Advisors & External Asset Managers

Advisory & Asset Management is a business in change: between new competitive pressures from tech-centric startups like robo advisors and growing regulation, growth & margins are under threat.

With KYC & AML regulation being tightened, MIFID 2 already being in force in the EU, FIDLEG coming in Switzerland, regulatory costs are set to explode in coming years for those who are unprepared.
On the growth side, restrictive reverse solicitation rules mean that growth is harder to come by - organic growth through asset consolidation & referrals are the best source of growth, but on their own not enough for ambitious firms.

How we can help


Convert prospects, grow AUM & comply confidently

We can help you find new sources of growth, maximise prospect conversion, upsell- and cross-sell opportunities while complying with regulation. Using a combination of insight into your situation, deep know-how and off-the-shelf tools & software, we can take the strenuous parts out of your business, so you can focus on serving clients and growing their assets.

Our approach involves a low-risk, incremental approach to change, which means investment is immediately followed by results.

Some potential results we can help you achieve are:

Benefits & Outcomes
Increase prospect to client conversion
  • Engage clients & convert more early meetings into relationships
  • Reduce lost clients during KYC & Onboarding
Improved client experience
  • Reduce time to onboard
  • Impress clients with your technological sophistication
  • Eliminate additional information requests & get onboarding right first time, even in cases of foreign UHNWI clients using complex SPV structures to invest
Operational efficiencies
  • Provide compliant-by-design advise to client in accordance with MIFID 2 and/or FIDLEG
  • Make it easy to comply with FIDLEG/MIFID 2 client "right of information" obligations
  • Keep on top of client reviews due
  • Automate AML risk & cross-border tax classifications (FATCA & CRS)
Reduced regulatory risk & cost
  • Reduce the cost of regulatory audits with a bullet-proof audit-trail & processes
  • Reduced cost of regulatory change management with sophisticated regulatory rules engine and shared cost through community

Our Client Due Diligence Hub (CDD Hub) software provides a digital process & journey for clients, Relationship Managers & Compliance staff to go from initial meeting, via KYC & onboarding to ongoing compliance & regulatory reporting during the client relationship. For a list of the compliance tasks CDD Hub covers, click here

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