End-to-end compliance in cross-border banking and investment advice.
Increasing regulations hold back the wealth management industry, and traditional compliance methods are unable to cover the emerging digital interfaces between financial institutions and their customers.
Apiax's tools give everyone easy access to compliance knowledge and install a digital compliance layer that protects even the most complex financial institutions.
Our rules are ready to be used in sophisticated digital products and services. Apiax' rule sets provide binary answers to complex regulatory questions for all important jurisdictions and are continuously verified and kept up to date.
This machine-readable ruleset on investment advice clarifies open questions such as which financial services client advisors are allowed to offer, whether or not they are allowed to give advice on financial instruments, and what documents they are allowed to provide to customers.
This comprehensive ruleset covers essential topics such as whether or not client advisors can offer cash or securities accounts, provide customers with debit or credit cards or whether they are allowed to explain and assist with the order execution processes. It includes answers about what documents client advisors are allowed to provide to customers related to the topic.
Dependable answers on whether or not client advisors are allowed to attend social gatherings, attend events, mention their employer or provide business cards.
Full-scale coverage of brand marketing rules. The brand marketing ruleset covers questions such as whether or not it is allowed to provide brand material, conduct sponsoring, conduct campaigns or offer banking services and products via a website.
The research ruleset gives reliable answers on whether or not financial institutions are allowed to provide and discuss macroeconomic and financial research material.
The digital tax ruleset provides tax information at ISIN level that may be used to calculate the tax impact of individual financial instruments depending on the client's tax domicile. This enables financial institutions to offer first-class investment services such as value-added investment advice or tax-efficient investment products.
Rules governing investment funds.
Dependable answers on bonds.
Definitive answers related to equities.
A comprehensive rule set covering derivatives.
All the answers about structured products.
End-to-end compliance in advisory processes
Improved risk processes and decreased risk of non-compliance
Fully digital compliance layer empowers for many use cases
Perfect tools for strategic planning and global expansion initiatives
Easy access to compliance knowledge anywhere and anytime
In this e-book, we outline five common traps where modern tools can help empower the frontline of your business, case by case.
How can wealth managers and asset managers solve their Brexit headaches in cross-border banking? We list the common pain points and why it is time to look into digital cross-border solutions.
The fundamental guide to understanding legal implications and predicting accurate tax impact on portfolios.