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Whitepapers

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Applying Emerging Technologies to Real-World Business Challenges in Financial Services
Applying Emerging Technologies to Real-World Business Challenges in Financial Services
Whitepaper

This whitepaper takes a no-nonsense approach to exploring how new technologies could be used by financial services firms in the very near future, as well as in two or three years’ time. For example, artificial intelligence and machine learning could potentially solve real operational challenges in post-trade operations, while distributed ledger technology could transform trade processing from end-to-end. Find out more about: 

  • What do the terms “artificial intelligence,” “machine learning,” and “distributed ledger technology” actually mean? 
  • How can artificial intelligence, machine learning be used to solve challenges around post-trade operations? 
  • What kinds of challenges could distributed ledger technology solve? 
  • What do the regulators think of these new technologies and how financial services firms want to use them?

PDF document pdf 181.0kb

A-Team Whitepaper: RDU SI
Systematic Internalisation under MiFID II: What's Needed Now
Whitepaper

This paper will explore the impact that the SI regime is having on financial services firms as they prepare for the September 1 deadline. Firms deciding on SI registration need answers to crucial questions, such as: 

  • Does the firm need to become an SI due to existing or expected trade volumes? 
  • Does the firm need to become an SI in order to become or remain competitive? 
  • What does the firm need to do from an operational workflow, technology and data perspective to implement the infrastructure needed to become an SI?

PDF document pdf 241.0kb

AI Adoption Across Capital Markets
AI Across Capital Markets - Opportunities, Challenges and Use-Cases
Whitepaper
AI today represents an umbrella for a number of subset technology groups, and depending on the nature of the task and their internal commitment to the technology, firms must choose which one is suitable. Most financial technologies are also viewed as laissez-faire and plug-and-play; by contrast, some in the industry see ample reason to regulate AI. With that in mind, how can a mutually beneficial outcome be achieved?

PDF document pdf 1215.0kb

Cash & Liquidity Whitepaper
The Regulatory Opportunity: Preparing for a New Era of Cash and Liquidity Management
Whitepaper

How confident are you that your organisation is making the most of the work that goes into preparing for new regulation?

In the past decade, the financial services industry has ramped up its focus on compliance and poured billions into preparing for new regulations. Professionals with in-depth understanding of regulation have been in more demand than ever before, and the vendors positioned to meet changing requirements have been inundated with enquiries. 

A WatersTechnology survey revealed that one in five firms have disparate systems for cash, intraday liquidity, collateral management and corporate actions, and only a small percentage of the market has combined all of these functions into a single view. Considering the sheer volume of new regulations set to impact cash and liquidity management in the near future, however, it is no surprise that the majority say the main driver for investments in cash and liquidity management projects right now is the need for centralising liquidity management. 

In addition to strengthening the case for centralising data and systems, regulation has also led to increased recognition of the benefits of intraday visibility.

PDF document pdf 740.0kb

Reconciliations
Reconciliations: The Road to End-to-End Automation
Whitepaper

Are your reconciliations systems and processes ready to support future growth? 

Financial reconciliations have come under scrutiny as firms are increasingly realizing the problems associated with often manually intensive operations, which are challenging to scale in order to meet changing business and regulatory requirements. A competitive market environment and pressure on margins have led to a focus on improving efficiencies and reducing operational overheads, and for many there are clear benefits from improving automation of reconciliations.

PDF document pdf 267.0kb

Whitepaper: Preparing for MiFID II
A Team: Preparing for MiFID II Data Requirements
Whitepaper

MiFID II is scheduled to come into force on January 3, 2018; firms need to make arrangements now for meeting their requirements concerning pre-trade checks, data validation, data enrichment and regulatory reporting. Understanding what’s needed is a top priority, as even the simplest concept – pre-trade price transparency or post-trade reporting, say – can have complex repercussions for a firm’s data-collection and reporting obligations.

This paper examines the data requirements of key aspects of MiFID II, and offers guidance on approaches to sourcing and managing the data needed to ensure compliance with this complex regulation.

PDF document pdf 368.0kb

Waters: Utilitizing Reference Data
Waters: Utilitizing Reference Data
Whitepaper

Can you afford to miss out on an opportunity to share the costs and benefits of managing reference data in a utility? 

That is the question for capital markets firms in 2016, as the financial services industry sees the introduction of a fully operational industry-led reference data utility and early backers prepare to reap the benefits. With support from Morgan Stanley, JP Morgan Chase and Goldman Sachs, SmartStream launched the Reference Data Utility (RDU) in 2015—the offering is designed to deliver data improvements and cost savings to clients by providing a shared service for cleansing, consolidating and normalizing securities data.

PDF document pdf 549.0kb

A-Team Group: Business Case for The SmartStream Reference Data Utility
Building the Business Case for Joining the Reference Data Utility
Whitepaper

The benefits of joining a utility for managing reference data are clear: it’s an opportunity to enjoy improved data quality, simplify overly complex data management infrastructures, meet constantly expanding (and changing) regulatory requirements and – significantly – realise significant reductions in operating costs.

This white paper describes the four key business cases that can be addressed by adopting a utility-based approach to reference data management. It also describes common objections and how The SmartStream Reference Data Utility (RDU) business model addresses them. And finally it takes a look at the roles of the decision-makers and influencers and how to work to bring them onboard.

PDF document pdf 4461.0kb

Whitepaper: The Reference Data Utility
The Reference Data Utility: How Goldman Sachs, JPMorgan Chase and Morgan Stanley are breaking the reference data mold
Whitepaper

For years, reference data management has been regarded as a necessary evil: a mission-critical function that requires significant resource in terms of data, staff and IT infrastructure, but which represents no true commercial differentiator for financial institutions across the board. Banks, brokerages and asset managers across the industry have long dedicated similar levels of resource to cleansing, normalising and aggregating the same data sets, creating a massive duplication of effort.

Past efforts to create some form of shared central utility to take away the pain of this have failed. Until now. The industry has its first viable utility in the form of the SmartStream Reference Data Utility (RDU), backed by its founding partners. This paper examines what was behind the decision for these Tier 1 banks to buy into the concept, the benefits they are receiving and how can adopting such a model help other financial institutions.

PDF document pdf 4430.0kb

Collateral Management Whitepaper
Collateral Management: Regulatory Forces Driving the Behaviour of Financial Firms in Asia
Whitepaper

Starting in September 2016, the OTC Derivatives market will fall under new collateral and risk management standards as per the requirements developed by the International Organisation of Securities Commissions (IOSCO). Experts say that these requirements present work for both the buy-side and sell-side to ensure that systems and processes comply.

This white paper looks at how regulatory forces are driving the behaviour of financial institutions across the Asia Pacific region and includes comments from a number of key industry experts.

PDF document pdf 743.0kb