Apiax use case Robo Advisor


The right compliance tools for the best algorithms

Robo Advisor

The rise of the robo-advisor seems inevitable. As an efficient and cost-effective alternative to traditional advisors, it is hardly surprising that many asset managers want to or will move into this space. However, it is just as important for robo advisors to ensure they have the right compliance frameworks as it is for them to have the right algorithm. That’s why we help robo advisors to comply with financial market regulations.

The rise of the robo advisor

Robo-advisors are a class of financial advisers that use data algorithms to provide investment advice and investment management with little to no human supervision. Springing up to offer their algorithms for investing success, robo advisors have gained an increasing following in the last few years. The reason is simple: robo advisors usually promise that while returns will be higher, costs (fees) will be lower. And not to forget, when it comes to attracting millennials and other young clients, FinTech-driven investment solutions are a real game changer.

When it comes to attracting millennials, FinTech-driven investment solutions are a real game changer.

Compliance requirements also apply to robo advisors

Riding a decade-long bull market, robo advisory firms have proven that investors are willing to put complex and proprietary algorithms at the heart of their investment advice. Assets managed by digital platforms are expected to exceed $1 trillion over the next few years. With the additional market share, however, attention is growing. After years of catching up and giving freedom to robo advisors, regulators are ratcheting up their examination of digital platforms.

Thus, compliance policies and procedures needed for a more traditional investment advisory business are also needed for a FinTech-driven approach. It’s important that robo advisor compliance teams keep up with domestic and global regulatory guidance.

Compliance policies and procedures needed for a more traditional investment advisory business are also needed for a FinTech-driven approach.

Digital compliance rules empower robo advisors

The missing piece to the puzzle of digital wealth management solutions are digital, machine-readable regulations. They give robo advisors the confidence that they are giving compliant investment advice, empower them to add sophisticated new value to financial services and enable them to expand their reach. With digital rules on discretionary asset management, product distribution and brand marketing for more than 120 jurisdictions, our solution allows robo advisors to always keep in line with existing regulations.

Digital compliance rules are the missing piece to the puzzle of digital wealth management solutions.

For robo advisors that want to expand into new territories, our solution also allows for strategic planning. Want to expand into new territories and get an overview of requirements? Easy to do with our tools that allow seeing regulatory requirements for the most important issues in more than 120 jurisdictions.

RegTech for robo advisors

Start working with digital compliance rules now. To learn more about the benefits of digital compliance rules for robo advisors, download our whitepaper or get in touch with us so that we can schedule a meeting.

Leverage the Benefits of RegTech in Your Digital Solutions

  • Read how financial institutions can use RegTech solutions to expand the reach of their services.
  • Learn how financial service providers can work with sophisticated APIs.
  • Explore the opportunities of real straight-through processing.

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