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  • In January 2017 and in conjunction with Compeer Ltd. we put twenty two key questions to a range of UK wealth managers of every size (with AUM totalling almost £100 billion). Their answers and the resultant conclusions - which you may find surprising, reassuring or a cause for concern - are detailed in this report.

    The aspects covered in the survey will enable you to assess whether you're making the best use of, or getting the most out of, the resources you devote to compliance activity.

    Topics covered include:

    • What your counterparts are doing about portfolio suitability monitoring
    • Does taking a different approach to compliance provide a competitive advantage?
    • Compliance costs - are yours higher than they should be?
    • How well prepared (or not) your peers and competitors are for MiFID II
    • Is your firm investing too much or too little resource on suitability tasks and other regulatory work

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