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Investor Protection

Investment Suitability

Financial service providers must conduct pre-trade investment suitability checks to determine whether a product is in line with investment objectives, risk requirements, as well as with the knowledge and experience of a client. Data provided by clients must be assessed against product/portfolio characteristics. To ensure a consistent client experience and to allow for efficiency, it is essential to follow a structured approach with a global suitability framework tailored for local conditions.

Client benefits

  • Become and/or stay compliant: Make sure your policies and systems meet global and local regulatory requirements to avoid penalties.
  • Innovate and automate: Forget about manual processes, let us support you in getting your systems to work for you.
  • Leverage existing data: Stop capturing the same attributes on multiple occasions for various purposes. We guide you through the maze of data redundancies and assist you in mapping out your data in a consistent and well-structured manner.
  • Improved efficiency & free up client time: Automated tasks and digital workflows enable quicker response, help reduce operational risks & costs, and free up client time.

finalix contribution

  • Assessment and implementation of regulatory requirements working closely with Legal and Compliance, minimising regulatory risk exposure.
  • Driving process design and structuring across the suitability processes including investment governance model and framework design.
  • Assessment of your system environment, identification of weaknesses, and improvement opportunities (gap analysis, proof of concept design, etc.)
  • Tailor-made suitability checks & questionnaires.
  • Turn-key project management from analysis, to implementation, roll-out, communication and training.
  • Vendor evaluation and selection.

Our experts

Christian Ullrich 1
Senior Manager
Pascal Brachetto 1
Senior Manager

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