Archive for the ‘Regulations’ Category

In a Word, “GlobalBorderMalevolence”

Tuesday, February 16th, 2010

By Mark P. Dangelo

www.Innovative-Relevance.com

It has been repeatedly said that, “Desperate times call for…,” well you know the rest.  With a weak economic recovery underway, many domestic financial leaders are trying to navigate unchartered territories, while endeavoring to avoid collisions with unique business obstacles – regulators, politicians, depositors, investors, and global capital markets. 

With nearly 7 million domestic jobs lost in 32 months it may be 6 to 12 years before they can be replaced with equal paying positions — if history is any guide.  The embers of technology investment are seducing many to believe the recovery is here – but is it a recovery that includes domestic workforces? 

Moreover, with trillions USD in deficits piling up and an escalating trade war beginning (all but in name) with the U.S.’s largest creditor, can technology investment be sustainable especially for a mortgage market still under duress? 

If origination volume in 2010 is estimated to be one-third of the levels from 2006 and with REO properties held in reserve equaling or surpassing the number of listed ones (another 8 to 10 months of supply), have we reached an equilibrium – or is there more to come? 

Yes, as my mother used to say when I was a child, “You ask a lot of questions.”  But these days, with so many “experts” at every corner, I feel compelled to query even more. 

Perhaps a fable will help frame the concerns I have when it comes to the slippery slope of regulation and the hidden dangers subsequently facing the outsourcing industry over the next 18 months (within finance and mortgage markets (FMM) for onshore and offshore business process and technology outsourcing).  My fable is titled, “GlobalBorderMalevolence.”

“It is often those nasty ‘unintended consequences’ that linger on long after the deeds are done.  For example, with nearly half-a-dozen global regulatory discussions on going and increased taxes or fees nearly certain for financial lenders, won’t that create additional pressures to margins, profits, and an ability to lend? 

If fees cannot be passed on either due to competition or regulation, then the obvious answer is cutting costs.  For the last two decades, institutions have sought cost reduction and avoidance via outsourcing of functions to developing countries with lower wages and educated classes of laborers.

Therefore, will not an implication of cost cutting demand further shifting of knowledge jobs from west to east in an attempt to keep profits stable to meet investor and regulator solvency demands?  Will not that have an impact on FMM domestic employment moving forward?  If employers shift higher-paying functions to cheaper locales, does that not then mean less tax basis to offset rising regulatory costs and a Federal budget? 

So when jobs are lost, now do we need then a ‘jobs bill’ to protect domestic workforces from disenfranchisement indirectly created from the very issues that taxpayers were seeking relief from – unemployment, lack of credit, or foreclosure?   If we need a jobs bill, then don’t we also need protection from those ‘nasty’ outsourcers who are ‘exporting the future of our economy?’ 

So why not put an extra surcharge or tax on outsourcers and the firms they represent to ensure that labor arbitrage cannot be utilized to improve margins from those bankers who seek to reward themselves with huge bonuses?

If the Indian outsourcing industry increases at their projected 2010-2011 rate of growth approaching 15%, while domestic unemployment still exceeds 9.7%, doesn’t this mean that outsourcing is a perfect industry to target by regulators and politicians? 

After all if outsourcers are growing offshore by shifting jobs west to east then are they not taking advantage of global imbalances created by currencies and export-driven state sponsorships?  Aren’t they equally culpable as much as those ‘bad’ bankers who started the whole mess in the first place? 

On the other hand, if outsourcers have let’s say 25% to 35% of their delivery capability taking place onshore in domestic centers of excellence, should they be treated the same as a service or technology provider who has only sales forces within the borders?  Moreover, what should be done to rebalance the labor arbitrage differences for domestic firms who provide outsourcing service offshore but claim U.S. headquarters?

So goes the circular references and the convoluted requirements for even more regulation to determine who and what is being done to whom.  Furthermore, if you start at one point in the value-chain, why not transcend all the way downstream to punish everyone who is making a profit as a result of changes created at the beginning of the chain?  Is this regulation approach really about free-trade and open borders – or retribution and politics?

Besides, why stop there?  What about any third-party partners involved in JV’s?  How about technology solution sets and innovation needed to streamline processes, driving out costs, and displacing workers?  Should anything and anyone that eliminates a domestic job not be ‘punished?’

Taking it to extremes, would market competition that arises between industries and their representatives also not fall under this disguise?  If competing standards disadvantaged or displaced one interest group, should they not seek regulatory protection against the other? 

What if secondary group demands created disintermediation within the origination and servicing institutions?  Should they not be then regulated to stop their impacts on BAU and jobs?”

Whereas the fable may be a little “cheeky,” its intended seriousness is not to be dismissed.  These hidden exothermic consequences are growing increasingly likely not just domestically, but within the EU and even within the Asian provider countries themselves. 

Let’s also be very clear, that each side of the outsourcing equation has responsibilities that they have not lived up to in the past.  The firestorm of criticism from many practicing xenophobia is fueled by those outsourcing firms seeking to “take orders” — playing into simple labor arbitrage needs and continually advocating the business model of moving jobs from west to east.  These players still exist and are easily identified by their token domestic presence. 

Conversely, without outsourcing to provide leverage and scale, not to mention aggregation of highly complex and specialized skills that cannot be efficiently integrated with traditionally organic approaches, industry innovation would not have been as great as we might think. 

Why?  Because the savings achieved by using global workforces would not have facilitated investments in other innovations needed – fraud, automated valuations, analytics, data mining, interoperable standards, and the list goes on.  Stated another way, by using outsourcing for delivering commodity transactions in origination and servicing, investments in more specialized and complex functionalities could be made.  They were made.

Outsourcing has benefited not just lenders, but homeowners, investors, regulators, and those seeking political advantage.  It will continue to be a integral part of our process and technological solutions fabric.  However, its usefulness can no longer be thought of as mere “exports” or “imports” by anyone within FMM’s. 

There are polarizing factions that are escalating the rhetoric – they whisper “GlobalBorderMalevolence.”  Perhaps this feeling of disenfranchisement has best been characterized by the creators of Comedy Central’s South Park, “They took our Jobs!”  True, unchecked outsourcing based on mere arbitrage is not beneficial long-term to either party.  Conversely, so is no outsourcing.

Just like bankers who are “bad,” the outsourcing industry should not be thinking BAU.  Xenophobia has arrived as a new form of nationalism.  Domestic or foreign firms with sizable local, heterogeneous workforces (i.e., not imported H1B’s within domestic borders) will be the best positioned to not only avoid this coming battle, but also profit from it.  Integrated, domestic workforce outsourcers will be the survivors – and some very large international providers are already embracing a new business model. 

* * * * * * * *

Undeniably, Humpty Dumpty has had a great fall.  No amount of regulation, central bankers (i.e., Kings), or TARP bailouts (i.e., the King’s horses and men) will ever remake the fragility of an egg that tempted fate and spurned consequences by ignoring the market risks (i.e., the wall).  The fall the FMM Humpty Dumpty was a “splat heard round the world.”

As a final point, the U.S. Administrations’ position on outsourcing and globalization has also become increasingly intriguing.  For example, much has been read into Larry Summers, White House Chief Economic advisor, recent speech at Davos as he cited, “the case for free trade might not apply when countries were trading with nations that were pursuing mercantilist policies.[i]  Even if this particular challenge was directed at one particular country, could it not be also used against others within the same region covering both products and services?

So you see the challenge for lenders and their outsourcing providers will be buried across many nouns– xenophobia, jingoism, patriotism, nationalism, protectionism, and even cultural intolerance.  The noun you select depends on your preference in the on-going debate.  So as new regulation sets in motion the need for increased efficiencies, an implication of what they demand will lay the foundation for yet more regulation and national debates – just farther down into the value chain of mortgage and financial delivery. 

As Abraham Lincoln once said, “A house divided against itself cannot stand.  I do not believe that the house will remain divided – it will either cease to be divided,” or its foundations will wither collapsing the entire structure and advancements onto itself.  But will free-market capitalism prevail?  Will outsourcers stumble on their own past success?  Will they seek to empathize with their domestic clients, and the escalating pressures they face?

This debate has only just begun – and it potential consequences are very, very scary.  



[i] “How the Bottom Fell Out of ‘Old’ Davos,” Gideon Richman, Financial Times, February 2, 2010.

“I am Not the Man I Was”

Tuesday, January 5th, 2010

Looking Outside of the Comfortable Norm, Seven Pragmatically Determined Projections for 2010

By Mark P. Dangelo

www.Innovative-Relevance.com

Welcome a new decade – and good riddance to the first decade of a new millennium. With a mix of cautious optimism and somber restraint, we let our feelings of aspirations rejoice that future events will leave an indelible positive mark on our fortunes. Yet, wondering aloud, what is hidden within – behind the veil of positively spun reemerging domestic and global economies. What icy reality is poised to strike fear into recoveries balanced precariously on edge?

Per a recent U.N. economic report, the U.S. economy has very steeply increased its external debt ownership during the last 25 years (to foreign holders) — from near zero in 1986 to nearly $4 trillion. Half of that externally owed debt came within just the last two years. The stark economic realities have created multiple operating threads within the new decade – some with answers, some driving towards convergence.

As servicers, lenders, and vendors the ability to predict the next year is coming into focus – albeit narrow in their definition. However, what the 2010 budgets fail to recognize are the holistic implications of a declining dollar, a three to five year lag of unemployment recovery, and economic risks that are slowly building only to burst our holiday of joy after years of decline. Is this an overly detrimental assessment? No, no, just looking at the data that is already aligned if we care to interpret.

When examining the stark reality and meteoric changes anticipated across numerous third-party simulations, the projections below regrettably resemble the dark and foreboding figure within Charles Dickens A Christmas Story – as I play the unwilling part of the Ghost of Christmas Future.

1. Outsourcing, Offshorer Beware: The premises and value of outsourcing (on or offshore) cannot be denied – although it will surely be debated. Yet, understanding the resulting dynamics of a “100-year” recession. It may be a decade before unemployment decreases to pre-2007 levels. Moreover, it may be (barring any new tribulations) that the Federal deficit will begin only turning positive by 2020 (i.e., we can begin paying it off). Where will the money come from to reeducate the American worker looking at a decade of drift? The new decade will witness increasing implicit nationalism as the new political currency to tax foreign enterprises under the guise of rebuilding the economy. Empathy and balance of operations will be the new form of payment for those enterprises who anticipate regulatory change and consumer sentiments.

2. Regulation – A New Wrapper: Whereas politicians will finally make regulatory changes approaching the mid-term elections, the breadth and meaning of those changes will be far less clear. In an effort to exact a “pound of flesh” to soothe disgruntled voters, they will fail miserably at doing what Henry Paulson, former Treasury Secretary, said needed to be done in 2007 – a regulatory structure that works for the new millennium and for the globally interconnected markets that mortgage and lending products are now participating within. Congress is unwilling to do what must be done, and thus they will extract concessions from those individuals and operations that are believed to have benefited from the now three years of chaos.

3. An Investor Driven World: The “age of origination” has been permanently transformed. As the disposition of the GSE’s is debated, the leadership forces entering the markets are coming from the other side of the globe and the reverse financial supply chain – driven by investors demanding transparency, data, and real-time valuations (see newcomer DelphX launching in 2010). This mantra is quickly spreading as we can implicitly witness from previously benign places such as the IMF, World Bank, BIS, the UN, and even the ASF and project RESTART. The tables have turned on the traditional mortgage operator, as if they want private money to lend and originate, it comes with far greater demands and rules in product forms previously scoffed at by domestic firms. With 60% to 65% of the global liquidity sitting offshore, domestic firms now find themselves in a position not previously experienced in their lifetimes. The driver has become a mere passenger.

4. Our Heads are Firmly in the Clouds: The last five years have witnessed remarkable advancement with new technologies rooted in principles that transcend nearly four decades – cloud computing. As progress goes, cloud computing continues to advance against hyped expectations resulting in layering of innovative technology. However, the measurements and benchmarks needed to direct and evaluate technological approaches are not familiar or even clearly defined. The resulting adaptations will therefore be incrementally iterative in their design and implementation. The capital light structure of cloud computing will continue to offer needed innovation at price points and operating capabilities that will accelerate change while reducing fixed costs. Orchestrated innovation will be the discipline and rigor used in place of once standardized processes. Cloud computing will play a larger and larger role in the management innovation and principles of orchestration.

5. Global Interconnectivity – New Responsibility: For the time being, America has released control of its financial future. Additionally, domestic lending, be it securitized or portfolioed, is now and permanently tied to international finance. The ability of stoic mortgage operations to unilaterally determine their destiny is now firmly in the hand of evolving global regulators, carried international agendas, new investors, and even new establishments being defined outside the influence of old-line monarchs. 2010 will experience a marked rise in new instruments, exchanges, and regulator sanctioned hybrids. Money to fund not only pipelines but improvements will likely face a risk aversion in the first half of 2010 as external events (e.g., stimuli, elections, exchange rates, unemployment, asymmetric recoveries) play out daily on the front pages. A new series of covenants and demands will trickle in from non-traditional players impacting historical processes – which will be cast aside in favor of relevance, financial innovation, and market viability.

6. Back to the Future: Innovation of both business and technology will witness a rebirth of vertical provisioning. For nearly two decades organizations have been shedding operations and outsourcing all “non-core” competencies as a method to cut costs and improve delivery. The expansion of this “fact” has witnessed resistance as small and very large organizations have begun to rebuild their end-to-end verticalization chains. When markets and consumer behaviors are stable, standardization or commoditization of sub-processes cannot be outsourced – at least not in a traditional sense. It is this management reality of the need for increased vertical control that not only drives the use of layered innovations (i.e., cloud computing), but also the methods, models, techniques, and profits that are now demanded by businesses and their customers. Although, verticalization of the past is not the same as what awaits those seeking greater specialization within their delivery value chain today. It is about the assembly of segments in unique and competitively different arrangements that will create longevity – both short and long term.

7. “Unholy” Alliances – A Brave New World: 2010 holds a chance of experiencing a double-dip or retrenching of the pain. While the second blood-letting is not expected to be as deep, the nascent recovery is fragile and in some cases, unsupportable using the very instruments that saved it from destruction. Even President Obama has indicated that this double dip, double bottom might happen in 2010. It will be the resurgence of private firms and proper use of “hot money” that will craft firm relationships between previously disjointed firms. Moreover, as a result of necessity and new rules, former competitors and groups will be forced to make peace and forge alliances across the finance and mortgage markets (FMM). In 2010, the first half will witness several of these public announcements. What you ask? Well no sense giving away the answers to that question – at least not yet.

It is here at the end of all prior things, which shaped the industry as we know it, new beginnings dawns. As the gaunt and thin hand of the future points the way, we must look to Scrooge for our true reality.

Like the story penned over 150 years ago, we must take control of our destiny in new and unique ways – stepwise innovation, technology, process, and yes, people. All assembled in strange and unique ways – some with alliances previously, sometimes arrogantly deemed unnecessary.

In closing, just because the future is anticipated or debated, does not make it a reality. The future makes fools out of those of us who dare conjecture its path. “I am not the man I was” – the same can be said of our industry.

Perhaps our future is best described from a detached and introspective viewpoint.

Beat the heart of industry mortality,

From the ashes raise a cheer,

Our focus is a gauge of simplicity,

Our relevancy is our fear.


UN World Economic Situation and Prospects 2010, Global Outlook, December 2, 2009.

ibid

International Society of Professional Innovation and Management (ISPIM), December 8, 2009, at New York City.

Proven Technology, New Paradigm

Tuesday, October 20th, 2009

By Mark P. Dangelo

www.Innovative-Relevance.com

One of the few bright spots in lasting recessions is the birth of relevant innovation. These are the new products and services that markets and consumers want, which are pragmatic and sustainable regardless of the economic plight surrounding them. More new businesses start in times of chaos than in times of prosperity. The seeds of the next wave of business processes and supporting solution sets are growing.

Yet, not all relevant innovation is from quantum breakthroughs in technology. Often times the most momentous advancements are those that involve the layering of proven technologies in new and unique alignments. Additional gains are made from using modified processes, procedures, and formulations. Finally, the remainder is driven by new educational standards, skills learned, or via collaborative intelligence.

Let’s explore two potential paradigms that are quietly emerging to those seeking new uses for proven technologies.

A Vision to Look Beyond Today

The markets have seen an explosion of solutions targeting fraud in all its forms – misappropriation, misstatement, bribery, corruption, identity, occupancy, income, appraisal, shot-gunning, and the list goes on. The advances in data aggregation, statistical modeling, and integrity have given originators and law enforcement agencies new tools to combat illegal acts. But, whereas these increasingly robust solution sets are eliminating fraud in new, refinanced, or modification loan originations, there are additional benefits yet to be booked with the potential extension of solutions.

For example, what struck me as having huge potential during the recent MBA Annual event was an announcement by MERS and Interthinx on their National Fraud Prevention Solution. Why did this standout? What was missed by the invited press was the underlying and potential supply chain altering principles beyond identifying fraud just during the origination processes.

When examined along the entire value or supply chain of mortgage processes – origination, servicing, securitization – the existence of a common source of aggregated information potentially offers touchpoints for bonds and equities, repurposing existing asset classes, insurance, government regulators, and of course, all aspects of complex servicing. In manufacturing terms, think of it as forward and reverse supply chains where parts are sourced in many places, but assembled in one place to create a working product.

Examined differently, if fraud information is good for the origination of a loan, why shouldn’t it be used for the same loan, borrower, and institution throughout its life-cycle? Case in point, if the loan is non-portfolioed and securitized with other “quality” loans, then over its life should the borrower or trustee overseeing the tranches (e.g., covered or hybrid bonds), all sourced aspects of the loan must be permanently accessible. The same will hold true for portfolioed loans and the new Basel rules requiring greater capital reserves in 2010 against held assets.

After all, the “originate and forget” model is dead – which is why private securitization went from nearly 65% of the market to under 5% in just three years. There are parallels and lessons learned in other industries – insurance, equities, and healthcare.

If fraud is rooted in risk mitigation, then the data for risk analysis will require a comprehensive integration of the entire data or mortgage supply chain for life. Risk analysis and the underlying agencies and regulators, which will be taking more active governance roles, require a non-siloed vision. A game-changing option is made available once we look beyond the “false” industry containers of information, and into the greater comprehension demanding new operating paradigms.

While the MERS and Interthinx announcement was positive, there is a potential for a permanent shift that reverberates across the industries – like a pebble being dropped into the center of a pond.

Think Differently, Act Aggressively

With nearly 1.7 million borrowers three or more payments behind last month, the challenges of loan modifications are still mounting. Whereas, the government has claimed success for on-going workout initiatives – albeit it permanent or temporary loan restructurings – according to RealyTrac nearly 940,000 were in foreclosure filings during Q2 2009.

In general, the optimistic industry personnel are trying to stress the positives – low interest rates, government incentives, and a hope that the bottom has been put into the market free fall. Others aren’t so hopeful. But whether you believe in a recovery or more pain, one thing is very clear – how do you reach out to a customer in trouble or those seeking advice?

The complexity and breath of answers stagger the imagination. However, what is evident is that no one method will work for all classes of loans or customers. A multi-dimensional approach using all available market and technology channels needs to be cohesively integrated to ensure the best for all parties involved – borrower, lender, servicer, and investor.

One proven technology that has been used to drive consumers to secure new loans was search engine optimization or SEO. SEO is well known to marketing professionals and ad agencies. Many users commonly associate SEO with Google, Yahoo, or other search engine rankings and ad placement. It worked great to drive potential lenders to sites during the “go-go” credit of this last decade, but does it have a use now?

The short answer is yes. SEO is undergoing a rebirth among a new class of innovative firms (e.g., Enquisite), which move beyond the mere generation of prospects and into ROI, analytics, and performance. The new solution sets employ “organic” and paid placements to arrive at a composite of contacts who may want assistance and who may have been doing research on your corporate “landing pages.”

The methods of achieving this result are beyond this article, but suffice it to say that there are fundamental shifts in the way SEO is being used – for today and tomorrow. Some additional uses for performance driven SEO are in support of compliance, loan modifications, servicing, and to address political concerns that the financial institutions are not doing enough to reach out and assist struggling homeowners and consumers at risk.

For those in the retail channels trying to assess their customer approaches, novel macro uses of SEO are beginning to capture the imagination, while influencing operating initiatives. Although, many thought they knew what SEO was, the rules are being rewritten by relevant innovators eager to assist and able to deliver.

In summary, SEO is increasingly becoming part of closed-loop systems for channel deployments and operating feedback supported by adaptive process improvement techniques. It has moved well beyond simple lists, clicks and conversions.

Adapting a phrase from history, it can be said, “I never knew SEO, but it knew me.”