Innovation in Compliance Technology: Emerging Themes and Vendor Solutions

by アリン・レイ, June 21, 2017
Vendor Reviews
Global

要約

Regulatory and cost pressures are exposing the limitations of the traditional approach to compliance.

Celent has released a new report titled Innovation in Compliance Technology: Emerging Themes and Vendor Solutions. The report was written by Arin Ray, an Analyst with Celent’s Securities & Investments practice.

New regulations are exposing the limitations of the traditional approach to compliance and forcing financial institutions to innovate by adopting new technology and operational models.

An onslaught of regulations and the rapid pace of their evolution have increased complexities of compliance operations manifold. The situation is compounded by limited technology capabilities and the need to analyze growing volumes of data. The result is exploding compliance costs, not only for running regular operations, but also from the risk of heavy fines and reputational damage.

Compliance technology is a wide-ranging theme encompassing technology solutions applied in risk and compliance operations of financial institutions. In this report we discuss four themes: artificial intelligence and robotic process automation, "mutualization" (shared services) in compliance, adoption of the cloud, and distributed ledger technology.

An interesting combination of startup “RegTech” firms and incumbent providers is reshaping the compliance provider landscape, as banks increasingly look to partner rather than invest in in-house technology innovation. In this report, we discuss in detail 11 vendor solutions and their specific use cases, with a good mix of startups and incumbents.

“The regulatory environment is pushing all participants to come together and foster innovation that solves today’s challenges without jeopardizing safety and stability of institutions and markets. We expect the pace of innovation in compliance technology will only accelerate going forward,” Ray said.

セレントは、金融機関のビジネスおよびテクノロジー戦略策定に役立てていただけるよう、リサーチおよびアドバイザリーサービスを提供しています。金融業界の最新テクノロジートレンドおよびベストプラクティスに関するレポートを発行し、また、既存のビジネスプロセスの強化や新たなビジネス戦略の実践を検討する金融機関にコンサルティングサービスを提供しています。セレントのアナリストチームは、世界中の拠点から、グローバルな視点で戦略アドバイスや業界最新動向を提供する独自の体制を備えています。セレントは、マーシュ・アンド・マクレナン・カンパニー(MMC)傘下のオリバー・ワイマングループに属しています。

Media Contacts

North America
Francine Minadeo
francine.minadeo@oliverwyman.com
Tel: +1 212 345 6417

Europe (London)
Chris Williams
cwilliams@celent.com
Tel: +44 782 448 3336

Asia (Tokyo)
Yumi Nagaoka
ynagaoka@celent.com
Tel.: +81 3 3500 3023

目次

Executive Summary

1

 

Key Research Questions

1

Growing Importance of Compliance Operations

2

Challenges in Compliance Operations

3

Emerging Themes in Compliance Technology

5

 

Artificial Intelligence and Robotics Process Automation

6

 

Cloud

7

 

Mutualization

8

 

Distributed Ledger Technology

9

Innovation in Compliance Technology

11

 

Surveillance Solutions

12

 

KYC/AML Solutions

15

 

Regulatory Reporting Solution

26

Outlook

28

Leveraging Celent’s Expertise

29

 

Support for Financial Institutions

29

 

Support for Vendors

29

Related Celent Research

30

レポートダウンロード、個人情報にアクセスする場合はサインインしてください