Regulatory Compliance

 

Peace of mind over compliance and data security. Gain future-proof, automated verifications for MiFID II, FIDLEG and GDPR.

How does it work?

Managing client portfolios in a highly regulated environment is a responsible and complex process.

To keep in line with the ever-growing wave of compulsory regulations, wealth managers are spending an increasing amount of time carrying out a seemingly endless string of client checks.

WealthArc offers a fast and cost-effective automated solution to financial compliance.

Our technology uses algorithms to process each trade, verify it against current regulations and issue warnings and alerts when necessary.

Our smart platform updates automatically with every new regulation giving you complete peace of mind.

A Faster and Safer Way to Work

WealthArc is the secure and time-saving compliance solution you’re looking for.

1
First-Class Data Security

WealthArc works only with the most trusted data centres of Swisscom and Microsoft.

We deliver automatic data backups and disaster recovery under a shared responsibility framework, making our platform the safest option for wealth managers and their clients.

We give you full control over your data, ensuring GDPR compliance. Client data and documents are stored close by – in Switzerland for Swiss customers, in Singapore for APAC customers, and in Amsterdam and Dublin for EU customers.

Transactions transmitted by custodian banks are monitored for sensitive client information, which is deleted immediately when detected by an algorithm. With WealthArc, the safety and security of your client data is guaranteed.

2
User Roles & 2-Step Authentication

With WealthArc, you can allow and restrict access to any portfolio for any employee. We made user roles and permissions customisable because we know that every company and team is unique.

For example, a CEO and Chief Compliance Officer may receive access to all portfolios while a RM is only allowed to access the portfolios they manage.

Forget about having yet another username or password to memorize. Integrate WealthArc with Office 365 and use the same password to log-in to your email and to our platform. Protect your data with 2-step authentication (e.g. mobile app code).

WealthArc comes with unlimited user licenses making it easy to give all your employees and HNW clients access. Our pricing stays the same no matter how many licenses you need.

Teams can share up to the minute information for a more consistent approach and faster decision-making.

3
Financial Risk Management

WealthArc lifts from your shoulders the crushing weight of countless allocation checks. Create and follow your bespoke investment guidelines and ensure all allocations are in sync with the risk profiles of your clients.

Customize the asset tree or regions classifications. Receive daily alerts on guideline breaches, overdrafts and expiration dates.

Each client is special. WealthArc allows you to insert client-specific restrictions and special instructions. When you simulate a trade, all guidelines and rules are automatically validated. You’ll receive clear permission to proceed safely, with no need to wait for a response from your legal department.

4
Regulatory Compliance

Keeping up with the details of every new compulsory regulation such as MiFID II or FIDLEG is almost a full-time role. WealthArc works with top partners in the industry that digitize compliance rules from the Big-4 as each new regulation is passed, so you never have to worry about incurring fines or penalties.

With our solution, all appropriateness or suitability checks are completed in minutes with no need to look up forgotten clauses or bother your Legal Department with queries.

WealthArc handles all the official checks – Anti-Money Laundering, Cross-border, KYC – in a simple, one-step process saving you valuable time and effort. You can comment on client transactions and keep track of them digitally for the FINMA or other financial authority. All user actions are tracked in the audit log for your compliance officer or auditor.

What Makes WealthArc Different

Secure
Data Storage
Secure
Data Storage
WealthArc is firmly convinced that meeting security requirements is much more than just checking off boxes in a compliance list. We work only with the most trusted data centres of Swisscom and Microsoft ensuring that all the data is stored and transmitted securely.
Flexible and Transparent Pricing
Flexible and Transparent Pricing
Pay only for the modules you need with flexible pricing based on your AuM. No extra hidden costs!
Highest Data Quality
Highest Data Quality
WealthArc developed its own, proprietary custodian APIs which collect and unify portfolio data accurately and securely, removing the need to log in and wait for downloads to complete at various e-Banking portals. The whole consolidation process is done fully automatically.
70+ Automated
Custodian Interfaces
70+ Automated
Custodian Interfaces
Automatic connection to our growing network of major custodian banks and third party data providers.
User-friendly and Intuitive Interface
User-friendly and Intuitive Interface
A simple and intuitive web-based platform that works quickly and looks great.
No Installation
Costs
No Installation
Costs
When we say all-inclusive, we mean it. One price includes setup, use and maintenance of secure (Swisscom, Microsoft) servers, access to market data, and unlimited user accounts for your team and clients. There are no hidden costs for opening a new connection to an integrated custodian bank.
48-hour
Service Activation
48-hour
Service Activation
All we need from your side are the contact details of the relationship managers from the custodian banks you work with. WealthArc’s team takes care of the whole set-up process with these banks and notifies you when it’s ready to use.
Unlimited
User Accounts
Unlimited
User Accounts
WealthArc supports growing businesses. Add as many team members and clients as you want with no additional setup fees.
3-Month Pilot with Real Portfolio Data
3-Month Pilot with Real Portfolio Data
Fully test all platform features using your client portfolios from two selected custodian banks over a 3-month period. It takes just 48h to start.