Strengthening Investor Protection through Operational Outsourcing
As wealth management becomes more complex, so too does the regulatory landscape concerning investor protection. Not only must firms comply with regulations around holding client money and acting in their investors’ best interest, but they must also prove compliance, often on a daily basis. Wealth managers are increasingly re-evaluating where they focus their time and effort. At the same time, outsourcing partners have evolved their models to support a wider spectrum of activities with more flexibility than ever.
The whitepaper explores:
- The increasing burden of regulation—From the UK’s CASS rules to the US’s “Reg BI” requirements, firms face an increasingly nuanced, demanding, and punitive regulatory landscape.
- Next generation outsourcing—Attitudes to technology and operations outsourcing have started to change. It is no longer an “all” or “nothing” proposition, and this flexibility lets wealth managers re-evaluate their focus.
- Delivering investor protection through partnership—How can this new flexible outsourcing model help wealth managers to ensure their investors are protected and their firm is compliant?