Compliance Support

Retail intermediaries using our system can gain valuable compliance support from Conexim by utilising our Risk Based Asset Allocation Framework, which provides a robust methodology for marrying a client’s objectives to risk weighted investment strategies.

For authorised advisors who provide broad based financial advice, this asset allocation framework allows the advisor access to a number of broad asset allocation strategies, without them having to commit to individual stock or fund picking.

Conexim believes in the authorised advisor participating in the ongoing relationship with the client, and in assisting Conexim and the Client in establishing an appropriate Know Your Client assessment of Suitability and Appropriateness. After all, the authorised advisor has likely worked with the client for a number of years, and the Client and Advisor collectively can impart a lot of information in terms of investment objectives to assist in portfolio construction.

Conexim does not look to take over this relationship with the client fully, rather, it looks to add value to the authorised advisor by assisting in construction and monitoring of investments and ensuring they stay current with the assessment of suitability for the underlying client.

We believe this participative approach by including the intermediary gives the best possible result to the Client, as well as ensuring both Conexim and the authorised advisor are working off a comprehensive and current assessment of suitability for the Client, thus ensuring compliance with applicable Regulations.