Apiax use case Wealth Management: Cross-Border Framework


Stay competitive and compliant in cross-border wealth management

Cross-Border Wealth Management

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 emerge beyond the local territory.

As with every silver lining there comes a drawback. In the aftermath of the financial crisis, the wealth management industry has seen an influx of regulatory requirements, forcing compliance officers and operations professionals alike to rethink their cross-border operating model.

To avoid risk of-non compliance without compromising on efficiency and profitability, wealth managers require a solid whilst business enabling compliance framework.

The right tools allow regulatory experts to digitise their expertise and access digital, verified and up-to-date regulatory rules – all in one single repository, ready to be deployed at an instant. Only then can regulatory experts free themselves from repetitive tasks and stay in full control over regulatory developments.

Download whitepaper: Compliant Investment Advice

Tap into the possibilities of digitally enabled compliance solutions

  • Compliance made radically simple. Provide clear and case-specific dos and don’ts to internal compliance inquiries – at the click of a button. Deliver dependable and instant guidance through all regulations relevant to cross-border wealth management, including MiFID II and FinSA (FIDLEG).
  • Transparency. Greatly reduce the need for classroom training. Manage and share visually clear and understandable regulatory implications with business stakeholders and client-facing employees.
  • Compliance by design. Make compliance the only option and significantly reduce risk of non-compliance. Consolidate, automate and integrate regulatory data into internal workflows to promote efficient and compliant provision of cross-border financial services.
  • Exceed client expectations. Ensure personalised and always-compliant investment recommendations, including accurate calculations of tax impact.
  • Move forward at your clients’ pace. Respond quickly to client-driven inquiries and speed up meeting preparation through instant feedback to complex regulatory inquiries.
  • World-leading expertise. Access world-leading regulatory and risk expertise through Apiax’ digital ecosystem.

With close and constant regulator scrutiny, today’s financial institutions are expected to have an established cross-border compliance framework in place. The right technology ensures smooth implementation of regulatory standards whilst removing ambiguity and misinterpretation across the entire organisation.

Andreas Strässle, Regulatory Engineer, Apiax

Powerful results in a few clicks

  • Cut down compliance preparation time by 95%. Replacing lengthy country manuals and policies with Apiax client interaction app, relationship managers speed up compliance related meeting and travel preparation by 95%.
  • Reduce the need for compliance classroom training. Promote smart learning, always-compliant workflows and well informed frontline staff.
  • Turn weeks of regulatory go-to-market preparation into minutes. Review and approve the servicing of new markets in an instant.
  • Reduce the maintenance cost of country manual frameworks by 36%. Free up valuable time and resources with curated and automatically updated compliance rules.

Get started

Stay competitive and compliant in cross-border wealth management. Get in touch to discover dependable and business enabling digital compliance frameworks.

Master complex financial regulations in the digital age

  • Compliance Officers: Explore methods to stay on top of regulatory developments, including MiFID II and Dodd-Frank..
  • Relationship Managers: Learn how to stay confident and compliant even in the most complicated client interactions.
  • Investment Officers: Discover efficient ways to incorporate tax-impact calculations into superior investment advice.