Online distribution and advisory platforms

Financial Institutions are increasingly planning to roll out or are rolling out digital solutions to its clients. Regulatory authorities have responded with guidance on their additional expectations for online distribution and advisory platforms.

The session highlights areas which we consider to be of particular interest and considers the wider eco-system of regulation which potentially impacts the set-up of online distribution and advisory platform.

Topics include:

• Licensing requirements for online distribution and advisory platforms
• SFC guidelines & core principles on online distribution and advisory platforms, including:
  • Platform design
  • Information for clients
  • Risk management and record keeping
• Lessons to be learned from ATS enforcement actions

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