Research and advisory firm Celent has released a new report, titled, The Evolution of Sell-side Equities Technology Practices. 

The Financial Conduct Authority (FCA) says it has banned Jonathan Paul Burrows from performing any function in relation to any regulated activities for not being fit and proper.

The Aite Group is promising a report later this week in which it will say that it expects compliance technology spending in global capital markets to surpass $400m in 2014. 

A new paper from the SWIFT Institute outlines the basic criteria the financial industry should embrace to achieve financial stability in a geographically integrated financial market. 

A new report from Aite Group adds to the growing body of literature available on collateral optimisation.  The phrase, the report begins by noting, has become something of a buzzword in capital markets as a result of market infrastructure and regulatory changes in the over-the-counter (OTC) derivatives universe and risk management practice changes spurred by the advent of the Basel III capital framework.

Volante Technologies, a provider of financial data integration, has issued a paper titled Best Practices in Implementing Payments Factories, the focus of which is a recommended approach to bringing about the benefits of a payments factory methodology to payments processing.

Cyber security now ranks as the principal concern of the financial services industry, in the wake of several recent high-profile cyber attacks on major sectors of the global economy. 

The "Issues and Opportunities in Fee and Commission Management" report from Broadridge and Kapronasia examines some of the manual and automated approaches to commission management as well as some of the benefits to be gained from a more proactive handling of fees and commissions. The report also provides examples of how to measure success and ROI.

Written by Peter Ellis, BI-SAM

To paraphrase the renowned Irish physicist Lord Kelvin: “If you cannot measure it, you cannot improve it.”

The concept behind Lord Kelvin’s statement is one familiar to the asset management industry. Huge resources are devoted to measuring and analysing investment performance to establish:

1. Whether or not the level of performance being achieved is acceptable...

2...and if not, the corrective action that should be taken.

Yet although we apply Kelvin’s concept to the results calculated by performance teams, we do not apply it to the business processes that generate those results, where the industry lacks a robust best practice framework...

 

SimCorp StrategyLab, a private research institution sponsored by SimCorp, released a whitepaper on what it called “the increasingly critical role” played by an investment book of record (IBOR) in allowing investment managers to gain a competitive edge.

SmartStream Technologies issued a paper on meeting intraday liquidity regulatory monitors that are due to come into force next year. 

In its white paper entitled Beyond the Horizon: A White Paper to the Industry on Systemic Risk, The Depository Trust & Clearing Corporation (DTCC) identified a number of emerging trends that could potentially impact the industry’s ability to protect against new and unidentified threats to the financial system.

Are you aware of the compliance dates for reporting to the regulators? Are you ready? Think that the buy-side is not impacted? Maybe so, but are you 100% certain? Some trading scenarios may apply to the buy-side.  What’s an LEI?  Where does it fit into the big picture? What will it mean to you? What if there are multiple SDRs for a given swap type in a given market?

These questions and concerns are real. We’ve heard them many times in the recent past as we participate directly in a number of industry associations and working groups. Taken together they betray a general lack of awareness and readiness for the reporting obligations on the part of derivative market participants. This is something we’d like to change.

If you work in IT at a financial services firm; if you work in derivatives operations, or risk and compliance; if you are overwhelmed with the Dodd-Frank Act rules and others; if you are responsible for implementing regulatory reform changes – then we invite you to read more about building a regulatory reporting software framework to address today’s requirements, as well as those of tomorrow.

To read the full white paper, please click here 

Written by SLIB

In an increasingly competitive context, ratings, regulations costs and risk control require brokers to reach the highest level of operational efficiency.

If major investments have already borne fruit as far as front office optimization is concerned, current differentiation has more of a bearing point on post trade.

A broker’s operational excellence is often judged by the reactivity of its middle office, the strategic hub between trading and operations.

By Fiona Hamilton of Volante Technologies.

As ISO 20022 is increasingly the standard across many domains within Financial Services it is important to know exactly what ISO 20022 is and what it is not. In this White Paper, Fiona Hamilton of Volante Technologies takes a detailed look at the standard from a technical perspective, guides readers through the maze of technical jargon and highlights implementation issues.