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Regulatory Client Outreach & The Path to Compliance

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Regulatory Client Outreach & The Path to Compliance

At a recent Fenergo industry roundtable event, the topic of Regulatory Client Outreach took front and centre stage during the evening’s discussions.

Given the number of new - and enhancements to existing - regulations planned over the next few years, financial institutions will come under increasing pressure to evidence these compliance obligations by either re-using client data and documentation already held or conducting a fresh collection of data / documents from clients to ensure compliance (or what is known as Regulatory Client Outreach).


In this paper, we explore the core operational and internal challenges that currently make the process of Regulatory Client Outreach a logistical nightmare for financial institutions. We also propose a best practice approach to regulatory client outreach by automating certain aspects of the client management process.

 

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