Cross-Border and Suitability Compliance: New Approaches for Europe’s Wealth Managers

European Wealth Managers have unique cross border challenges as well as suitability requirements to meet. Satisfying local regulations plus regional ones such as MiFID II has made compliance and suitability programs difficult to manage.

Find out how the latest innovations can address the critical regulatory challenges within wealth management

In this webinar, experts from NICE Actimize, Deloitte, and Aite Group will discuss how policy changes and cutting-edge technology, including eCommunications surveillance, Natural Language Processing and advanced analytics can generate cost savings or efficiency improvements across compliance processes.

Learn how to unlock new commercial opportunities by managing cross-border compliance efficiently:

  • What techniques are there to better enforce pre-trade controls designed to ensure advisors engage with cross-border investors correctly?
  • What technology can automate the detection of suitability threats such as portfolio or concentration risk?
  • How can correlating communications with suitability alerts reduce false positives?
  • How can advances in technology and stronger internal controls strengthen client protections?
  • What are the regional and local regulations impacting European compliance programs?

Register today and join Aite Group senior analyst Meghna Mukerjee and NICE Actimize for a lively discussion and gain insights into how to tackle the regulatory challenges wealth managers are facing today.

 

Type: 
Webinar
Date: 
December 13, 2018
When: 
Thursday, December 13, 2018 | 10 a.m. ET
Speakers: 

Meghna Mukerjee is a senior analyst on the Wealth Management team writing about market trends as well as regulatory and digital shifts impacting wealth managers, private banks, independent asset managers, and family offices across Europe and the Asia-Pacific. She has a specific focus on regulations such as Markets in Financial Instruments Directive II (MiFID II), the Second Payment Services Directive (PSD2), and the Common Reporting Standard (CRS), and she also writes about private banking business models and market opportunities.