Investment Advice Business Guide
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We documented 43 challenges in Investment Advice. Now get the actionable solutions — vendor recommendations, process fixes, and cost-saving strategies that actually work.
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- All 43 documented pains
- Business solutions for each pain
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- Pricing & launch costs
All 43 Documented Cases
Kundenentschädigungen durch unzureichende Beschwerdeabwicklung
€2,000-20,000 per compensation claim or ombudsman award; 20-40 Stunden pro eskaliertem Fall.Inadequate complaint handling results in customer compensation, refunds, or warranty-like claims in investment services. Firms participate in ombudsman schemes where unresolved disputes lead to binding decisions.
Kapazitätsverluste durch manuelle IPS-Updates
€1,500-€3,000/Monat pro Berater (bei €75-€150/h)Manual IPS processes tie up advisor time amid DATEV-monopol friction, reducing capacity for revenue-generating activities.
GoBD-Verstöße bei Quartalsberichterstattung
€5,000+ fine per violation; 20-40 hours per audit preparationQuarterly performance reporting requires GoBD-compliant documentation for tax audits (Betriebsprüfung). Manual processes risk insufficient proof of calculations, triggering penalties.
Manuelle AML-Prüfungsaufwände (20-40 Stunden/Monat)
20-40 Stunden/Monat pro Compliance-Mitarbeiter; €5,000-10,000 Monatskosten[3][4]Obliged entities require effective risk systems, EDD for high-risk cases, SAR reporting to FIU, and 5-year data retention, driving manual workloads in client verification and ongoing monitoring.