Appway Regulatory Reviews for Wealth is a software solution designed to comply with evolving regulations while embracing innovation. Wealth managers can leverage the latest technology to orchestrate client reviews and obtain a comprehensive overview that supports compliance expertise
Regulatory Reviews for Wealth enables a data-driven orchestration of the compliance process that provides a holistic overview of clients. Regulatory reviews are expedited due to data centralization and the monitoring of internal tasks, which are assigned according to priorities.
Compliance experts can design the review process and meet deadlines with the help of reminders, calendar invitations, and a built-in escalation mechanism. The customer experience is improved, as long waits for bank approvals and continuous iterations to retrieve information are avoided.
Compliance & Regulation
Compliance & Regulation
Data Management & Analysis
Assign tasks while indicating priorities, ownership, deadlines, and milestones
A set of rules combining predefined criteria to rank reviews and prioritize tasks
Dashboard that provides a holistic overview of client relationships and context
Interface that creates and manages integrations with third-party background checking systems
Rules engine that ensures clients are fully profiled and updated through KYC, FATCA, and CRS questionnaires without having to rekey data
Household tree & role manager
View clients’ personal situations and relationships to identify complex and risky structures
Empower compliance experts
Compliance by design is the foundation of the Regulatory Reviews for Wealth solution. Compliance experts can model the review process to assign priorities, monitoring the tasks and avoiding overload peaks
Enable data-driven orchestration
Many events can trigger regulatory reviews, from client data inputs to changes in clients’ personal situations or, most commonly, periodic mandatory reviews. Data centralization empowers wealth managers to orchestrate the review process, regardless of the triggering pattern. Compliance is always guaranteed together with internal audits and reports
Holistic regulatory reviews
Client reviews are not only mandatory, but represent an opportunity for banks to attain a comprehensive overview of clients’ relationships. Banks gain a deep understanding of their clients’ circumstances while remaining compliant with new and existing regulations
Managing client reviews throughout the entire client lifecycle improves internal efficiency and streamlines the process. Compliance experts can always rely on updated and available data, ensuring collaboration across departments by delegating, tracking, and monitoring tasks
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