You are viewing all posts by, Mark Gialo

senior manager, SunGard Global Services

21
May
2012

FINRA regulations 2111 & 2090 raise the bar on advisor accountability. Is your firm ready?

Contributor:

Come July 2012, FINRA will be “raising the bar” on the fiduciary obligations financial advisors have relative to their clients. While prior rules (FINRA 405 & 2090) emphasized transaction suitability, FINRA 2111 suitability & 2090 know your customer rules focus on greater investor protection and advisor accountability. This puts the onus on financial advisors to use reasonable diligence and understand essential facts about their clients. Broker dealers need to interpret and incorporate the new FINRA regulations into their technology solutions to ensure they are in compliance. What is the scope of this activity? What are the rules and enhancements necessary to fulfill the obligation set forth by FINRA?... read more

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Posted in Global Services, Risk & Reg Reform, Technology, Wealth Management |

senior manager, SunGard Global Services

29
Mar
2012

Introducing new solutions into your firm requires a clear understanding of integration

Contributor:

Financial services firms rely on different technology products to support their business. A retail brokerage franchise may require specialized products for client onboarding, trade surveillance, and back-office accounting. A capital markets firm may require specialized products for credit risk and securities lending. The systems they choose play a specific part in a larger enterprise technology infrastructure, which may contain proprietary applications comingled with vendor solutions.... read more

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Posted in Capital Markets, Global Services, Technology, Wealth Management |

senior manager, SunGard Global Services

21
Oct
2011

How rich is your wealth management technology?

Contributor:

The success of any firm’s wealth management business depends in large part on the capabilities of the technology that is employed. When evaluating your wealth management technology or evaluating a vendor offering, consider these critical needs:... read more

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Posted in Efficiency, Global Services, Technology, Transparency, Wealth Management |

senior manager, SunGard Global Services

19
Apr
2011

How can project governance increase productivity and efficiency for your financial services business?

Contributor:

Does your organization have a sound governance strategy? Have you vetted the strategy with all stakeholders: business, technology and operations? Have you analyzed the impact of introducing new products or changes into your operating environment? Do you have a sound plan for end-to-end testing of integrated solutions? Does your end-to-end testing really cover all impacted stakeholders (internal and external), systems and processes?... read more

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Posted in Efficiency, Global Services, Networks, Risk & Reg Reform, Transparency |