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Finance without boundaries
Automated workflows manage Suitability reviews across the client book and track progress every step of the way, via the dashboard.
While suitability issues and regulations are not new, getting to grips with the requirements the subject remains poses considerable a challenges for many financial institutions.
Using JHC’s automated workflows, JHC’s technology can help firms to can manage their suitability reviews across the client book with minimal effort using automated workflows, with and track progress tracked every step in the process of the way via the a dashboard.
By combining effective workflows with sophisticated portfolio management tools, JHC’s solutions technology enables managers to meet their suitability obligations without any substantial increase in workload or administration.
All relevant data is extracted automatically and in a form that can be analysed quickly and easily.
As well as alleviating easing the compliance burden, Figaro provides additional business insights, improves operational efficiency and reduces the risks to the firm. The platform technology supports the proposed regulatory changes for suitability as part of MIFID II and will continue to evolve as new or amended regulations emerge.
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Automating the suitability task enables managers to:
- Review each client’s circumstances at a defined frequency, capturing and processing any necessary changes
- Actively monitor portfolios and take appropriate investment actions to retain alignment to mandate and/or model
- Ensure investments adhere to client and institutional restrictions
- Create a full audit trail by tracking investments made (discretionary and client-commissioned) and capturing investment rationale
- Gain insight of suitability status across organisation, branch and individual levels
- View activities in motion, who’s responsible and identify issues that require immediate attention
- Escalate issues automatically to management and/or compliance if remedial action has not been completed by the allocated deadline