Guest Contributor: Theresa Daneman, Social Business Specialist, Socialware Every great advisor knows that forming a solid relationship with clients is critical in order to effectively build investment portfolios strategically around personal goals such as saving for retirement, the purchase of a new house, or perhaps, even a vacation home. But all too often, advisors stop
Back-Office
Exchange Traded Derivatives in an Automated World
Guest Contributor: Ted Leveroni, Executive Director – Strategy & Buy Side Relations at The Depository Trust & Clearing Corporation Global regulatory reform and market changes are impacting how the buy- and sell-side function in the exchange-traded derivatives (ETD) space. The increased focus on central clearing over the counter derivatives (OTC) and trade reporting has placed
Compliance
Investor Protection: The Next Focus of Automated Compliance and Surveillance Systems
Guest Contributor: Magnus Almqvist, senior product specialist, SunGard’s Protegent The European Securities and Markets Authority (ESMA) is turning up the heat on national regulators to enforce and monitor MiFID conduct of business rules, where Article 37 of the MiFID Implementing Directive aim to ensure that firms 1) sell only suitable products to their clients and
Compliance
The Conversational Advisor: You mean I have to talk on social media?
Guest Contributor: Sheryl Brown, Social Media Coordinator, Ash Brokerage Social media is a communication mecca. Whether you’re introvert or extrovert, social media is the line drawn in the sand and makes both communication styles equal. For financial advisors, this is both exciting and overwhelming at the same time. It tickles me when advisors ask me, “You mean
Guest Blog
The Fully Outsourced Fund Manager
Guest Contributor: Scott Price, Regional Director, Americas, Custom House Global Funds Services There will come a time, possibly in the not too distant future, when a fund management firm will look to outsource virtually all of its operations – even trading – for funds with the right strategy. Of the biggest challenges facing fund managers
Cloud
When is the Cloud Not the Cloud?
Guest Contributor: Mal Cullen, Head of the Americas and Eagle ACCESS℠, Eagle Investment Systems Companies in the financial services sector are increasingly moving to cloud-based systems for their software solutions and with good reason. Understandably, cloud-based solutions were initially treated with some circumspection with question marks hanging over data privacy and security. As time has
Compliance
Greek Mythology and the Boulder of Compliance
Guest Contributor: Stephen Taylor, Senior Market Manager, U.S. Enterprise Risk & Compliance, Wolters Kluwer Financial Services In Greek mythology Sisyphus, the King of Ephyra, was punished by the Gods for his wrong doing. His sentence? Roll a very heavy boulder up a steep hill, only to watch it roll back down. Repeat this action for
Guest Blog
Using FATCA Compliance to Improve (Not Hinder) Customer Relationships
Guest Contributor: Haydon Perryman, Director of Compliance Solutions, Strevus Achieving compliance and creating a positive customer experience are not mutually exclusive. Many financial institutions still rely on disconnected, incomplete approaches to regulatory compliance, preventing them from gathering accurate, up-to-date information about clients and creating a customer experience crisis. Institutions are damaging relationships by repeatedly asking clients
Buy-Side
Cloud Computing Adoption in Asset Management
Guest Contributor: Jonathan Schapiro, Global Head of Cloud Solutions, BI-SAM These days, the term “Cloud” has become ubiquitous – even the un-savviest of technology users have a general concept of what the term alludes to. But while “the Cloud’ is really just a metaphor for the Internet, “cloud computing” means so much more – and
Guest Blog
Time for Asset Managers to Modernize Performance Measurement Systems
Guest Contributor: Bob Leaper, Head of Business Development, North America, DST Global Solutions Research from CEB TowerGroup cites that almost half, 45%, of asset managers say they will adapt or replace their performance measurement system by 2018[1]. The same research cited that 4 out of 10 performance measurement systems leveraged by buy-side institutions date back
