Suresh Nageswaran

Wealth managers, asset managers, and banks face mounting pressure when it comes to regulatory remediation—the process of responding quickly and accurately to inquiries from regulators like FINRA and the SEC. These demand answers to complex questions about past transactions, communications, and deci...

Structured products are tailored financial instruments that combine traditional securities like bonds or stocks with one or more derivative components, offering investors customized risk-return profiles that standard investments can't match. Currently, the industry is at a technological...

Artificial Intelligence (AI) is at the forefront of a transformative shift in banking, financial services, and insurance (BFSI) documentation, redefining how institutions manage, process, and analyze vast amounts of data. In an industry where precision and compliance are paramount, traditional meth...

AI is emerging as a transformative tool in regulatory compliance. Recent regulatory actions underscore the urgency of this technological shift. Earlier in 2024, LPL Financial agreed to pay more than $6m in fines and restitution to settle claims brought by the Financial Industry Regulatory Author...

Financial services face significant risks from cybercriminals due to insecure cloud and DevOps practices, leading to data theft, financial losses, and reputational damage. Download our whitepaper to discover effective strategies for securing your ecosystem, from identification and protection to res...

Welcome to the future of wealth management, where transformative technologies are redefining the landscape. Our latest white paper details the powerful role of generative AI in reshaping how wealth management firms operate, offering you a comprehensive guide to navigate this groundbreaking shift....