Apiax use case Compliant Investment Advice


Always stay compliant in cross-border advisory services

Cross-Border Wealth Management

Capable RegTech solutions allow financial service providers to master cross-border complexity effortlessly and to always stay compliant and productive.

Increasing importance of cross-border banking

The risks involved in providing cross-border financial services are rising constantly. Increasing regulatory complexity is one part of this story, the other part is that countries are enforcing laws more rigorously since the global financial crisis. Financial service providers that provide services and products into other countries must comply with the rules of the host country. Financial service providers see themselves confronted with an increasing number of country-specific regulations. To manage this complexity, financial institutions need robust and dependable cross-border frameworks to master market-specific requirements.

Increasing regulatory complexity and more rigorous law enforcement demand that financial service providers have dependable cross-border frameworks ready and operational.

Cross-border compliance in the digital age

Although compliant investment advice is a basic cornerstone of quality financial services, in the past decade, $321 trillion in fines have been paid, regulatory costs amounted to $100 billion in 2016 alone according to Thomson Reuters, and regulatory alerts were spewing out at the rate of 200 per day. Most banks are expecting the number of regulatory publications, changes and announcements to keep increasing.

Powerful, flexible RegTech tools allow financial service providers to master cross-border compliance more efficiently than today’s practices and processes. Digital compliance rules provide compliance of cross-border activities effortlessly. Financial service providers can access and utilize exactly the rules they need and get full visibility and control over their regulatory rule sets. This technology empowers financial service providers to stay compliant in even the most complicated cross-border situations.

Regulatory technology empowers financial service providers to master complexity in cross-border banking efficiently and to always stay compliant and productive.

One regulatory technology, many applications

Our RegTech solution offers many solutions in wealth management, including the following. And we are constantly adding new use cases to our solution.

  • Digital Country Manuals The better version of paper-based country manuals. Digital country manuals provide dependable yes-or-no answers and allow to react to meeting changes in no time.
  • Client Interaction Planning Relationship managers’ favorite new gadget. Asks all the right questions to provide dependable yes-or-no answers for even the most complicated client interactions.
  • Pre-Trade Compliance Checks The automatic, hands-off variant for pre-trade checks. Ensures that trade executions are not just straight-through, but also always in line with regulations.
  • Marketing Compliance Full speed ahead. Our marketing and distribution rules exactly tell you what you are and are not allowed to do in your marketing and distribution activities.
  • Digital Wealth Management Bridge the gap. Equip your digital wealth management solution with a digital compliance layer to make sure you meet all regulatory requirements, digitally.
  • Anti-Money Laundering We bring together our AML rule sets with external solutions providers to generate dependable risk qualifications.

All of these use cases are powered by our digital compliance rules, which you find here. Our cooperation with leading content partners allows us to offer these rules for more than 120 jurisdictions and keep them always up to date and verified.

Start leveraging RegTech solutions now

Start working with RegTech tools that help you stay compliant in cross-border advisory services now. Master regulatory complexity, stay compliant and productive and give business units the opportunity to create value-added cross-border advisory services today. Work with a robust and holistic cross-border framework. Learn more: download the whitepaper below or schedule a meeting with one of our RegTech specialists.

Master Complex Financial Regulations in the Digital Age

  • Read how regulatory experts can stay in control over regulatory developments such as MiFID II or Dodd-Frank.
  • Learn how client advisors can stay compliant in even the most complicated client interactions.
  • Discover how financial institutions can offer superior investment advice with tax-impact calculations.

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