Advisory Suitability Framework

Enhance your Investment Advisory Proposition and customer experience by simplifying your investment suitability processes and minimising the efforts placed on the Front Office for investment suitability related disclosures.

Are you asking yourself

  • Is our current investment suitability framework clear and robust?
  • Is our current investment suitability framework too restrictive or prevents clients from participating in tactical offerings?
  • Can a new risk methodology open up new opportunities for our front office?
  • How can trade disclosures be simplified for clients and Front Office Staff?

What you will get from us:

  • Consistent suitability framework
  • Risk framework tailored for business needs
  • Outline on governance structure
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Our Approach

  • Investment Suitability Assessment

    Assess current investment suitability framework, controls, and involved systems

  • Stakeholder Interviews

    Conduct deep dive sessions with Risk and Compliance departments on current processes to understand requirements, constraints and vision

  • Solution Options

    Provide viable options for new risk methodologies in combination with suitability framework

  • Implementation

    Support the implementation of the revised investment suitability framework, including remediation of affected accounts and front office training

  • Governance Structure

    Design of a governance structure for investment suitability

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