Investment Suitability Framework

Investment Suitability is a key component of your advisory process. To develop a resilient framework tailored to your strategic goals a holistic approach must be chosen. Synpulse’s industry insights and best practices ensure the alignment of all key components of your investment suitability framework, such as client profiling, product profiling, suitability assessment, controls, disclosures and reviews.

Are you asking yourself

What are the industry’s best practices regarding investment suitability frameworks?
What approach to new investment suitability requirements offer us the best value?
How can we ensure compliance with new investment suitability regulation?
How can we effectively and efficiently implement new investment suitability requirement?
How can we enhance our existing controls to ensure compliance across all investment suitability requirements?

What you will get from us:

Identify the key pitfalls in the IS framework
Recommend the areas of improvements and next steps required to close the identified gaps
Develop an enhanced IS framework to help improve the advisory
Develop an enhanced control framework to monitor the exceptions effectively

Our Approach

Enquiry

Documentation and information on existing investment suitability framework and processes is gathered to create an overview of current status.
Pain Points

In-depth interviews with Compliance, SME and risk managers are conducted to gain deeper insights into existing processes and pain points.
Assessment

The key components of framework (Client Profiling, Product Profiling, Suitability Assessment, Controls, Disclosures and Review) are assessed by Synpulse industry experts.
Recommendations

Synpulse provides recommendations for the identified potential pitfalls and gaps across all IS framework components.
Implementation

Synpulse project management ensures the seamless implementation of recommendations across all key areas based on client priorities.