Automate Customer Suitability Monitoring

Save time and money by automating customer suitability policies and procedures against customer and trading data.

The financial crisis demonstrated the challenges many firms have monitoring the appropriateness of financial products for customers. Most firms still monitor the suitability of their investment products manually, which introduces significant risk for firms.

Automation with MyComplianceOffice allows firms to easily analyze suitability daily and on every transaction and offers easy monitoring.

The benefits of MCO's Suitability module includes a quick and painless implementation, a wide variety of rule capabilities, easy integration with existing data, reduction of risks, significant savings for the firm, and ease of mind on policy monitoring and security. All of these benefits are provided at a very competitive pricing structure.

  • Easily integrates with your firm’s suitability data sources such as clients, accounts, trades and holding.
  • Provides a wide variety of suitability rules which can be customized to your firms needs.
  • Alert-driven – does not require review of reports.
  • Easy to use tools and workflow enable quick and efficient resolution of alerts.
  • Full integration with case management; Compliance team can escalate alerts when appropriate.
  • Incorporates "household" aggregation of clients.
  • Extensive global security master.
  • Web based

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