Compliance With the Suitability and Appropriateness of Advice

What you will take away from this brochure.

Regulators are primarily concerned with the protection of retail clients and many firms have been fined following reviews, usually due to weaknesses in systems and controls.

NexJ’s Intelligent Customer Management products enable firms to determine and demonstrate the suitability and appropriateness of products and services sold, in compliance with MiFID II and the FCA, including requirements for initial assessments; trade idea generation, recommendations, and advice; ongoing information and portfolio turnover reviews; and governance and monitoring.