Daniel Broby, PhD
Professor
Academic Program Director
Master of Science in Financial Technology
EXPERTISE
Finance and Financial Technology
RESEARCH INTERESTS
Financial Technology (FinTech), Financial Capital markets (Indices), Financial Law & Regulation (Regtech), Innovation
Daniel Broby, PhD
Professor
Academic Program Director
Master of Science in Financial Technology
ACADEMIC BACKGROUND
- PhD in Finance, Strathclyde University, United Kingdom
- MPhil in Economics, Brunel University, United Kingdom
- MSc in Investment Analysis, Stirling University, United Kingdom
- Master of Philosophy in Economics
- Master of Science in Investment Analysis
PROFESSIONAL AND ACADEMIC EXPERIENCE
- Professor, Chair of Financial Technology and Director Centre of Financial and Regulatory Technology, Ulster University Business School, Ulster University
- Senior Lecturer, Director Center for Financial Regulation and Innovation, Strathclyde University Business School, Strathclyde University
- Chief Executive, Gemfonds
- Deputy Chief Executive, Silkinvest
- Chief Investment officer, Renaissance Investment Management
- Chief Investment officer, Bankinvest
- Chief Portfolio Manager, Nordea Investment Management
- Head of International Research, Quilter
AFFILIATIONS, AWARDS, AND HONORS
- Individual member of the London Stock Exchange
- Chartered Fellow of the Chartered institute of Securities and Investment
- Fellow of CFA (UK)
- Senior Fellow of the HEA
PROFESSIONAL CERTIFICATIONS
- FISP
- FCSI
PEER-REVIEWED JOURNALS
- Hamarat, C., & Broby, D. (2025). US regional small business lending: Impact of liquidity regulation and FinTech lenders. The Singapore Economic Review. https://doi.org/10.1142/S0217590825490062
- Broby, D., & Smyth, W. (2025). On the use of principal components analysis in index construction. Financial Statistical Journal, 8(1). https://doi.org/10.24294/fsj10858
- Hamarat, Ç., & Broby, D. (2022). Regulatory constraint and small business lending: Do innovative peer-to-peer lenders have an advantage? Financial Innovation, 8(73). https://doi.org/10.1186/s40854-022-00377-y
- Broby, D. (2022). Central bank digital currencies: Policy implications. Law and Financial Markets Review, 16(1–2), 100–115. https://doi.org/10.1080/17521440.2023.2209294
- Smyth, W., & Broby, D. (2022). An eigenvalue distribution-derived ‘Stability Measure’ for evaluating minimum variance portfolios. Quantitative Finance, 23(3), 521–537. https://doi.org/10.1080/14697688.2022.2149420
- Smyth, W., & Broby, D. (2022). An enhanced Gerber statistic for portfolio optimization. Finance Research Letters, 49, 103229. https://doi.org/10.1016/j.frl.2022.103229
- Broby, D. (2022). The use of predictive analytics in finance. The Journal of Finance and Data Science, 8, 145–161. https://doi.org/10.1016/j.jfds.2022.05.003
- Broby, D., McKenzie, A., & Bautheac, O. (2021). Factor model index for commodity investment. Journal of Index Investing, 12(3), 33–52. https://doi.org/10.3905/jii.2021.1.110
- Broby, D. (2021). Financial technology and the future of banking. Financial Innovation, 7(47). https://doi.org/10.1186/s40854-021-00264-y
- Broby, D., & Spence, O. (2020). The tracking efficiency of physical and synthetic equity index ETFs. Journal of Index Investing, 11(3), 34–47. https://doi.org/10.3905/jii.2020.1.097
- Broby, D. (2013). The case for a roadmap towards financial regulatory convergence. Journal of Financial Regulation and Compliance, 21(4), 397–402. https://doi.org/10.1108/JFRC-02-2013-0002
- Broby, D. (2012). The regulatory evolution of the post-credit crisis fund management industry. Journal of Economic Policy Reform, 15(1), 5–11. https://doi.org/10.1080/17487870.2011.642145
BOOKS AND BOOK CHAPTERS
- Broby, D. (2024). A guide to equity index construction (2nd ed.). Risk Books.
- Bielinski, A., & Broby, D. (2023). Machine learning and the optimal choice of asset pricing model. In S. H. Jafar, H. K., H. El-Chaarani, S. Moturi, & N. Gupta (Eds.), Artificial intelligence for capital markets (1st ed., pp. 37). Chapman and Hall/CRC. https://doi.org/10.1201/9781003327745
- Broby, D. (2010). A guide to fund management. Risk Books.
- Broby, D. (1997). The changing face of European fund management. FT Energy, a division of Pearson Professional Limited.
OTHER INTELLECTUAL CONTRIBUTION
- Gandy, A., Broby, D., Wright, G., Freeman, T., & Durkin, M. (2023). Industry preparedness for accelerated settlement cycle (SWIFT Institute Working Paper No. 2022-003). SWIFT Institute.
