Supervision C​onduct

Suitability is non-neg​otiable​

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.  ​

Complete package for sales​​​​ practices & suitability compliance

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:

  • Allows your firm to maintain a consolidated audit trail and consistent compliance, lowering regulatory risk while improving productivity
  • Offers you an intuitive, yet comprehensive interface
  • Gives you the ability to connect the dots between issues across your organization
  • ​Is updated routinely to adjust for industry trends, regulatory mandates, and user needs

A good offense is the be​st defense

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.

FMC Conduct Brochure Sales Practices