Unified Managed Accounts and Model Portfolios: Poised for Growth, But Can the Industry Support it?

Dover Financial Research, a boutique financial services research and consulting firm
UMAs are already influencing business models across the industry, and they have enormous potential to improve the delivery of investment solutions to the end consumer. In fact, one senior executive at a sponsor firm describes UMAs as “the way investments will be delivered in the future.”

July 2008

Trends in OTC Equity Derivatives: Where do we go from here?

Aite Group, a leading independent research and advisory firm

The goal of this paper is to shed light on the OTC equity derivative (OTCED) market with an eye towards understanding the operational risk that exists for market participants.

October 2006

Share Prices and Trading Activity Over the Corporate Action Processing Cycle

Oxera, an independent economic consultancy

This report studies five corporate action event types and how these impact share prices and trading activity. The overall objective is to examine the ways in which accurate and timely corporate action information could benefit financial organizations and their customers.

May 2006

Homeland Security Strategy for Critical Infrastructure Protection in the Financial Services Sector

Financial Services Sector Coordinating Council for Critical Infrastructure Protection and Homeland Security (FSSCC)
The Financial Services Strategy identifies efforts in the financial services sector to achieve objectives for the sector consistent with the overall National Strategies and objectives to secure the homeland.

October 2004

Corporate Action Processing: What Are the Risks?

Oxera, an independent economic consultancy

The global securities industry faces risk of multi-billion-euros, and individual securities firms face potential risk into tens of millions of euros from just one complex corporate action event, according to a report from Oxera, an independent economics consultancy in Europe.

May 2004

Bridging the Funds Divide

PROMETHEE, a Paris-based think tank

A comprehensive study of the major issues affecting the growth of investment funds in Europe

July 2002

YEAR 001: The Central Counterparties Dialogue

PROMETHEE, a Paris-based think tank

This publication is designed to give the broader financial community an understanding of the dynamic range of issues and divergent views shared at Chelsea Harbour, a meeting of the first Central Counterparties (CCP) Conference.

April 2001