Amid a diverse and complex world of investing strategies, your firm must ensure that investment recommendations are consistent with a client's financial objectives and suitability profile. Any sales activity issues must be identified and recorded per regulatory requirements. The large volume of activity that must be tracked on a daily basis only adds to the challenge for your firm.
Our solution covers a broad range of sales practices issues and enables your firm meet current and future regulatory requirements while ensuring that you are appropriately meeting suitability obligations. Our automated oversight and supervision tool:
Establishing a consistent, strategic approach to the challenges of suitability and increased regulatory scrutiny is the best way to ensure that you avoid fines and regulatory enforcement as well as satisfy clients.