Regulatory Compliance

Client Suitability & Appropriateness Checks

Client Suitability & Appropriateness Checks

Whether a financial institution is offering investment advice, portfolio management or providing non-advice services such as execution-only services, the relevant suitability and/or appropriateness checks must always be carried out. NorthRow has partnered with muinmos to automate client suitability and appropriateness checks. Learn more.

NorthRow Participating at InvestOps Europe 2018

NorthRow Participating at InvestOps Europe 2018

NorthRow, a leading RegTech firm, will be exhibiting at Invest Ops Europe and attending this year’s event to speak directly with Wealth and Asset Management firms to showcase how we can help them to onboard clients more efficiently while also remaining compliant. NorthRow offers clients a range of options from automated regulatory compliance checks through to a managed services capability for enhanced client due diligence and on-boarding for buy-side firms. Learn More.

Can Automation and Managed Services Provide the Answer to Customer Onboarding?

Can Automation and Managed Services Provide the Answer to Customer Onboarding?

Compliance procedures surrounding Know Your Customer (KYC) rules are putting financial firms under an increasing amount of pressure. According to a recent study, the average spend on KYC-related practices for large financial institutions increased to $150m USD last year, up from $142m USD the preceding year. Learn More.

Remote Reality? Demand for Secure, Remote Customer Onboarding

Remote Reality? Demand for Secure, Remote Customer Onboarding

Customers want the convenience of opening a bank account in minutes from a mobile phone, and firms need to efficiently respond to this increasing customer demand for remote onboarding. These same firms are also beginning to see opportunities arise with the advent of Open Banking and PSD2. NorthRow offers innovative remote onboarding solutions to help financial firms with their complex compliance, identity and security demands, simplifying client onboarding via a single API. Learn more now.