Apiax helped a global wealth manager automate risk mitigation for over 90 countries

Case Studies 14. March 2022.

The Company

The Client is a leading global wealth and asset manager with more than 3,500 relationship managers who look after client investments in a hyper-dynamic regulatory environment.

The Challenge

Due to the enormous legal complexity legal complexity of the investment environment and the high volume of regulatory changes, the Client was facing high risk exposure, workflow blockers and increasing costs of individual client processing. Therefore, the Client was looking for a solution to simplify the application of internal policies and accelerate the decision-making process without further escalation to in-house compliance and risk departments or external specialists.

The Solution

With Apiax, the Client digitized and centralized their cross-border rules for over 90 jurisdictions and made them accessible within all internal advisory tools. Each advisor is now able to get immediate yes-or-no answers regarding business activities and make quick and fully compliant decisions. With the development of a tailor-made internal tool to automate regulatory expertise, Apiax enabled the Client to harmonize the interpretation of rules across jurisdictions and ensure consistent mapping to relevant investment products and client information.

The Main Results

The implementation of the embedded solution provided by Apiax enabled the global wealth manager to automate its risk mitigation for over 90 countries and establish a single source of regulatory truth. This brought a 200 times better time-to-market, 20% higher productivity per advisor, and 100% IT effort savings for regulatory compliance changes.

Further results are shown below:



"Together with the Apiax team, we developed a tailor-made, global solution, that ensures seamless product applicability checks within our existing core advisory and trade execution tools. We have seen substantial benefits on both the user experience and risk management side. "

Program manager at Global wealth manager


About Apiax

Financial institutions around the world use Apiax to embed compliance into their applications and processes. It helps them overcome regulatory challenges, realise business opportunities, and reduce the cost of compliance

Additional Information

Homepage Apiax

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