The SFC Client Suitability rules add a lot of detail to the Code of Conduct (CoC) but they apply to all non-Professional Investors.
Our Client Suitability solution enables clients to ensure they can evidence compliance with the regulatory requirements:
- Client Investment Profile: Assess and periodically update the investment requirements and expectations of each client
- Product Due Diligence: Ensure all products offered to clients are understood and periodically reviewed
- Recommendations: Show that each investment recommendation was suitable
GRC-Maestro keeps the records you need to show: the who, what, when and why regarding Client Suitability.
For more information on the GRC-Maestro Platform click here.