Apiax’s seven steps towards compliant investment advice in the digital age

Over the past decade, financial service providers have had to keep up with a rapidly expanding regulatory environment. 

The current situation exposes financial institutions to fines, penalties and reputational damages. It also weighs on their ability to deliver services efficiently and expand their business activities quickly.

In this whitepaper, we focus on compliant investment advice. We show the 7 steps financial service providers need to take to address regulatory complexity, generate new business and increase client satisfaction.

We argue that in our current digital age, mastering complex financial  regulations means mastering them digitally in order to increase regulato-ry certainty, boost efficiency and fuel productivity.

We also show how financial institutions can improve client satisfaction by considering the tax impact of investment recommendations and enable their client advisors to act with confidence in challenging regulatory situ-ations whilst remaining highly efficient by using state-of-the-art advisory technology.