Operationalising Compliance for Wealth: Taking the Next Right Action

Droit’s Brock Arnason and Craig Butterworth talk to Regulation Asia about how wealth managers are addressing industry disruption and increasingly complex regulatory requirements.

The private banking and wealth industry is undergoing disruption and transformation as a result of evolving client expectations, increased digitalisation of financial services, complex rules and intensifying regulatory scrutiny. Firms need to ensure they comply with regulations across borders and complete traceability and auditability of the decision-making process, without sacrificing on the client experience.

Regulation Asia co-founder Nick Wakefield sat down with Droit’s CEO Brock Arnason and Chief Commercial Officer Craig Butterworth to discuss how wealth managers are addressing these challenges through the use of codified rules and regulations, automated intelligence and real-time decision-making.

Droit was recognised for its Adept trade reporting solution in the 4th Regulation Asia Awards for Excellence 2021 at an online ceremony on 9 December 2021.


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