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Where compliance meets convenience

Wednesday 5 October 2022 11:00 - 11:40 CEST

Reshaping digital client interactions

Over the past year, we’ve seen major firms overlook 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 using 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 most effective approach lies between these two extremes. Although embracing digital channels may complicate regulatory obligations, options do exist that combine two ends of the scale.

We’ll get an expert take on the regulatory landscape surrounding client communications from Alexandra Roberts, Head of Regulatory Policy and Compliance at PIMFA. We’ll then dive into Unblu’s experiences serving the financial industry to demonstrate how the right tools, knowledge and strategy can make a convenient client experience a compliant client experience.

Join us on Wednesday 5 October for an enlightening discussion, covering:

  • The regulators’ view on client communications, and the expectations for financial institutions
  • The leading tools, practices and technologies for compliant conversations
  • Industry use cases and demos born from Unblu’s 10+ years experience in financial services

Presented by

Alexandra Roberts

Alexandra Roberts

Head of Regulatory Policy and Compliance at PIMFA

Leon Hersalek

Leon Hersalek

Technical Pre-Sales Consultant at Unblu

Danny Baggs

Danny Baggs

Director of Marketing UK at Unblu