In this edition of
Tech Travels, I am going to consider that the same could apply to regulatory technology (‘regtech’) and compliance in advice and wealth, and that anyone wanting squeaky clean compliance should ‘sit at the front’.
By that I mean they should let the regulator have a constant and comprehensive view of their files.
Fans of cruel classroom stereotypes will be amused to learn that the company trying to make this a reality is Canada-based Four Eyes Financial. The ‘Four Eyes’ does not refer to a bespectacled nerd – nor does it refer to our own ‘four eyes’ compliance rules.