Regulatory Compliance

Client Suitability & Appropriateness

Posted by Chris Bourne on 04/10/2018 | Featured

Whether a financial institution is offering investment advice, portfolio management or providing non-advice services such as execution-only services, the relevant suitability and/or appropriateness checks must always be carried out. NorthRow has partnered with muinmos to automate client suitability and appropriateness checks. … Read More

Tags: AML, Automating Compliance Checks, Client Appropriateness, Client Onboarding, Client Suitability and Appropriateness Checks, IDV, KYC, MiFIDII, muinmos, RegTech, Regulatory Compliance, Remote Customer Onboarding, Single API