compliance-risk-advice
Compilance-Risk-Advice-SP

Suitability Rules Based & Risk Engine

Could your firm stand up to MiFID II requirements? Assess and clearly document customer’s risk profile and investment rationale using a real time engine which provides actionable insight and historical information management.

Business Capabilities

SUITABILITY & RISK EVALUATION

SUITABILITY RULES ENGINE
Real-time checks comparing customers’ profile according to experience, knowledge of financial products, liquidity, time horizon, financial position

RISK ENGINE
Assess and clearly document the customers’ risk profile and rationale for their recommendation

Features

Real-time execution of suitability checks and periodic monitoring

Risk-portfolio monitoring and what-if risk simulation

Compliance to regulation requirements

Multilevel checks (portfolio, sub-portfolio and goals)

Rules fine-tuning, extension and changing over time

Auditable at client/recommendation/single check level

Easy to integrate within existing IT legacy

Key Benefits

Unlock a scalable and suitable advisory process

Go from qualitative to quantitative approach

Focus on the core business automating compliance checks

Strongly reduce reputational risk and legal claims

Enable risk based budgeting

External audit readiness

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