Sia Partners APAC Personal Data Privacy and…
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Articles, research and insights.
Article - 5 minutes read
Regulation Best Interest: New Standard for Broker-Dealers
On June 5th 2019, the SEC passed its Regulation Best Interest rule by 3-1. The goal is to improve the quality and transparency of relationships, while retaining access to advice relationships and investment products. The rule will impact how advice is currently delivered to retail customers.
Article - 11 minutes read
Key Focus Areas From 2021 SEC and FINRA Priorities Reports
FINRA and the SEC published their annual Risk Monitoring and Examination Reports highlighting the focus areas that member firms will be evaluated on this year. We will cover several focus areas as well as fines that the two regulators levied on their members in Q4 2020, and discuss trends for 2021.
Article - 9 minutes read
ESG Under The Biden Administration
Publicly traded companies are expected to provide comprehensive sustainability disclosures.
Article - 14 minutes read
Disruptive Fintech during the Covid 19 pandemic
Traditional financial services are constantly disrupted with the acceleration of technology. Fintech evolution has shifted client banking preferences to a more convenient, easily accessible digital experience. Sia Partners highlights where Fintechs have caused disruption in traditional banks.
Article - 5 minutes read
ESG data market: changes and challenges for financial players
The rapidly changing regulatory environment and investors' expectations regarding sustainability highlight the importance of data and Environmental, Social and Governance (ESG) ratings. Here we will provide updates on changes to the ESG data market, and challenges for financial services.
Article - 9 minutes read
Business Process Outsourcing in Wealth Management
Top trends impacting broker dealers’ decisions to outsource back and middle office operations, and key benefits and considerations of partnering with third party vendors