Financial Services
Eric Johnson, President of Global Investment Markets at Donnelley Financial Solutions (DFIN) outlines six key forces driving change for the financial sector in the year ahead. The financial sector is used to transformation: markets fluctuate, and technology and regulations constantly...
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Peer-to-Peer (P2P) lending is a relatively recent financial innovation that has taken the lending market by storm and fueled financial inclusion. Tata Consultancy Services’ Sasidharan Chandran discusses P2P business models, associated risks and implications of the crowdfunding industry on the...
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Gregory S. Kaufman and Amber S. Unwala of Eversheds Sutherland (US) LLP review enforcement activity by the Commodity Futures Trading Commission (CFTC) in 2018, discuss key enforcement actions and provide insight on what trends companies can expect to see in...
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Moving Beyond Day-to-Day Data Cleansing In the financial services industry, regulation on due process and fit-for-purpose data has grown increasingly prescriptive, and the risks of failing to implement a data quality policy can be far-reaching. In this article, Boyke Baboelal...
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How to Automate Processes with Cognitive Computing Margin lending involves banks accepting credit, market and liquidity risks simultaneously and the risk is primarily dependent on collateral value that is highly dynamic. In the credit life cycle, a number of banks...
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As 2018 draws to a close, we’re taking a look back at some of the most valuable insights our authors have shared. In case you missed it, this is one of the articles our readers couldn’t get enough of this...
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Revolutionizing the Fight Against Financial Crime Artificial intelligence (AI) has the ability to completely transform how banks perform anti-money laundering (AML) and know-your-customer (KYC) compliance. Additionally, for the purposes of anti-money laundering, artificial intelligence systems can mine huge volumes of data...
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The Changing Landscape As AML regulations are getting more stringent globally, criminals are focusing on using countries with lowest risk categorizations and intermediary banks with high credibility to launder money. The latest victims of this crime are the Nordic banks,...
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Using AI for Improved Contract Analytics Changing global mandates, particularly SR 14-1 and IFRS 16, mean banks and financial institutions must understand new regulations and implement appropriate changes to avoid penalties, fines or worse. They must also figure out how...
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How the Military Lending Act Plagues the Finance Industry The Military Lending Act (MLA), enacted in 2006 and implemented by the Department of Defense (DOD), protects active duty members of the military, their spouses and their dependents from certain lending practices. In December 2017, the...
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Reducing Cost and Complexity, Increasing Accuracy and Reliability As we mark the 10-year anniversary of the 2008 banking crisis – considered by many to be the country’s worst financial crisis since the Great Depression -- the issue of financial compliance...
Read moreThe Developments Impacting Financial Institutions Now It’s hard to wrap your head around all the myriad regulations for financial institutions, and these changes can directly impact an organization’s digital transformation initiatives. Many countries are calling for further regulation, while in the...
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- Gary Winemaster, Craig Davis and James Needham July 19, 2019SEC Charges Engine Manufacturing Company Executives with Accounting Fraud
- Garrett M. O'Rourke and Michael J. Black July 19, 2019SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors
- Carol J. Wayland, et al. July 19, 2019SEC Obtains Final Judgments against Issuers and Promoters for Oil Well Offering Fraud
