Regulatory Gap Assessment and Industry Benchmarking

Since 2008, regulators introduced the enhanced suitability obligations to be followed to ensure products are suitable while providing investment advice to clients in all circumstances. With myriad of regulations to be adhered to, banks require a robust investment suitability framework to ensure front office staff can adhere to new requirements without additional administrative efforts.

Are you asking yourself

  • How do our processes and infrastructure conform with new consultation/regulatory papers and how can the resulting gaps be addressed?
  • What are the industry practices across all investment suitability requirements and how do we compare against industry benchmarks?
  • What approach can we employ to ensure compliance with upcoming regulatory requirements?

What you will get from us:

  • Comprehensive gap analysis report to identify improvement areas
  • Gap analysis heatmap based on level of regulatory compliance and industry benchmarking standard
  • Recommendations report on the actions required to meet the regulatory and industry standards
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Our Approach

  • Current State

    An analysis of existing processes, system designs, disclosures, and the corresponding controls is conducted for each of the Investment Suitability regulatory requirements.

  • Gap Analysis

    A gap assessment against regulatory requirements and industry benchmarks is conducted.

  • Risk Assessment

    In close coordination with key stakeholders the risks associated with the identified gaps are analysed and assessed.

  • Recommendations

    Based on our broad experience, recommendations for each of the gaps identified are provided by our experts.

  • Activation

    Workshops are conducted to align key stakeholders and agree on measures to be taken to define next steps.

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