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Regulated by region

FNZ is regulated in most of the regions where we operate, with new entities added as we expand. Please get in touch for the list of our regulated entities in your area.

Regulatory and compliance environments continually shift, therefore FNZ compliance constantly scans regional changes being discussed by regulators, identifying and assessing the initial impact of changes. Impact assessments are shared with customers before finalizing solutions.

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Comprehensive monitoring

FNZ’s compliance monitoring program develops annual plans that can include upcoming or in-progress regulatory changes by region, approved by local executive and relevant board committees. Progress is tracked by internal governance forums and boards.

Regulatory consulting

We maintain expertise across all regions in which we are regulated, and often consult with our customer partners in regulatory matters. For any matters relating to a jurisdiction where FNZ does not operate a regulated entity, FNZ will have an external consultant on retainer to provide regulatory advice as required.

Mandatory training

All FNZ employees are subject to training on regulatory requirements. Additional training is delivered according to requirements by seniority, location and role. As the regulatory landscape changes, we also conduct ad-hoc training by region.

  • Financial crime

  • Cybercrime

  • Business continuity

  • Protecting client assets

  • Information security

  • Data protection

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The race for scale

How the wealth industry’s supply chain is evolving to deliver personalized wealth management at massive scale.

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Success story

Improved compliance for Investec

Investec’s Bank Switzerland worked with FNZ to simplify onboarding and improve know-your-customer compliance. This resulted in a new layer of visibility and security to the whole area of compliance, and a better end-investor experience.

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