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Personal profile

Personal Statement

Welcome to my 'knowledgebase' profile.

I have enjoyed a successful career in both academia and practice.  My research interests revolve around financial technology, financial indices, and the regulation of capital markets.  I have written a number of peer reviewed papers on index construction, fund management, emerging financial markets, distributed technologies and market regulation.  I have also pioneered research into blockchain and its application in the Fintech ecosystem. 

I am considered a leading academic in the field of "Fintech".  I have spoken and chaired numerous conferences.  I have also appeared in Bloomberg TV, CNBC and in the financial press. I have travelled extensively in my various professional roles to Emerging Markets.  I have interacted with policy markets and regulators. I believe my work has real world impact.

The Department of Accounting and Finance, to which I am affiliated, is ranked "1st in the UK for Accounting and Finance" in the Complete University Guide Subject League Table for both 2016 and 2017.  The department was ranked 2nd in the UK for Accounting and Finance by both the Times University Guide 2015 and the Sunday Times Guide 2015.  Times Higher Educational awarded Strathclyde Business School with "The Business School of the Year 2016".

Research Interests

My research interests revolve around financial technology, financial  time-series and the regulation of capital markets.  I have written a number of peer reviewed papers on these subjects, as well as index construction, fund management and emerging financial markets.  

I have pioneered research into using blockchain and distributed ledgers, and their applications in the Fintech ecosystem and distributed marketplaces. 

My research has a through grounding in Financial Market Theory, albeit focused on  its practical application.  I have, for example, co-filed a US Patent application (no16/2635582) for a System for Estimating the Value of a Company using Financial Technology.  I have also, with my co-investigators, undertaken a large precision time stamping experiment on financial blockchain. 

Expertise & Capabilities

 

I am a leading academic in the field of Financial Technology (Fintech).  My research interests focus on crypto-currencies, market operational efficiency and the timestamping of blockchain financial instructions

In addition, I am one of the world’s most recognised experts on portfolio and index construction.  I wrote ‘A Guide to Index Construction’ for Risk Books, described in a review as “a comprehensive academic treatise on the subject”.  He is focused on extending the literature within finance to incorporate big data analysis, artificial intelligence and machine learning.

In my professional career, prior to academia, I was a successful investor in emerging and growth markets.  The investment performance of the funds I managed was recognised by Morningstar (with their highest five star rating). I have also been on a number of financial industry task forces, committees and policy councils.

Industrial Relevance

I believe my research has relevance for the financial sector.  The backbone of the financial system is being re-invented as it migrates to a digital platform.  Blockchain and distributed ledgers are enabling new business models that are enabling challenger financial start-ups to disintermediate the incumbents.

I have participated on numerous financial industry boards, including the prestigious Capital Markets Policy Committee. I participated in the Bank of England RADAR outreach programme and is currently serving on the CFA UK Advocacy Committee.  I have been a director of the European Federation of Financial Analyst Societies, the Society of Investment Analysts, the Institute of Investment Management and Research and the UK CFA Society.  I was an elected Presidents Council Representative for the CFA Institute, responsible for the International Region for a number of years and I was awarded the CFA Institute Society Leader Award in recognition of his service.  

During my fund management career, I was responsible for many billions of dollars of Assets under Management.  I held a number of 'C' level positions at major firms including Chief Executive, Chief Investment Officer and Chief Portfolio Manager.

 

Teaching Interests

 

I was the founder of the MSc in Financial Technology, the first such course in the United Kingdom.  I teach Mean Variance Portfolio Construction, utilizing the skill-set acquired in my professional career as a fund manager.

The courses I teach combine both theory and practice. I integrate live data from into worked examples using the department's Bloomberg laboratory. 

I have been a volunteer committee member with the CFA Institute for over twenty years.  The CFA Institute has 130,000 charter holders. I co-authored the CIPM syllabus reading on Benchmarks for the CFA Institute jointly with Professor Connover and Professor David Carino.  

I have mentored a number of students during internships as well as supervising their dissertations. I am equally comfortable working with large or small groups. I have overseen large teams and conducted lectures to more than 150 students at a time. 

The Centre for Financial Regulation and Innovation, which I am responsible for, won the Educational award in the People Make Glasgow, Inspiring City Awards 2018.

Education/Academic qualification

Master of Arts, Brunel University

CFA Institute

Chartered Insititute for Securities and Investment

Master in Science, University of Stirling

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Network Recent external collaboration on country level. Dive into details by clicking on the dots.

Projects 2016 2017

Research Output 1995 2019

Equity crowdfunding: literature review

Abuo Habla, Z. & Broby, D., 15 Aug 2019, Glasgow: University of Strathclyde, p. 1-19, 19 p.

Research output: Working paperOther working paper

Open Access
File
Literature review
Equity
Financing
Substitute
Capital markets

Strategic Fintech: Centre for Financial Regulation and Innovation: White Paper

Broby, D., 20 May 2019, (Accepted/In press). 13 p.

Research output: Contribution to conferencePaper

Open Access
File
Financial regulation
Financial services
Financial innovation
Business schools
Business model

Prizes

Award for Excellence - Outstanding reviewer

Daniel Broby (Recipient), 2014

Prize: Prize (including medals and awards)

honors and awards
finance

Fellow - CFA Society of the United Kingdom

Daniel Broby (Recipient), 2004

Prize: Fellowship awarded competitively

Activities 2015 2019

Nottingham Trent University (External organisation)

Daniel Broby (Advisor)
1 Sep 201931 Dec 2023

Activity: Membership typesMembership of committee

Financial Markets Law Committee Colloquium

Daniel Broby (Participant)
21 Jun 2019

Activity: Participating in or organising an event typesParticipation in conference