White Paper

Reference Data Management in Financial Services

Written by Admin | Jul 18, 2020 6:30:00 PM

Abstract

The financial services industry is grappling with a data deluge. There is a critical role of Reference Data Management (RDM) in overcoming the challenges of data proliferation and inconsistency. It unveils the various data classifications within financial services and delves into the common pitfalls associated with RDM implementation. Here we offer you a roadmap to effective RDM, outlining a four-step approach that empowers institutions to achieve a "golden copy" of reference data.  It explores industry-leading methodologies and best practices to ensure data quality and unlock the true potential of RDM. Through insightful analysis and practical solutions, this white paper equips financial institutions with the knowledge and strategies needed to conquer the data challenge and achieve the "Holy Grail" of data singularity – a single, unified view of information across the entire enterprise.

Table of Contents:

    • 1. Introduction
    • 2. The Case for Reference Data Management (RDM)
    • 3. Why Data Management cannot be Ignored Anymore
    • 4. Data Classification: Recognize, Categorize, Then Analyze
    • 5. Common Challenges of RDM in Financial Services
    • 6. How to Get a Grip on Reference Data Management
    • 7. The Road to Effective RDM: One Step at a Time
    • 8. The Holy Grail of Data Singularity
    • 9. Delivering Value at the Heart of Partnerships
    • 10. Conclusion
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  • Introduction

  • In today's complex financial landscape, a patchwork of global regulations is placing immense pressure on institutions. This is driving a surge in the adoption of data governance strategies.  Effective reference data management (RDM) sits at the heart of this strategy.  By establishing a clean, consolidated, and accurate data foundation, RDM facilitates the seamless flow of information across the entire organization.  The benefits are undeniable – millions saved annually, a more efficient value chain, improved risk management, enhanced customer loyalty, and a solid foundation for strong corporate governance.

    This white paper dives deeper into the critical need for RDM in the financial services industry.  We'll explore the challenges posed by a lack of effective RDM, the core elements of successful RDM implementation, and the substantial benefits institutions can reap from deploying a robust RDM solution.

The Case for Reference Data Management (RDM)

The financial services industry is undergoing a period of radical transformation, with institutions, exchanges, and participants all adapting to a new reality.  However, this evolution presents a major challenge: data management.  Ensuring the creation and maintenance of accurate, relevant data is paramount to mitigating risk and maximizing opportunities.  After all, reliable data is the lifeblood of core functions like trade execution, risk management, and compliance reporting.

Data management itself refers to the comprehensive strategies, policies, and practices designed to govern the entire information lifecycle within an organization.  Effective data management demands seamless integration across all stages: strategy, governance, operations, review, analysis, and action.

The current state of data management in many financial institutions is fragmented and inefficient.  Data resides in silos across diverse regions, departments, and systems.  This lack of a central source of truth forces individual entities to rely on their own terminology and data sources, often leading to redundant systems and inconsistent information.  This not only hinders efficiency but also carries significant cost burdens.

Here's where Reference Data Management (RDM) steps in. RDM offers a methodology for creating and maintaining data that can be shared seamlessly across various departments, regions, and systems.  It functions by collecting data from multiple sources, standardizing formats, validating accuracy, and consolidating everything into a single, unified data set for distribution.

Why Data Management cannot be Ignored Anymore

Several key trends are driving this phenomenon and straining traditional data management platforms: 

    • Product Proliferation: In a bid to attract customers, brokers and dealers are churning out innovative financial instruments at an alarming rate. Currently, over eight million instruments exist, each requiring meticulous, up-to-date data management. These complex derivatives and new securities pose a significant challenge for information executives. 
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    • Shifting Market Dynamics: The composition of market participants is evolving rapidly. The rise of hedge funds and "mega buy-side" firms, heavily reliant on program trading and algorithmic models, has fundamentally altered trade execution mechanisms. Decimalization and program trading, while increasing volume, have shrunk trade sizes. Data management platforms now struggle to deliver high-volume, low-latency data to these sophisticated black-box trading systems. 
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    • Regulatory Onslaught: Ever-tightening regulations like Basel III and Sarbanes-Oxley, coupled with heightened risk and compliance concerns, are forcing institutions to prioritize accurate and timely data for internal risk management systems. Regulatory bodies demand stricter adherence to fiduciary responsibility, meaning accurate data becomes crucial to avoid hefty fines and financial exposure. 
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    • Data Aggregator Explosion: The industry's thirst for a wider range of security attributes and pricing information has spawned a sub-industry of data capture and distribution vendors. While these vendors play a vital role in data provision, managing multiple sources creates cost and consistency challenges that need addressing.

Data Classification: Recognize, Categorize, Then Analyze

Not all data is created equal.  Financial institutions grapple with a diverse data landscape, where each category has distinct characteristics and dependencies.  Failing to recognize these differences poses a significant risk, often leading to project failures. Let's explore the key types of data encountered in the financial services industry: 

    • Transaction Activity Data: This data fuels the automation capabilities of operational systems, representing the core transactions themselves.
    • Transaction Audit Data: This category functions as a historical record, tracking the progress of individual transactions through web and database logs
    • Enterprise Structure Data: This data maps the organizational structure of a company, including charts of accounts and departmental hierarchies, providing context for reporting business activity by responsibility.
    • Master Data: Master data lies at the heart of transactions, describing the parties involved and their interactions during a financial exchange.
    • Reference Data: Think of reference data as a categorization tool. It provides descriptive information about securities, corporations, individuals, and anything else used to categorize other data within the system, or link information to external sources.
    • Market Data: In the fast-paced world of finance, market data refers to real-time or historical price information, essential for informed decision-making.
    • Derived Data: This category encompasses data generated from other sources. Calculators and models transform existing data into this derived format, making it readily available for a wide range of applications. 

Common Challenges of RDM in Financial Services

The quest for improved data quality in financial services is a constant battle. One major hurdle is the need for upgraded technology infrastructure to address reference data management (RDM) effectively. RDM projects represent significant investments, aiming to improve data quality through better integration and the elusive concept of a single source of truth. This is a particularly daunting task in Asia-Pacific (APAC) banks, where data remains stubbornly siloed.

The ever-growing volume of data necessitates managing information from multiple sources.  Regulations like Anti-Money Laundering (AML) and Know Your Customer (KYC) place a premium on client data and achieving a single customer view.

Historically, financial institutions have operated in isolation, building and managing their own security and client master databases. As these organizations expanded organically or through acquisitions, data silos emerged for each line of business. These platforms, often similar in content and style, are typically maintained through a mix of automated feeds from external vendors, internal applications, and manual adjustments. Aging infrastructure and disparate, decentralized data stores are not uncommon. Here's a closer look at some of the common challenges financial institutions face in RDM:

    • Data Explosion: The exponential rise of asset classes, new securities, and overall data volume creates significant management complexities.
    • Inefficiencies and Costs: Duplicate data vendor subscriptions, expensive manual data cleansing, and poor overall data management lead to high aggregate costs.
    • Fragmented Landscape: Managing multiple securities masters, repositories, and diverse sources of asset classes across different geographical markets adds another layer of complexity.
    • Identifier Inconsistency: The prevalence of different identifiers like CUSIP, ISIN, SEDOL, and internal identifiers used by front and middle offices creates further challenges in data consolidation

How to Get a Grip on Reference Data Management

Mastering reference data management (RDM) can feel like wrangling a herd of unruly data points. Coforge tackles these challenges head-on with a blend of innovative methodologies, proprietary software, and industry-leading vendor tools.

Unlike some third-party solutions that focus on isolated aspects of the RDM chain, Coforge takes a holistic approach, acknowledging the complexities inherent in the entire reference data lifecycle. Our proven RDM process is meticulously divided into four critical stages: 

    • Data Acquisition: We leverage robust market-facing interfaces like Bloomberg, Reuters, and JJ Kenney to gather data efficiently. Continuous updates and monitoring are crucial at this stage to ensure successful data acquisition.
    • Data Validation and Mapping: Automated rule engines handle the bulk of validation, streamlining the process. However, exceptional management and manual data mapping are available for situations requiring a more nuanced approach.
    • Data Enrichment and Transformation: This stage focuses on enriching and standardizing the reference data. Here, a "golden copy" of the data is created, specifically tailored for instrument pricing purposes.
    • Data Distribution: The golden data is then distributed to external third-party systems.  Maintaining a meticulous audit trail and action tracking is paramount at this stage to ensure complete transparency. 

The Road to Effective RDM: One Step at a Time

The path to effective reference data management (RDM) is a journey, not a destination.  Coforge offers a comprehensive solution that tackles every stage of the data lifecycle, empowering institutions to manage their entire RDM environment. Our approach goes beyond simple tools, encompassing vendor data rationalization, enterprise architecture design, and seamless integration. Here's a breakdown of the key components within our RDM solution: 

    • Reference and Data Rationalization: This process eliminates redundancies by identifying and eliminating duplicate data purchases across vendors, streamlining reference data spend.
    • Enterprise Data Architecture Assessment and Implementation: Our experts assess your existing architecture, aligning it with future growth plans. We then identify any constraints and work with you to design and implement a robust enterprise reference data architecture.
    • Standardization and Indexing: Leveraging industry-standard tools, we create a consistent, enterprise-wide key matrix for all securities, ensuring data consistency.
    • Automated Data Cleansing: Our solution utilizes rule-based systems to efficiently process and cleanse reference data, minimizing manual intervention.
    • Corporate Actions Processing: This module automates the application of corporate actions to your security reference data, with manual support available for complex situations.
    • New Securities Setup: We provide continuous monitoring of security masters, allowing for the swift setup of new securities on demand.
    • Enterprise Reference Data Distribution: Embrace the "BOCADE" (Buy Once, Clean and Distribute Everywhere) approach. Our solution facilitates efficient reference data distribution across your entire enterprise, while building a robust audit trail for price requests.
    • Instrument Pricing: Ensure timely and accurate instrument pricing data is readily available to bankers and financial advisors.
    • RDM Efficiency Dashboard: Demystify the "black box" of your RDMS. This interactive dashboard provides real-time insights into reference data consumption, quality, and cleansing status, empowering informed decision-making.
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The Holy Grail of Data Singularity

The financial services industry is a whirlwind of instruments – stocks, funds, derivatives – all catering to the ever-growing demands of the global securities market. Managing this vast amount of data is crucial for effective trading and instrument tracking.

Coforge's Reference Data Management (RDM) solution offers a beacon of clarity in this data storm. We help financial institutions streamline their reference data consumption by consolidating, cleansing, governing, and distributing these critical business data objects across the entire enterprise.

Our solution goes beyond basic tools. It incorporates pre-defined, extensible data models and access methods, alongside powerful applications designed for centralized management of data quality and lifecycle. This robust foundation is further strengthened by Coforge's implementation expertise. We leverage proven industry knowledge and best data management practices to develop and deploy a solution tailored to your specific needs.

This collaborative approach fosters a thriving data ecosystem, bolstered by our network of specialist partners. The outcome? A single, unified view of your data – accurate, relevant, complete, and consistent across regions, departments, and systems. With Coforge's RDM solution, companies are achieving the long-sought-after grail: a truly consolidated enterprise data landscape. 

Conclusion

At Coforge, we believe strong partnerships are the cornerstone of successful data management initiatives.  We bring more than just technology to the table – we bring fresh ideas and tangible value to every client engagement.

Coforge offers a unique combination of deep industry expertise, a comprehensive suite of technology solutions, and best-in-class processes.  Our vast talent pool ensures unmatched scalability, allowing us to assemble the perfect project team to meet your specific needs.  By partnering with Coforge, you gain a trusted advisor with the resources and expertise to empower your data-driven future.