Solutions
Govix for Wealth Management
Suitability, conduct, AML/CFT, and fiduciary duty — your obligations are complex, personal, and under growing scrutiny. Govix connects them to how your advisers and operations teams actually work.
The reality today
Wealth managers and private client firms sit at the intersection of conduct, suitability, AML/CFT, and data protection. The regulatory surface area is wide — and the consequences of gaps are personal.
MiFID II, Consumer Duty, and local conduct rules create overlapping suitability requirements. Mapping them to your advisory process is manual and often incomplete.
Consumer Duty, treating customers fairly, and product governance requirements demand traceable evidence that client outcomes are being monitored — not just promised.
Enhanced due diligence for PEPs, source of wealth verification, and ongoing monitoring add complexity that multiplies with every client relationship.
Different advisers interpret the same requirement differently. Without a single mapped source, practice diverges and exceptions accumulate.
Compliance evidence is scattered across CRM, portfolio systems, file notes, and e-signatures. Tracing from regulation to proof for any given client is a manual exercise.
When conduct or suitability rules change, the impact isn’t abstract — it changes how advisers work, what they document, and how they evidence decisions.
How Govix changes this
Govix connects conduct, suitability, and AML/CFT obligations to your advisory processes — making compliance visible, consistent, and defensible.
Conduct and suitability mapping
Map Consumer Duty, MiFID II suitability, and local conduct rules to your advisory process steps, documentation requirements, and monitoring controls. One source of truth for how requirements translate to practice.
Adviser-ready policy outputs
Generate clear, role-aligned guidance that advisers can actually follow. Separate board-level governance summaries from frontline operational procedures. Reduce ambiguity, reduce exceptions.
Client outcome traceability
Connect regulatory requirements to the controls and evidence that demonstrate client outcomes are being delivered. When a regulator asks “show me how you ensure suitability,” the answer is immediate.
Change impact on advisory practice
When conduct or suitability rules change, see exactly which advisory processes, documentation requirements, and monitoring controls are affected. Cascade updates consistently across the firm.
Prove it in 4–8 weeks
Start with conduct, suitability, or AML/CFT. Govix delivers relevance-filtered obligations, defensible mappings, readable policies, and an audit-ready traceability pack.
- ✓ Relevance-filtered obligations
- ✓ Regulation → evidence mapping
- ✓ Gaps & remediation actions
- ✓ Readable policy outputs
- ✓ Audit-ready traceability pack
- ✓ Audit prep time reduced
- ✓ Adviser practice consistency
- ✓ Policy exception reduction
- ✓ Time-to-update after changes
- ✓ Evidence traceability improved
Make compliance work for your clients
See how Govix connects regulation to the way wealth managers actually operate.