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Better Business Value

Continuous, Cost-Effective Compliance IS Possible

The emergence of a stricter, more onerous regulatory environment in a number of OECD countries, namely Australia, the UK, and Singapore to protect investors is excellent for the industry but it comes at a high price.  Or does it?

Certainly, an effective compliance regime (eg one in which client portfolios do not breach their guidelines but allows for imaginative investment latitude within defined boundaries) requires constant vigilance. This kind of attention requires a great deal of thought, reflection, and adjustment – generally performed over many hours by several staff. As a result, monitoring effective compliance can be one of the most significant costs to a wealth management business.

Now, however, smart, flexible technology can ensure that the entire compliance process can be automated.  Every portfolio in a wealth management business, irrespective of individual and widely-varied compliance requirements can be adjusted simultaneously and in complete conformity. Beginning with the client’s own rules, preferences and constraints, compliance can now be vertically integrated throughout the entire investment process.

The entire process is automatic and portfolios are monitored on an ongoing basis. The ability to scale portfolio adjustments easily and accurately makes it possible to provide a genuinely tailored investment service for the masses in a low-cost manner.

Stuart Holdsworth

Author Stuart Holdsworth

Stuart has over 30 years of experience in the use of technology for the strategic competitive advantage of businesses in the financial markets and investment industry.

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