Maestro-Solutions for

Client Suitability/Best Interest

CONTACT US

Regulators require firms to prove investments sold to customers are suitable/best interest

“Client Suitability” is a legal and regulatory requirement. In common law jurisdictions, firms have a fiduciary duty to their clients.

Regulators are upgrading their rules to ensure clients are recommended suitable investment products and that firms understand what they are selling.

GRC-Maestro supports your Client Suitability management and reporting with:

  • Maestro-Templates: based on your specific Client Suitability requirements for different client classifications and investment products
  • Schedules: periodically sending Maestro-Forms to designated control staff
  • Incidents: evaluate responses with automatic and manual incident creation, reporting and resolution

GRC-Maestro evidences to your clients and regulators that your business operates an effective Client Suitability management environment.

Regulatory Jurisdictions

Resources

Client Suitability

Regulators require firms to have detailed information on their client’s…