Maestro-Solutions for

Product Due Diligence

CONTACT US

Financial products your firm produces or sells have to be diligently designed and managed

Regulators are increasingly focusing on the financial products and services sold to retail investors. There is a drive to ensure products and services sold to clients are properly assessed and meet the requirements of clients before they are offered by a distributor.

The regulatory focus on financial products/services comes in the light of the financial crisis when some products either didn’t perform as intended or where distributors didn’t understand the product they were offering to their clients.

GRC-Maestro supports Producer Product Due Diligence with:

  1. Maestro-Templates: based on regulatory requirements for controlling products distributed
  2. Schedules: periodically sending Maestro-Forms to designated oversight staff as part of the ongoing product monitoring
  3. Incidents: evaluate issues emerging from distributing products and ensure they are investigated and resolved

GRC-Maestro evidences to regulators that your business has a thorough control over financial products and services distributed.

Regulators are increasingly focusing on the financial products and services sold to retail investors. There is a drive to ensure products are designed to benefit clients and not primarily to enrich the product/service producer.

The regulatory focus on financial products/services comes in the light of the financial crisis when some products either didn’t perform as intended or were designed to profit the product producer at the expense of clients.

GRC-Maestro supports Producer Product Due Diligence with:

  1. Maestro-Templates: based on regulatory requirements for controlling products produced
  2. Schedules: periodically sending Maestro-Forms to designated oversight staff as part of the ongoing product monitoring
  3. Incidents: evaluate issues emerging from producing products and ensure they are investigated and resolved

GRC-Maestro evidences to regulators that your business has a thorough control over financial products and services produced.

Resources

Regulatory Jurisdictions

Product Due Diligence: Distributor

Regulators require firms to closely control the financial products and services…

Product Due Diligence: Producer

Regulators require firms to closely control the financial products and services …