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Investment Suitability

Investment Suitability

Since the outbreak of the financial crisis, the implementation of pre-trade investment suitability measures has become an important task for banks trading in European financial markets. In the suitability test, the financial services provider checks before each transaction whether the product meets the investment objectives, risk requirements and knowledge and experience of the client. For this purpose, the data provided by the customer in a risk questionnaire are compared with the product characteristics and assessed. For globally active firms, it is essential to have a global suitability framework, taking into account individual local conditions.

Client benefit

  • Implementation of local suitability requirements
  • Simplification of the Suitability Review Process

finalix contribution

  • Coordination of the suitability tool introduction for a Swiss private bank
  • Project management and business analysis during implementation of local suitability requirements
  • Process analysis and concept creation to simplify the suitability review process

Our experts

Ronnie_Mattli_02
Managing Partner
Pascal Brachetto 1
Senior Manager