Sia Partners – Sia Partners has partnered with the Capital Markets community to conduct a survey on the involvement, interest,…

FICO – This independent research report shows why minimum scoring criteria adds reliability to a credit score and how removing…

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!

Broadridge – 2024 study of C-suite executives from 500 financial firms on their digital transformation and use of next-gen technologies.

Broadridge – Consumer study shows where companies underperform, explores consumer sentiment around AI, and identifies ways to boost your digital…

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…

Broadridge – Are you ready to take your financial advisor marketing to the next level? The 5th Edition of the…

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

Endava – Webinar: The Next Horizon: Financial Services Experts Discuss Generative AI in Business Transformation. How will generative AI impact…

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 – Our newsletter summarizes SEC developments in the last quarter, including certain items we have not previously reported. It…

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…

KPMG – The three-layer approach outlined in this PDF can help firms address the critical prerequisite for successful transformation of…

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

FIS – The financial world is being shaken to its core. From virtual and embedded experiences to digital assets and…

FICO – Prospective borrowers will receive an improved chance of loan approval with FICO’s newest scores. The study also explains…

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 – Digital transformation is still at the top of the C-suite agenda, but it’s entering a new phase driven…

Broadridge Financial Solutions – In this white paper, we examine the current market context, the numerous competitive advantages that technology…

FICO – Competition among credit score providers is heating up, with increased focus by regulators on expanding equitable access to…

PwC – Survey shows: Business leaders need to get the basics right if they want to avoid losing trust.  The…

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…

FICO – This white paper explains why AI scoring models do not replace the FICO Score. It delves into how…

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…

Skience – More advisors are transitioning than ever before. And with the radical shift to digital, 75% of transitioning advisors…

Alston & Bird – The number of special purpose acquisition company (SPAC) IPOs has skyrocketed. Securities Litigation partner Andy Sumner…

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…

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…

FICO – FICO® Scores are designed to rank-order the expected future payment performance of consumers’ credit obligations based on their…

FIS – The capital markets are facing a new level of uncertainty. There are clear roads to growth but they…

Broadridge – Broadridge’s latest report compiles unique perspectives from 20 marketing leaders to reveal the actions asset manager marketers can…

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

InvestorCOM Inc. – With Reg BI examinations and enforcement actions expected to increase in 2021, firms are looking to meet…

FIS – The securities game can be a risky business. There are plenty of ways for broker-dealers to get burned.…

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

InvestorCOM Inc. – With a new SEC chair sworn in and regulators conducting Regulation BI exams that go beyond ‘good-faith’…

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 range of uncertainties facing business leaders around the globe is overwhelming. Challenges triggered by the COVID-19 pandemic…

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…

InvestorCOM Inc. – Before your firm decides to shift client communications from a paper-based delivery method to a digital experience,…

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…

Tata Consultancy Services – The impact of COVID-19 on investment banking has been mixed – volatile markets are increasing trade,…

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…

Tata Consultancy Services – The impact of COVID-19 on financial services has been considerable, affecting different lines of business and…

Tata Consultancy Services – The COVID-19 pandemic has caught most industries including the capital markets sector unawares. That said, the…

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…

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…

Amazon Web Services (AWS) – Why are Capital Markets firms adopting the cloud? The Capital Markets industry is facing challenges—continuous…

Amazon Web Services (AWS) – The Financial Services industry is one of the most regulated industries in the world. In…

Amazon Web Services (AWS) – In today’s commercial landscape, business continuity depends on the efficient, uninterrupted flow of data across…

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…

Mayer Brown LLP – In the International Financial Law Review‘s publication, Structuring Liability Management Transactions, Mayer Brown lawyers provide a summary…

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

Mayer Brown LLP – The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and…

The Consolidated Audit Trail (CAT) is the latest, significant regulation to increase the transparency of capital markets trading whilst ensuring…

Artificial Intelligence (AI) is now gaining widespread adoption, with the potential to radically transform many areas of the financial services…

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

The Department of Labor (DOL) on its own adopted a fiduciary standard in 2016 for retail clients. This has been…

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