Apiax's seven steps towards compliant investment advice in the digital age

Resource - 28/09/2020 : banking, compliance, fin tech, legal tech, reg tech, Risk & Compliance

Over the past decade, financial service providers have had to keep up with a rapidly expanding regulatory environment. 

The current situation exposes financial institutions to fines, penalties and reputational damages. It also weighs...

Four best practices to solve the compliance challenges of robo advisors and digital wealth management solutions, by Apiax

Resource - 28/09/2020 : banking, compliance, fin tech, legal tech, reg tech, Risk & Compliance

In this whitepaper, we show the urgent need for wealth managers to work with machine-readable regulations.
We argue that machine-readable regulations are an integral part of digital wealth management solutions and that they are becoming...

Apiax: Three steps to turning compliance into a business enabler in fund distribution

Resource - 28/09/2020 : banking, compliance, fin tech, legal tech, reg tech, Risk & Compliance

In asset management, exploring investment opportunities beyond the regional borders has become as natural as capitalising on those within them. As financial institutions seek out new growth opportunities, both institutional and retail investors...

Apiax: Wealth Management: Cross-border framework

Resource - 23/09/2020 : banking, compliance, fin tech, legal tech, reg tech, Risk & Compliance

In today’s global financial landscape, managing wealth on a cross-border basis has become industry standard. Whether looking to reach an international and mobile client base or to offer competitive investment services, opportunities often...

Apiax: Data transfer restrictions

Resource - 23/09/2020 : banking, compliance, fin tech, legal tech, reg tech, Risk & Compliance

In the digital and ever-connected business environment, the exchange of personally identifiable information (PII) happens everywhere. Management of this data can easily be subject to risk. Regulatory ambiguity and inconsistent data protection...

Apiax: Compliant and suitable investment recommendations

Resource - 23/09/2020 : banking, compliance, fin tech, legal tech, reg tech, Risk & Compliance

Today’s wealth management industry is marked by tough competition, growing customer demands and constant regulatory scrutiny. To position well in the market, firms need to deliver superior investment advice, including personalisation and...