New consumer protection regulations for finance require regulated firms selling investment products to cross-reference a clients profile at the point of sale for suitability and appropriateness. So called “advisory notes” and other documentation needs to be produced to comply with regulatory requirements, imposing further work on relationship managers and compliance staff.

How we can help

We can help in capturing the suitability & appropriateness of a client during onboarding. This can be used later on as a source for cross-referencing to products and recommendations. The software can also ensure appropriate warnings when a mismatch is found.

Our customers have several ways of ensuring compliance at the point of sale - from automated pre-filtering of products sold through API integration, ensuring compliance by design, to semi-automated advisory note generation by relationship managers.

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