SEC in Focus – October 2023
EY – Our newsletter summarizes SEC developments in the last quarter, including certain items we have not previously reported. It…
Multiply FS operations value by capturing SME knowledge
KPMG – The three-layer approach outlined in this PDF can help firms address the critical prerequisite for successful transformation of…
FICO® Score 10 and FICO® Score 10 T Model Performance Assessment
FICO – Prospective borrowers will receive an improved chance of loan approval with FICO’s newest scores. The study also explains…
3rd Annual Digital Transformation and Next-Gen Technology Study
Broadridge – Digital transformation is still at the top of the C-suite agenda, but it’s entering a new phase driven…
Broadridge’s 2023 Digital Transformation and Next-Gen Tech Study
Broadridge – Broadridge’s 2023 Digital Transformation and Next-gen Tech study delivers unique insights from 500 C-suite executives to help senior…
PwC’s 2023 Global Digital Trust Insights survey, The C-suite playbook on cybersecurity and privacy
PwC: PwC’s 2023 Global Digital Trust Insights survey shows that companies are moving decisively to defend themselves against cyberattacks. But…
Understanding the Risks of Multiple Credit Scores in Mortgage Lending
FICO – Competition among credit score providers is heating up, with increased focus by regulators on expanding equitable access to…
Trust: The New Currency for Business How Trust Impacts Business and How Companies Can Cultivate It
PwC – Survey shows: Business leaders need to get the basics right if they want to avoid losing trust. The…
Credit Scoring, FinTech, and Consumer Loans: Why AI Scoring Models Do Not Replace the FICO Score
FICO – This white paper explains why AI scoring models do not replace the FICO Score. It delves into how…
Hearsay’s 2021 Finserv Digital Communications Compliance Benchmark Report
Hearsay Systems – Hearsay System’s 2021 Finserv Compliance Benchmark report reveals insights on digital communications practices and priorities, and uncovers…
7 Keys to Success: Compliant Texting
Hearsay Systems – Texting is hard to beat when it comes to delivering immediate responses and a consistently personalized experience—on…
Measuring Consumer Resilience to Economic Stress for ABS
FICO – FICO® Scores are designed to rank-order the expected future payment performance of consumers’ credit obligations based on their…
Building a Frictionless Future
FIS – The capital markets are facing a new level of uncertainty. There are clear roads to growth but they…
Top Risks for 2021 and 2030 – Financial Services Industry Perspectives
Protiviti – The range of uncertainties facing business leaders around the globe is overwhelming. Challenges triggered by the COVID-19 pandemic…
Electronic Disclosure: SEC Requirements and the Form CRS Business Case
InvestorCOM Inc. – Before your firm decides to shift client communications from a paper-based delivery method to a digital experience,…
Essentials for the post-pandemic bank
IBM – In response to COVID-19, many financial institutions have enabled alternative working models and served customers in new ways.…
Repositioning Investment Banks: Driving Growth Post COVID-19
Tata Consultancy Services – The impact of COVID-19 on investment banking has been mixed – volatile markets are increasing trade,…
COVID-19 and LIBOR Transition: Taking a Market-led Approach
Tata Consultancy Services – The impact of COVID-19 on financial services has been considerable, affecting different lines of business and…
Navigating the COVID-19 Pandemic: Perspectives for Capital Markets Firms
Tata Consultancy Services – The COVID-19 pandemic has caught most industries including the capital markets sector unawares. That said, the…
FICO Resilience Index: A New Tool for More Precise Lending, Risk Management and Housing Policy
FICO – We examine eight use cases for FICO Resilience Index within the home mortgage industry. From capital planning to…
Measuring consumer resilience to economic stress using the FICO® Resilience Index
FICO – FICO Scores are designed to rank-order the expected future payment performance of consumers’ credit obligations based on their…
Social Distancing Presents Unique Challenges for Financial Advisor Supervision
KPMG – In the midst of the COVID-19 pandemic, financial institutions are working to balance market pursuits with effective risk…
Meeting Supervisor Challenges in the Latest Black Swan event
KPMG – Meeting Supervisor Challenges in the Latest Black Swan event.
AWS in Capital Markets eBook
Amazon Web Services (AWS) – Why are Capital Markets firms adopting the cloud? The Capital Markets industry is facing challenges—continuous…
A Guide to Cloud Security for Financial Services Executives
Amazon Web Services (AWS) – The Financial Services industry is one of the most regulated industries in the world. In…
Maintain business continuity during unexpected events
Amazon Web Services (AWS) – In today’s commercial landscape, business continuity depends on the efficient, uninterrupted flow of data across…
SEC’s Final Rules and Guidance on the Standards of Conduct for Broker-Dealers and Investment Advisers
On June 5, 2019, the Securities and Exchange Commission (“SEC” or “Commission”) in a divided 3-1 vote, approved a package…
Verizon Data Breach Investigation Report
Verizon – The Verizon Data Breach Investigations Report (DBIR) provides you with crucial perspectives on threats that organizations like yours…
Structuring Liability Management Transactions
Mayer Brown LLP – In the International Financial Law Review‘s publication, Structuring Liability Management Transactions, Mayer Brown lawyers provide a summary…
Social Media Compliance Guide for issuers, broker-dealers, and advisers
Mayer Brown LLP – The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and…
Approaching Consolidated Audit Trail (CAT) Reporting
The Consolidated Audit Trail (CAT) is the latest, significant regulation to increase the transparency of capital markets trading whilst ensuring…
Artificial Intelligence in Securities Finance and Collateral Management
Artificial Intelligence (AI) is now gaining widespread adoption, with the potential to radically transform many areas of the financial services…