Financial Services

As one-third of major US firms move toward PE backing, maintaining core professional values becomes the critical differentiator

As technology evolves, so do the tools that help banks and investment firms maintain stability amid uncertainty

Investment advisers face heightened scrutiny of their allocation practices as regulators deploy advanced analytics to detect favoritism

Shift from rules-based to principles-based bond classification impacts investment strategies, audit relationships & reporting infrastructure

How to handle new data elements and text-based tags in transaction screening systems

How end-to-end encryption and lack of native archiving tools complicate regulatory compliance

Cross-industry coalition emerges to define best practices for embedded finance

Cyber risks remain top global business threat, but climate change is rising; nearly half of workers in US say they’ve seen harassment at work

FinCEN signals broad interpretation of suspicious activity as advisers prepare for compliance

Bad actors threaten the integrity of financial watchdog system

New thresholds signal a broader shift toward stronger governance across the banking sector

New York officials have advised financial institutions in the state to more regularly investigate the “character and fitness” of top executives — before and after they’ve been hired. Elan Parra of Guidepost Solutions explores what this means and why leaders should become comfortable with enhanced scrutiny that may feel downright invasive.