Solution introduction
Operationalizing compliance for confident and consistent decision-making
Client expectations are rapidly evolving as HNWIs expect frictionless, integrated, omni-channel service when and how it suits them. At the same time, they want access to more sophisticated products that historically only institutional investors had access to
In combination with increasing sectoral regulatory scrutiny and complex compliance rulesets, this presents a major challenge for Wealth Management firms. So how do they deliver unprecedented levels of service while ensuring compliance with more stringent regulatory requirements?
To generate revenue both for the firm and its clients while remaining within the sphere of compliant interaction, advisors need to quickly answer fundamental questions such as, What am I allowed to speak to this client about? Or, with which document requirements do I need to comply? all within an environment of growing regulatory complexity across multiple geographies. This is particularly challenging if advisors rely on manual, inefficient processes that are susceptible to human error.
Droit’s patented Adept technology provides Wealth Management firms with a robust, non-invasive, split-second decision-making capability, enabling them to stay competitive in the face of a rapidly changing landscape.
