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  • Earlier this year, in conjunction with Compeer Ltd. we surveyed UK wealth managers overseeing a combined total of £350bn of private client assets—almost 40% of the industry's total AUM. The report provides an understanding of how the compliance function is evolving in terms of spending, headcount and technology, and what constant regulatory change means for UK wealth managers and their clients.

    During the course of the interviews, the survey’s participants expounded their views and intentions on a wide range of compliance and regulatory topics, including:

    • MiFID II and GDPR—lessons learned
    • The role of compliance in growing AUM and business development
    • Specific areas of regulation where firms had encountered the
      biggest difficulties
    • Headcount, costs and budgets
    • Sources of information, support and clarification—who stepped up
      to the plate and who didn’t
    • Turning compliance to commercial advantage
    • Delegating responsibility, spreading the load
    • The management of risk

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