embedded risks related to the operation of…

Broadridge – The Securities Exchange Commission has officially adopted the rule to shorten the settlement cycle to T+1 for most…

Endava, Inc. – How capital markets companies can be resilient and set operations up for success? Explore five ways!

Deloitte – Between inflation, interest rate hikes, and geopolitical conflict, 2023 saw muted mergers and acquisitions (M&A) activity in banking…

Endava, Inc. – Hyper-personalisation involves individual investment and savings advice based on AI support. Find out how it helps to…

Deloitte – Explore our 2024 capital markets regulatory outlook for insights to enhance your response to new regulations and help…

Broadridge – In partnership with Datos Insights, Broadridge surveyed senior technology executives and trading decision makers at sell side institutions…

Deloitte – Banks’ strategic choices will be tested as they contend with multiple fundamental challenges to their business models. They…

EY – Basel III Endgame (B3E) is the latest update to global capital standards — a dramatic change to the…

EY – With the proliferation of electronic and algorithmic trading, there has been a significant increase in the number of…

EY – Accurate, consistent and easily accessible market data is increasingly important, but also costly, to capital markets businesses. Many…

Endava, Inc. – Moving to the cloud helped an investment bank improve scalability, reduce process complexity, and define the gold…

Endava, Inc. – Pierre Kovacs explains how regtech mitigates risks and delivers a competitive edge with regulatory compliance.

Proposed FSOC Guidance Could Lead to Bank-like Regulation for Asset Managers, Private Funds, and Non-bank Mortgage Companies – as well…

Patomak Global Partners LLC – Banning bank mergers would act as a moat protecting large incumbent players from competition much…

Hogan Lovells – The Hogan Lovells U.S./UK multi-practice SVB Task Force provides guidance to those affected by this incident and…

Patomak Global Partners LLC – In the aftermath of the SVB collapse, banking regulators will likely evaluate new regulatory requirements…

EY – Transforming the Corporate Action lifecycle may require additional regulations governing the timing of notifications, submissions, disclosers and supporting…

Broadridge – As cost and performance pressures escalate, traditional and alternative asset managers are looking for ways to drive growth.…

Broadridge – Advisors and investors expect more individualized investment experiences. How will you deliver? Our latest studies uncover opportunities for…

RSM US LLP – Private equity activity shows resilience but likely to slow. U.S. private equity deal activity through the…

Broadridge – With private debt well-positioned to navigate the difficult market headwinds, institutions – including hedge funds and traditional managers…

RSM US LLP – Private credit and venture debt funds may capitalize on weakened equity markets. Private credit and venture…

RSM US LLP- This is the fourth and final piece in our introductory series on decentralized finance, commonly known as…

Alston & Bird – Our Securities Litigation Group examines a pair of cases—at the Fifth Circuit and Supreme Court—that could…

Alston & Bird – Our Blockchain & Digital Assets Team offers a snapshot sample of significant recent developments by a…

Microsoft – What does it take for fund companies to stay in compliance within a shifting risk management landscape?

Eventus – A scary thought: you decide to engage a surveillance vendor, implement a set of “off-the-shelf” procedures, calibrate accordingly,…

Microsoft – There’s never been a more complex time for financial services firms to try and manage risk. From an…

Broadridge Financial Solutions, Inc. – By removing barriers, integrating applications and eliminating redundancies, simplification makes internal operations less complex and…

Broadridge Financial Solutions, Inc. – When Capital Market firms prepared their business continuity plans last year, no one had projected…

Broadridge Financial Solutions, Inc. – While Capital Markets firms were not the early pioneers of cloud technology, it’s now common…

Broadridge Financial Solutions, Inc. – Complexity in data and data management is like a fault line running through the organizations…

RSM US LLP – This is the third piece in our series on decentralized finance, known as DeFi. So far,…

Protiviti – Our survey results for 2021 reflected a financial services industry that was still consumed with responding to the…

Protiviti – As we consider the compliance challenges that will be top of mind for financial institution compliance officers in…

Pillsbury Winthrop Shaw Pittman LLP – Chair Gensler caps an inaugural year by proposing sweeping changes to the availability of…

FIS – It’s been a grim decade for the middle and back office. Constrained by thin margins and small budgets,…

FIS – In the early days of financial services technology, the number of standardized vendor-supplied platforms was limited. The major…

Hearsay Systems – Today’s clients expect that the advisors and companies handling their finances share their values in support of…

RSM US LLP – In May, Engine No. 1, a small hedge fund with $250 million of assets under management,…

RSM US LLP – This is the second piece in our series on decentralized finance, known as DeFi. In our…

Protiviti – A compelling case for increased investment in cybersecurity and prioritization of cyber resilience at the board level cannot…

FIS – There’s a new breed of investor on the rise, spawned during the height of the pandemic, when home-bound…

Ernst & Young – DeFi is one of the latest and possibly the most significant milestones in the evolution of…

RSM US LLP – From simple prediction markets to the tokenized factoring of trade receivables, decentralized finance (DeFi) is booming.…

FIS – It’s time to think strategically. With thinning margins, new and disruptive technologies taking shape and the millennial generation…

Deloitte – Learn about actions financial firms can take now to develop more comprehensive and holistic climate programs—and the key…

Protiviti – Since the beginning of 2020, organizations have been working tirelessly to address the range of complex issues accentuated…

Protiviti – With their recent release of separate policy, supervisory and principles-based statements, the U.K. supervisory authority and the Basel…

Protiviti – The main headline about the Anti-Money Laundering Act of 2020 (the AML Act) has been that the United…

Broadridge Financial Solutions – Post-financial crisis, EU regulators hastily introduced a slew of new requirements and reporting obligations for asset…

Deloitte – The impact of COVID-19 on financial institutions, the economic downturn, and changes to working practices have had broad…

Cleary Gottlieb Steen & Hamilton LLP – A critical analysis of the EDPB Recommendations 01/2020 on supplementary measures to transfer…

Appway – As concerns around the COVID-19 pandemic continue to permeate every corner of society, wealth firms have found themselves…

Broadridge Financial Solutions – How financial institutions can prepare for implementing and managing a digital workforce with the latest RPA…

Amazon Web Services (AWS) – Facial biometrics are increasingly popular with financial institutions that are trying to balance between enhanced…

Over the last decade, the asset management industry has faced new challenges: evolving technology, market expansion, and, now, an unprecedented…

Protiviti – No one can predict when the next disaster or business disruption will strike; the only certainty is that…

Amazon Web Services (AWS) – Cloud is part of the new normal in the financial services industry. Higher customer expectations…

How digitization and the COVID-19 pandemic are accelerating cybersecurity needs at many large financial institutions Deloitte – This report explores…

Amazon Web Services (AWS) – Facial recognition systems are already popular worldwide and are used to prevent fraud, particularly in…

Amazon Web Services (AWS) – Machine Learning (ML) is such a powerful new set of technologies, opening up so many…

Ernst & Young – Collateral management was significantly impacted by the recent market stress, driven by the COVID-19 pandemic, exposing…

Ernst & Young – Financial services organizations are preparing for an enormous and transformational migration from the London Interbank Offered…

Hogan Lovells US LLP – Hundreds of thousands of financial contracts (including floating rate securities, bilateral and syndicated loans, interest…

Amazon Web Services (AWS) – John Kain, Worldwide Business and Market Development for Banking and Capital Markets at AWS shares…

KPMG – Across industries, the initial COVID-19 response was a rapid reaction to continue delivering critical business services to clients…

Broadridge Financial Solutions – Increasingly conscious of their buying power, investors want advisors to get personal, according to new Broadridge…

Ernest and Young – This publication supplements our Technical Line, Accounting and reporting considerations for the effects of the coronavirus…

Broadridge – This paper discusses current trends and the future outlook for digital labor as technology evolves and adoption becomes…

The scale of the industry-wide transition to alternate reference rates poses significant risks and challenges. One of the major risks…

Amazon Web Services (AWS) – The deployment of large amounts of resources and budgets to remediate Y2K, followed by the…

Lowenstein Sandler – This article discusses a new court approach to Department of Justice and Securities and Exchange Commission parallel…

Lowenstein Sandler – This article discusses the recent warning issued by the Southern District of New York on maintaining attorney-client…

Hogan Lovells – It is rare for a banking regulator to warn the industry of a “DEFCON 1 litigation event,”…

Moore & Van Allen – The midterm elections have put the Democrats back in control of the House. This article…

Transcend Street Solutions – Leadership, especially in critical, but technologically-challenged functions like collateral management, is the key to seizing a…

NRI – Wealth management firms of all types are moving to implement robo-advisor solutions. Conventionally, there are three choices in…

Financial institutions’ progressive push into FinTech is enlarging their networks of partners and affiliates and, in turn, increasing their exposure…

Transcend Street Solutions – Opportunities abound for more effective liquidity and collateral management – and the potential benefits to the…