Regulatory Compliance

In a new guide, we discuss the background of the SEC’s Investment Company Reporting Modernization Rules and the potential effects on individual financial institutions. The snippet below talks about the challenges you can expect when developing a response program. Expect challenges in various areas: Data Availability: All required data elements may not be available internally. […]

The benefits of cloud hosting – including Infrastructure-as-a-Service (IaaS), Platform-as-a-Service (PaaS), and Software-as-a-Service (SaaS) – are very clear: less upfront capital, faster implementations, scalability and elasticity, and no need for individual companies to maintain physical space, hardware, and/or technical staff for support. But there are also several risks to consider, including physical and technical security, […]

Digital transformation can absolutely be thought of as improving a website through which a car rental company sells its used vehicles – an important source of revenue for the company. It can also be thought of as enhancing a mobile app that enables customers to make, modify, or cancel reservations, view a car’s mileage and […]

Attracting new customers and cultivating existing relationships by building a great customer experience is a certainly a recipe for growth and profitability. When speaking of customer experience, one typically thinks of the technology customers interact with, be it a website or a mobile app. Customer experience encompasses the features, functionality, and benefits provided to customers […]

In a new guide, we discuss the background of the SEC’s Investment Company Reporting Modernization Rules and the potential effects on individual financial institutions. The snippet below talks about the foundational work companies should have already completed. By now, you should have a program in place that covers the following work streams: Engage Report Filing […]

Microsoft Word has long offered support for loading images and templates over the network.  This is a great feature within corporate environments because it facilitates the reuse of assets like logos and corporate document templates.  Unfortunately, these features can be abused by bad actors to obtain operational intelligence on individuals, or even to steal credentials.  […]

Technology investment is an essential component of most strategic growth and operational efficiency initiatives. Technology comes in two parts. There’s the front-end technology that customers experience. There’s also the back-end technology that other stakeholders (i.e., agents, brokers, underwriters) leverage, enabling the company to effectively facilitate relationship-building. But equally important is technology that sits in corporate […]

In our new guide, we discuss the background of the SEC’s Investment Company Reporting Modernization Rules and the potential effects on individual financial institutions. While you can check out the full guide here, the snippet below shares some of deadlines that the new rules present. Form N-PORT If you are a larger entity with net […]

M&A is always on the table, as it can provide quicker access to more customers through geographic expansion, as well as new business lines and capabilities. It’s also a way to reinforce a company’s innovation strategy. Zurich’s acquisition of Bright Box, a company which provides telematics solutions “that link drivers to their vehicles, and the […]

Advising the Advisor: Are you thinking far enough ahead? Here’s how How familiar is your organization with the flexibility and integration Financial Services Cloud offers? The solution helps improve the customer experience, strengthen client relationships, and drive new business by integrating sales, service, and marketing. Digital transformation impacts every area of an organization, and companies […]

Technology is a beautiful thing! It is crazy to think about how far we have come in the last 10 years with regards to our communication capabilities. With all these improvements and enhancements come the need for companies to adapt to that change. Many financial companies are still highly dependent on the traditional communication methods […]

In a new guide, we discuss the background of the SEC’s Investment Company Reporting Modernization Rules and the potential effects on individual financial institutions. The snippet below shares the rules’ objectives and expectations. The SEC wants to improve: The quality of information that funds report to the Commission The Commission’s risk monitoring and oversight, examination, […]