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Quick Look Investment Management Blog Library

Join Sean Cunniff, our research leader for Investment Management and our extended research team, as they discuss issues facing investment management leaders today.

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Recent posts

Seven steps to enhancing your investment compliance monitoring services

Posted by Lynette DeWitt, Investment Management research manager, Deloitte Services LP, on Wednesday, April 16, 2014
The pursuit of operational excellence in investment compliance monitoring (ICM) is not just for its own sake. The rest of the organization benefits as well. Improved ICM capabilities assist an investment manager in responding to both internal and external pressures — and as such, can be dubbed a "linchpin" of risk mitigation activities.

IRA rollovers in the regulatory crosshairs

Posted by Sean Cunniff, Investment Management research leader, Deloitte Services LP, on March 5, 2014
Many Americans have expressed a lack of both retirement confidence and trust in financial services institutions. With increased regulator focus on rollovers, financial services institutions need to address the concerns of the regulators while working to win back some of the consumers' lost trust.

When regulations conflict – Who wins?

Posted by Sean Cunniff, Investment Management research leader, Deloitte Services LP, on January 14, 2014
In today’s multi-jurisdictional regulatory environment, conflicts between regulators are bound to arise. How can compliance officers ensure regulations are followed in firms’ often siloed teams?

Sunrise, sunset: Getting a jump on planning for 2014

Posted by Jim Eckenrode, executive director of the Deloitte Center for Financial Services, Deloitte Services LP, December 17, 2013
The launch of Deloitte’s financial services 2014 outlooks has already begun and will be completed after the first of the year. This blog post provides a sneak peak across the sector outlooks.

Cybersecurity: Not your father’s vault

Posted by Jim Eckenrode, executive director of the Deloitte Center for Financial Services, Deloitte Services LP, December 10, 2013
Perhaps even more than the increased frequency of attacks on financial institutions, is the emergence of new threat actors, that is driving the need for many financial institutions to reevaluate their cybersecurity programs.

Responding to industry changes with risk transformation

Posted by Dave Uhryniak, Financial Services research leader, Deloitte Services LP, on November 26, 2013
How may risk transformation foster a holistic culture in financial services that enables risk implications to be viewed in the context of the overall company? How can risk transformation effectively meet the needs of both regulators and investors with seemingly contrary objectives?

Business continuity – Is your institution ready for the next challenge?

Posted by Sean Cunniff, Investment Management research leader, Deloitte Services LP, on September 17, 2013
Regulators are placing a strong emphasis on business continuity planning (BCP), but some investment advisors may be treating BCP more seriously than others. Is there anything financial institutions can do to prepare for a one-in-a-billion-chance event?

Is it time for investment managers to reevaluate their global operating models?

Posted by Sean Cunniff, Investment Management research leader, on August 6, 2013
Is now the time for investment managers to reevaluate the operational onion to gain efficiency, improve quality, lower cost, and increase customer satisfaction?

Tapping into small business owners: The value of planning and advice for retirement

Posted by Sean Cunniff, Investment Management research leader, on June 18, 2013
Small business owners may not feel secure regarding their plans for the future, but small steps may help give them the confidence they need.

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