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Novelty to Necessity: The Power of Personalization in Banking

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The Power of Personalization in Banking

The banking sector – a bulwark against the breakdown of other industries is left to nibble from the remnants in the wake of the virus-induced global economic slowdown!

Banks wrote off over ₹80,000 crores of loans in the first half of FY2020. The number exceeded ₹2 trillion in the past two years. But major Indian banks have demonstrated resilience through uninterrupted services, offering EMI moratoriums or fee waivers to borrowers.

Unfortunately, historic trends allude to a grim scenario where Indian financial institutions were designed to overlook defaults thereby leading to grave profitability concerns and credit risks associated with it in the wake of the COVID-19 pandemic.

Given the current slow-balisation, financial institutions cannot press for repayments from individuals and are expected to sit on bad assets for a longer period in light of RBI’s moratorium effective until 31st August 2020. As the sector is left scrambling for money, more financial institutions are embracing technology to achieve their objective of survival, growth, expansion, or otherwise. 

Online Banking

At the outset, banks and financial institutions adopted technology as a means to stay connected to customers, deliver services and perhaps make money. Essentially, online or web banking offers customers almost every service traditionally available through a local branch including deposits, transfers, and online bill payments through desktop, laptop, or mobile phones. At the core, online banking permits users to avail services in just a few clicks!

There are several advantages of online banking such as 24/7 access to bank accounts from the world over, fast and easy fund transfer, coupled with highly safe and secure transactions of low to high value.

The latest trend in Internet banking is to integrate third parties into the electronic business. Typically, customers use banks to interact with a third party, for example, to pay their bills.

In this case, the Internet channel can also be used to do the complete transaction electronically, resulting in impressive cost and time savings, not only for the bank and its customer but also for the other involved parties.

In addition, the electronic business aspect of Internet banking is creating completely new types of services – services that do not exist in other banking channels – that can be offered to new customer segments and used to create new revenue.

Personalized Banking

Tech Giants like Amazon, Facebook, and Google have spurred a desire for more customized interactions and fostered a willingness to trade data for a better experience. As a result, the concept of “personalized banking” becomes important now more than ever before!  Targeting customer micro-segments and tailoring offers for them will enable banks to differentiate themselves, build customer engagement, and gain a competitive advantage.

The first step would be to identify what personalization is and what it is not. Thereafter, banks and financial institutions can leverage the large repository of customer data, customer touch-points, and digital platforms to deliver meaningful and powerful personalized experiences. To be sure, personalization in banking is not primarily about selling.

It’s about providing service, information, and advice, often on a daily basis or even several times a day. Such interactions, as opposed to infrequent sales communications, form the crux of the customer’s banking experience. Yet many banks still tend to focus their personalization efforts on the sales arena.

Today, machine learning and data analytics can be harnessed to deliver an omnichannel digital experience to your customers. For banks and finance companies with a wealth of data available, hyper-personalization represents a window of opportunity to stay ahead of the curve with a value proposition that makes customers feel understood.

It also promises significant gains, with Boston Consulting Group estimating that successful personalization at scale could represent an increase of 10% in a bank’s annual revenue.

The biggest takeaway for a bank is staying ahead of the curve as you get to know your customer better and leverage those insights and trends to create tailored digital experiences that boost revenues.

On the other hand, as customers expect a basic level of customization, hyper-personalized experiences in personal finance can lead to amplified satisfaction and engagement, fraud prevention, and better decision-making coupled with a sense of humanized understanding from their bank.

This humanized understanding by banks can be demonstrated in many ways, including:

  1. Behavioral Personalization: This personalization attempts to determine the visitor’s interest based on their actions, which includes visit count, search phrase, content viewed, functions performed, and referrers’ websites. 
  2. IP Based Personalization: This personalization can gain information about the anonymous visitor from the IP address and DNS record. This type of personalization makes use of Geolocation tracking, company attributes to customize the experience. 
  3. Online Banking, CRM, and Loan or Deposit applications: These effective types of personalization use data from other banking platforms to drive personalization. While this type of personalization may seem complex, the implementation is often easier than first perceived.    

However, customization leads us to a larger question of – whether technological advancement and privacy can be allies?   

Presently, the Information Technology Act, 2000 and Information Technology (Reasonable Security Practices and Procedures and Sensitive Personal Data or Information) Rules, 2011 govern India’s data protection regime. However, these legislations fail to protect individual interests in today’s time.

Geo-location tracking, biometric data, and facial recognition apps could invariably violate the right to privacy, but there is no legal framework that regulates or enables the use of such technologies without violating the Fundamental Right to Privacy granted under Article 21 of the Constitution. 

Even the Personal Data Protection Bill, 2019 which is likely to be approved by the Parliament in the Monsoon session of 2020 fails to take into account all stakeholders involved in data breaches.

For instance, the Bill imposes heavy fines up to Rs 15 crores or 4% of the annual turnover for violations but exempts the ‘consent’ requirement in certain circumstances where – data is required by the State, for legal proceedings, or to respond to a medical emergency.

These regulatory changes, though onerous to many, are almost a natural and necessary trajectory considering India’s growing digital footprint in the world!

Conclusion

Personalization is without a doubt a promising area that might be able to answer some of the burning questions that Internet banking must deal with today and even more in the days to come. The possibilities of personalization are not yet fully utilized, nor is there sufficient hands-on experience or research-based knowledge about the most advanced ideas of how to personalize Internet banking services.

The importance of hitting the right target in both selecting the things to be personalized and the way of presenting them visually are delicate matters. If not done right, they might compromise the most important customer values: speed, efficiency, and trust.

Thus as the impact of the COVID-19 flare-up relies upon the gravity, degree, and dissemination of the cataclysm, which remains uncertain even today, the banking sector must leverage personalized online banking to boost revenues in a cash-strapped economy and possibly help the banking sector rise from the ashes!

 


Tags: personalization in banking, the banking sector, global economic slowdown, power of personalization, the banking system, the banking industry

Coronavirus Effect: SEBI Clamps Down on Companies! Promoters, Insiders Can’t Buy Shares Until June 30

By Banking No Comments

SEBI Clamps Down on Companies, Promoters, and Insiders

The COVID-19 pandemic has reduced highway traffic to a bare minimum. People obsessively washing their hands every hour and not to forget the remarkable stock market crashes. The pandemic has brought catastrophic consequences both physically and financially.

Next in line are the promoters and insiders of companies. The Securities and Exchange Board of India (SEBI) reportedly prohibited promoters and insiders from buying company shares from April 1, 2020, to June 30, 2020. This prohibition may have been a direct effect of the additional time given to companies to report their financial results.

On March 19, the SEBI released a circular providing relaxation from compliance to certain provisions of the SEBI’s (Listing Obligations and Disclosure Requirements) Regulations, 2015.

This included an extension of quarterly and annual financial results reporting by one month, from May 30 to June 30, 2020.  The beneficiaries of such relaxation are listed entities, stock exchanges, and depositories.

Customarily, the trading window is subject to closure for a certain period after the financials of a company are published. The period for restriction on trading can be made applicable for 48 hours from the end of every quarter.

This would mean a closure of the trading window for insiders and promoters for 48 hours from May 30, 2020. However, in light of the ongoing lockdown, SEBI has reportedly prohibited promoters and insiders from trading between April 1, 2020, and June 30, 2020.

The rationale behind the decision is clear. Numerous companies may have reached a stage where financial results may be suggestive of the ultimate outcome, although not entirely accurate.

Such information is considered Price Sensitive Information (PSI). Relaxation of filing deadlines suggests a higher possibility of misuse by insiders, promoters, and management if the trading window is left open from April 1 to June 30, 2020.

What appeared to be just another WhatsApp forward disclosed the financial results of top companies in 2019. People remember this and so does the regulator. In light of past and current circumstances, SEBI rejected requests for exemption from this trading restriction.

Knowledge of PSI and acting upon such information amounts to insider trading and may subject a person to penalties under Section 15H of the Securities and Exchange Board of India Act, 1992. A person found guilty of insider trading will be liable to the following penalty: –

1.    Rs 10 lakh or more, subject to a maximum of Rs 25 crore, or

2.    Three times the amount of profits made from insider trading, whichever is higher.

Further, all connected persons and insiders will fall under the purview of this restriction. Connected persons include directors, deemed directors, employees, professionals having access to unpublished PSI and also include connected persons six months prior to the act of insider trading.

Promoters and insiders of companies are regularly exposed to PSI, thereby favourably positioning them to cushion a bear run especially in turbulent times where capital markets have hit rock bottom.

This is a welcome move by the regulator in its attempt to disarm holders of price-sensitive information from further wreaking havoc in the markets and penalizing them if found to be in violation of this trading restriction.


Tags: sebi companies, sebi promoters, SEBI clamps down on companies, relaxation in timelines for compliance with regulatory requirements

Humanizing Debt Collections: A Fair Practices Code for ARCs

By Banking No Comments

Humanizing Debt Collections

While the depiction of Indian stressed asset market is often painted to look dismal, the global slowbalisation has put the screws on government and regulators to take decisive action. In a similar vein, India’s bad debt headache was alleviated with the inception of SARFAESI Act, allowing banks to recover monies without judicial intervention.

Despite that, the problem of mounting non-performing assets grew multi-fold thereby enhancing the prominence and aggression of Asset Reconstruction Companies (ARC) in financial circles.

Need for Fair Practice Codes

In wake of the mounting NPAs, the banking sector is under immense pressure to get their house in order. Realizing this, banks resorted to offloading bad debts from their loan books onto ARCs thereby leading to a massive reduction in their distressed assets. However, during this exercise banks made no provisions for these bad loans in their books, and bore no losses in case of defaults. This issue led to the intervention by RBI in form of Fair Practice Code to ensure transparency in form of cash transactions.

Maintaining Transparency 

Another reason for the need of the Code was that the sale of assets conducted by ARCs-in spirit-emerged to be no different from the sale of assets by state finance corporations or others vested with similar special powers of recovery. There have been many instances wherein ARCs sold assets through ‘private auctions’, and simply served a notice to the borrower.

In this procedure, no account of the sale proceeds, description of the buyer or competing bidders, information on how the asset was sold or expenses on the sale was provided to borrowers. 

At this juncture, the RBIs notification will ensure transparent and non-discriminatory practises in terms of acquisition of assets. To curb the issues and unclear process of assets being sold to bidders where there is no trace of information of who these individuals are, the invitation to participate in the auction will be made public.

This will also provide transparency in the way how much assets were being sold. The Boards involvement to make sure these rules are being held up is of utmost importance. When dealing with buyers Section 29A of the IBC must guide the process. Simply put, a wilful defaulter or a person who was a promoter or was in the management of the corporate debtor, among other conditions would not be allowed to bid for the concerned insolvent company.

Thus, the notification aims to address issues of transparency and borrowers being kept in the dark during such sale of assets while keeping a check on the aggressive sale of assets by the banks and easy purchase by the ARCs.

Also, the sale of assets was not transparent and was far too commonly done at prices that do not represent fair values. Thus, these malpractices by the ARCs forced the RBI to come up with Fair Practice Codes to ensure transparency in transactions and keep a check on their practices.

Under the notification, ARCs are entitled to release all securities on the repayment of dues. If the right of set-off is exercised, then a notice to the buyer must be sent with information regarding full particulars of the remaining claim and the conditions under which ARCs are entitled to retain the securities till the relevant claim is settled or paid.

Ethical Recovery Processes

Hereafter, ARCs must ensure adequate training to staff to deal with customer matters appropriately. This will prevent or mitigate unlawful and uncivilised harassment inflicted upon debtors in the name of debt recovery processes. In the spirit of this Code, ARCs must establish a code of conduct for Recovery Agents and also hold the company accountable in case of breaches by their Agents. 

A compulsory set up of a proper Grievance Redressal within the company should be constituted by ARC. The officer’s name designated to that redressal must be mentioned during the process. Such machinery will prove to be a step towards settlement of issues subsisting between the ARCs and the borrowers or the banks.

In addition to this, initiatives to address the absence of poor secondary market have been taken up. In intention to outsource an activity, a suitable outsourcing policy needs to be established, a delegation of authority depending on risks and materiality and systems to monitor and review the operations of these activities.

Conclusion 

Overall, the RBI’s guidelines rewarding assertive steps yet ethical recovery practices are strides in the right direction. This move will rationalize recent trends in the industry and prove advantageous to various stakeholders in the stressed asset sector, including defaulting borrowers. In light of the new guidelines, ARCs are likely to change their bidding strategy and cherry-pick deals backed by ‘hard’ assets reducing the number of deals.

At the heart of ‘Fair Practices Code’ guidelines is the protection of debtor by humanizing the recovery process while striking an optimum balance between lender-borrower interests in the recovery framework. With an emphasis on compliances, transparent and non-discriminatory practices in the acquisition of assets and required release of securities upon repayment of dues, the FPC guidelines may collectively help insulate debtors from the clutches of the sale process.

Adherence to these guidelines will place these bad bank sponges on a game-changing pathway leading to reduced NPAs thereby reviving stressed assets in the banking sector and the Indian economy one step at a time.


Tags: fair practices code, the debt collector, collection agency, credit collection services, debt collection services, debt management and collections system, debt recovery, debt collections