PIMFA
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In today’s heavily regulated environment, firms are consistently called upon to reevaluate their supervision and suitability compliance approaches. High risk customers, in particular, require greater scrutiny in line with suitability obligations for transaction recommendations. Against this heightened regulatory backdrop, technological advances are driving Wealth Management firms to re-imagine their outdated, manual supervision and suitability compliance programs and replace them with something better.
In this FREE 1 hour webinar we discuss with PIMFA associate member firm NICE Actimize how to:
- Cost effectively reduce your regulatory and reputational risk with new policies, processes and technologies;
- Use automated surveillance to enhance your suitability programs and uncover previously unknown risks;
- Create new efficiencies and better identify threats using a holistic approach to compliance and surveillance.
If you require more information please email learning@pimfa.co.uk.
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