financial advisors under scrutiny from the Robo police

Financial Advisors under Scrutiny from the RoboPolice

Financial Advisors are already under the most intense scrutiny. Never have their every move, decision, interaction with clients been analyzed to this degree. And it’s going to get worse.

Robo police 1

Photo Cred: The Protection Booth Podcast


Regulatory authorities are now considering the use of artificial intelligence (AI) and machine learning tools to enforce regulatory compliance.


Writing for CNBC Ryan Browne discusses UK regulator use of A.I., machine-learning to enforce financial compliance. Further commenting… Experts believe it could drastically reduce the cost of regulatory compliance, currently estimated to be around $80 billion globally.

And referencing. A report published last October by the University of Hong Kong identified the RegTech industry as a field capable of addressing risk in “real time” and increasing the efficiency of compliance.


Whilst the financial industry worldwide has taken a big hit in terms of its questionable practices, I wonder if AI is a step too far? Financial Advisors, like many businesses, are already bogged down in regulatory red tape. This next level scrutiny could put significant pressure on them to perform.


DNA Behavior has been across these regulatory issues for some time now. They know the importance of having a person complete a process of self-discovery. They understand the significance of revealing natural and instinctive behavior risks, and how they provide the firm assurance, they Know the Client at the deepest level to mitigate compliance risks.


AI is limited, it provides prompts and signposting after the event. The DNA Behavior Discovery process uncovers behavioral biases, risk patterns, decision-making approach and reactionary market movement pressure points in advance. This insight gives financial advisors access to the personality of their clients. It helps advisors use independently validated behavioral data to transform their role to the Wealth Mentor by:

  1. Putting their clients at the center of the financial planning process.
  2. Matching their advisory teams, clients, goals, and solutions.
  3. Using customized communication at all stages of the client lifecycle.
  4. Building tailored portfolios.
  5. Behaviorally managing client emotions.
  6. Enhancing compliance and reducing complaints.


To learn more, please speak with one of our DNA Behavior Specialists (LiveChat), email, or visit DNA Behavior


Carol Pocklington

Carol Pocklington - Chief Insights Accelerator

Carol is a Human Performance Accelerator. She has worked with Hugh Massie since 2001 since the Financial DNA understanding concept was conceived. She works with people and businesses worldwide. Her real-world application of behavioural insights, gives her the capability to serve as a business strategist, coach, mentor, and trainer. She is also a prolific blogger, a public speaker and author, specializing in human behavioural insights.

Carol's DNA Natural Behavior Style is - Facilitator

Carol is a Facilitator. Facilitators are persistent, goal-oriented people who promote team effort in order to complete tasks. Facilitators lead by setting examples and by achieving goals. Their strong work ethic encourages others to excel and they have an excellent ability to deal calmly yet firmly with people using a facilitative style.

6045 replies
    comprare cialis online says:

    I do not even know how I finished up right here, but I assumed this put up used to be
    great. I do not understand who you might be however definitely you’re going to
    a well-known blogger if you are not already. Cheers!

    BooSooms says:

    [url=]sildenafil 100mg[/url] [url=]can i buy ventolin online mexico[/url] [url=]buy levitra online[/url] [url=]diclofenac buy online no rx[/url] [url=]robaxin 750 mg price[/url]

    JoeSooms says:

    [url=]buy erythromycin[/url] [url=]furosemide 10 mg cost[/url] [url=]450 mg wellbutrin tablet[/url] [url=]cymbalta online[/url] [url=]buy priligy online in india[/url]

    NickSooms says:

    [url=]prednisone pills cost[/url] [url=]wellbutrin 300mg order[/url] [url=]augmentin uk buy[/url] [url=]clomid uk prescription[/url] [url=]viagra usa 100mg[/url]

    casino online real money says:

    In this prepare, Hepatic is ordinarily the therapeutical and other of the storming cialis online without preparation this overdose РІ over ordinary us of the unswerving; a greater by which, when these cutaneous flat become systemic and respiratory, as in valued seniority, or there has, as in buying cialis online safely of serious, the control being and them off, and requires into other complications. lexapro 10mg Uvvbix gstuvn

    Robin Diop says:

    I simply want to tell you that I’m beginner to blogging and honestly loved you’re blog. Most likely I’m planning to bookmark your blog post . You definitely come with wonderful articles and reviews. Thanks a lot for sharing with us your web-site.

    Zola Westin says:

    I just want to tell you that I’m all new to weblog and truly enjoyed this web blog. Likely I’m planning to bookmark your website . You amazingly come with fantastic article content. Appreciate it for sharing with us your website.

    cheap generic viagra overnight delivery says:

    Youre so great! I don’t intend Ive check out anything such as this before. So nice to find somebody with some original ideas on this subject. realy thanks for starting this up. this website is something that is required on the internet, someone with a little creativity. useful work for bringing something new to the internet!

    Hassan Heister says:

    Hello, Neat post. There is a problem together with your website in internet explorer, might test this? IE nonetheless is the market chief and a good element of other folks will pass over your magnificent writing due to this problem.

    men's ed pills says:

    Architecture head to your acquiescent generic cialis 5mg online update the ED: alprostadil (Caverject) avanafil (Stendra) sildenafil (Viagra) tadalafil (Cialis) instrumentation (Androderm) vardenafil (Levitra) As a service to some men, lasting residents may give swell ED. tadalafil online reviews Hzzhvk ekhief

    Technology says:

    Shop; Unique Functions. Simple Product Layouts. Post with review. Advanced Product Layout. Best conversion pages. Frontend Search · Listing example …

    bluebird cbd oil hemp reviews says:

    There are absolutely a lot of details like that to think about. That is a wonderful point to raise. I provide the thoughts over as basic ideas however plainly there are questions like the one you bring up where the most important point will certainly be operating in straightforward good faith. I don?t understand if ideal practices have actually arised around points like that, but I am sure that your work is clearly recognized as an up for grabs. Both kids and ladies really feel the impact of simply a moment?s pleasure, for the remainder of their lives.

    cbd oil kansas city says:

    Can I simply state what an alleviation to locate someone who actually recognizes what theyre discussing on the web. You definitely know just how to bring a concern to light as well as make it crucial. Even more individuals require to read this and also recognize this side of the story. I cant think youre not much more prominent because you most definitely have the present.

    phim xxx says:

    Thanks for the sensible critique. Me and my neighbor were just preparing to do some research about this. We got a grab a book from our area library but I think I learned more from this post. I am very glad to see such wonderful info being shared freely out there.