Banking Innovation Lessons Learned in 2012
Yesterday I sat down with Mike Panzarella, our director of financial services, on the subject of “lessons learned” in financial services technology innovation. 2012 was definitely a year for strategic...
View ArticleThe Evolution of Financial Services Has Already Begun
Today we’re featuring a guest post from Krystle Vermes, marketing manager at Seismic, discussing how financial enterprises and financial advisors must stay ahead of the game with clients. Seismic is a...
View ArticleSuccess Factors for Ensuring Compliance with CCAR Programs
Banking organizations continue to face a changing regulatory landscape. Compliance failures can result in stiff financial penalties and reputational damage that can negatively impact an organization....
View ArticleMoney20/20: 3 Key Themes to Harnessing Payments Innovation and Regulations
The Perficient team is back in Vegas for another year at Money20/20! Before I jump into discussing a couple of the key themes from the first day of sessions, let me just say that the Money20/20 picked...
View Article6 Risk and Compliance Trends to Watch in 2015
There will undoubtedly be a wide range of financial services predictions and banking trends that will surface throughout the year which will make planning your organization’s top priorities in 2015...
View ArticleBanks Have a Handle on KYC, Lack KYV Guidance
While most banks have a better grip on Know Your Customer requirements than they did years ago, the challenges and risks of non-compliance continue to grow as regulators focus on sources outside the...
View ArticleSIFMA AML Highlights: Compliance, Enforcement and Preparing for Tomorrow
We attended SIFMA’s Anti-Money Laundering & Financial Crimes Conference last month where experts in the industry discussed legal and regulatory developments, enforcements, and industry...
View ArticleFinancial services customers are now expecting compliance expertise
A recent survey of asset managers, broker/dealers, alternative managers and wealth managers found that compliance is now a core business practice of financial services firms, yet many are not yet...
View ArticleLeverage data to improve compliance like the SEC and FINRA
The SEC’s Office of Compliance Inspections and Examinations (OCIE) is responsible for protecting retail investors and assessing market-wide risks, but now is shifting its attention also toward...
View ArticleThe 5 Most Significant Compliance Issues in Financial Services
ThinkAdvisor recently published a list of the top 5 compliance headaches faced by advisors and BDs. Mandatory Succession Planning Rules for RIAs, which could require advisors to “plan for market stress...
View ArticleFinancial services firms challenged in using data to serve customers
“Retailers are light years ahead of Wall Street in analyzing their data to find out what their customers want,” said to Peter Giordano, managing director at Oppenheimer & Co. “Instead of analyzing...
View ArticleHow to drive the most value from your compliance investments (WEBINAR)
Compliance has become a strategic and executive-level imperative for financial services organizations. Capturing data to meet regulatory requirements in reporting, risk management, and compliance is...
View Article$17 Million For An Inadequate AML Program
Recent news from the Financial Industry Regulatory Authority (FINRA) reminds us of the importance of having a solid anti-money laundering (AML) compliance program. A well-known financial services...
View ArticleThe DOL’s New Conflict Of Interest Rule, In A Nutshell
In April of this year, the U.S. Department of Labor finalized a new rule that is meant to protect individuals from receiving retirement investment advice that, in reality, may not be in their best...
View ArticleBanks Might Not Have To Cover Fraudulent Activity
I recently received a letter from American Express, warning me about a data breach that occurred with a third-party service provider several years ago. Although the letter doesn’t name the company who...
View ArticleServicing Customers In Financial Services With CX Technology
It’s no secret that customer satisfaction scores go up when customers consistently get what they want. When they have unanswered questions about your products and services, they’re not likely to become...
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