A compliance automation for a investments and wealth business tackles one specific leak: ongoing fee arrangements, fee disclosure statements, consent renewals and best-interests evidence all run to deadlines, and keeping current status for every ongoing client is a spreadsheet and endless chasing. The day an FDS window or a consent renewal lapses unnoticed is the day you carry a real breach, and you usually find out at the worst possible time, in an audit or a review. Bamco builds it around the tools you already run, so it fits your operation rather than forcing you to change how you work.
Information current as at 4 July 2026
Ongoing fee arrangements, fee disclosure statements, consent renewals and best-interests evidence all run to deadlines, and keeping current status for every ongoing client is a spreadsheet and endless chasing. The day an FDS window or a consent renewal lapses unnoticed is the day you carry a real breach, and you usually find out at the worst possible time, in an audit or a review.
This is not a generic problem with a generic tool bolted on. It is a specific leak in a investments and wealth business, and the system is built to close it. You can see the full picture of where a investments and wealth business leaks margin on the investments and wealth industry page.
A compliance platform that watches every client's fee-disclosure and consent obligations against their deadlines and your rules, and flags what is due before it lapses. It tracks FDS windows, ongoing fee consents and best-interests evidence, prompts the client and adviser automatically when a renewal is due, and alerts your compliance manager with the full context. It works alongside what you run in Iress Xplan and Midwinter, so obligations are monitored continuously rather than audited in a panic.
Bring us the idea you already have, or book an audit and we map where the money is leaking. Either way, you deal directly with the senior team that designs and builds it.
Week one. From week one you can see, at a glance, which clients are current on fee disclosure and consent and which are not, across the whole book, instead of trusting a spreadsheet someone updates when they remember.
Month three. By month three the automated prompting has closed most of the gaps that used to sit open, lapsed disclosures and consents are the exception rather than the norm, and a compliance audit becomes a report you run rather than a week of frantic collection.
Engagements typically start around $50k and are scoped after a systems audit, priced as a fraction of what a legacy build of the same capability would have quoted. You get a fixed-scope proposal with a real number before anything is built, and you own what we build. The point is not the price. It is that a well-built compliance automation for a investments and wealth business is meant to pay for itself in multiples, by plugging a leak that is costing you every week it stays open.
Whether you can name exactly what you want built, or you just know something is leaking, the next step is the same conversation.