Apiax use case Compliant Investment Advice


Compliant and suitable investment recommendations

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 compliance with global regulations.

Although vital to investors, incorporating compliance and suitability standards into the investment advisory process can be challenging due to ambiguous and multifold guidelines. Modern RegTech tools add clarity and enable the delivery of outstanding investment advice to wealth management clients.

Ensuring compliant investment advice is a formidable challenge – especially in a cross-border context. In the digital age, mastering complex financial regulations means mastering them digitally for increased regulatory certainty, efficiency and productivity.

Download Whitepaper: Compliant Investment Advice

Tap into the possibilities of digitally enabled solutions

Powerful RegTech tools add value to the entire investment advisory process for competitive and compliant investment recommendations.

  • Exceed client expectations. Ensure client suitability from regulatory requirements to tax impact on specific investments.
  • Move forward at your clients’ pace. Respond quickly to client requests with case-specific and instant feedback to compliance inquiries.
  • Transparency. Manage and share visually clear and understandable regulatory implications with clients and business stakeholders.
  • Compliance made radically simple. Clear, dependable and instant answers to all regulations relevant for providing investment advice, including MiFID II, FinSA (FIDLEG) and the Financial Advisers Act.
  • Organisational consistency. Consistent and seamless implementation of regulatory requirements and risk appetite through one centralised compliance repository.
  • Smart knowledge management. Consolidate, automate and integrate compliance data for process efficiency and reduced risk throughout the entire investment advisory process.

Superior investment advisors are those that deliver maximum return whilst ensuring optimal client suitability and compliance with relevant regulations. The right tools enable a seamless and compliant instrument selection.

Andreas Strässle, Regulatory Engineer, Apiax

Meaningful results in a few clicks

95% faster instrument selection process
Replacing traditional text-based knowledge resources with Apiax’ digital compliance rules, investment professionals and relationship managers speed up instrument suitability checks by 95%.

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Benefit from regulatory insight to optimise your investment services and advisory process. Get in touch to explore your business’ potential.

Master complex financial regulations in the digital age

  • Compliance Officers: Find out 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.

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