Where compliance meets convenience: reshaping digital client interactions

Major firms have overlooked their regulatory obligations around client communications. Many companies have faced hefty fines for allowing client-advisor communications to occur via non-authorised channels or devices, exposing a widespread problem with inadequate record-keeping practices.

Messaging has become a pervasive form of communication in the wealth sector. For many, this has involved navigating a new regulatory dilemma. Companies either choose to run the compliance risk of tolerating tools that are convenient for their clients, or constrain client-advisor interactions to tools and channels that are easy to keep records on but limit convenient communications. The right tool can combine the two ends of the scale.

This free webinar explores the regulatory landscape around this issue and provides insight into ways in which client communications can be compliant as well as convenient.

To register your free place click here