Gartner Research

Five Types of RegTech to Rescue Asset Management CIOs' Digital Initiatives

Published: 13 October 2017

ID: G00340182

Analyst(s): Ali Merji

Summary

In a regulatory environment with high levels of scrutiny and complexity, new approaches to risk, compliance and regulatory management practices offer CIOs a unique opportunity to leapfrog their digital transformation. CIOs can use this research to prioritize and select the right RegTech provider.

Table Of Contents
  • Key Challenges

Introduction

Analysis

  • Identify Opportunities to Engage RegTech Firms by Analyzing the Five Areas Where RegTech Can Impact Asset Management
    • Identity Verification, Client Onboarding and KYC/AML
    • Operational Risk Management
    • Trading Analytics (Total Cost Analysis [TCA] and Venue Analysis)
    • Regulatory Reporting
    • Risk Analytics
    • Recommendations
  • Prioritize Projects That Use RegTech by Identifying Their Impact on Three Primary Criteria: Client/User Engagement, Cost Optimization and Risk Management
    • Enhancing the Customer Experience
    • Cost Optimization
    • Managing Risk
    • Recommendation
  • Assess RegTech Providers/Solutions by Separating Those That Support Digital Transformation From Those That Provide a Siloed Point-Solution Approach
    • Recommendations
  • Conclusion

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