A significant level of guidance on outsourcing is being published by National and International regulatory authorities as concern increases around the management of outsourcing risk. Following on from the IOSCO, FCA, EIOPA and EBA, ESMA has drafted guidelines. However, there are material differences that will create a challenge for dual-regulated firms.
Falling behind the pace of regulatory change.
To this end, heads of trading desks have long lauded the potential of using collaborative data to improve trade performance. But the nature of proprietary data sets and the risks of them becoming public have always thwarted any possibility of a buy-side collaboration in this area. Here, we examine how this considerable challenge can be solved.
T-Scape today announced that the second major version release of its corporate action application iActs has been successfully deployed at Loomis, Sayles & Company.
While most investment systems are designed to solely support single teams and processes, there are great opportunities for firms to get closer to their clients by better connecting their investment teams and tools.
Goals-based planning is fast-becoming a competitive differentiator for wealth managers. So, what are the pitfalls for relationship managers who lack visibility of a client’s goals, on a day-to-day basis?
With data in place there are no technological reasons to restrict the analysis and insight needed to ensure AUM growth, and emotionally connect with clients for the long term.
The European Single Electronic Format (ESEF) is the electronic reporting format in which issuers on EU regulated markets must prepare their annual financial reports from 1 January 2020.
The ESEF should apply to annual financial reports containing financial statements for financial years beginning on or after 1 January 2020. The ESEF mandate applies to all issuers who fall under the Transparency Directive.
Click here to view the article on Leading Point’s website. Senior Management is under more pressure than ever to demonstrate compliance and risk-sensitive decision
Overview Cynopsis is a B2B Regulatory Technology (RegTech) for KYC/KYB/AML – their innovative software provides a cost-effective, secure and scalable solution to help firms
Overview Waymark Tech provides regulatory intelligence solutions for compliance functions in highly regulated industries, utilising natural language processing to save them hours by reducing
Overview Essentia Analytics’ proprietary AI-driven behavioral analytics help active equity portfolio managers identify, track, and optimize their investment decision-making skill. Click here to
