Are you ready for Regulation Best Interest?
Comply with Reg BI throughout the entire sales process
Gather Information and Consider Suitability Pre-saleBuild accurate customer profiles and recommend the most appropriate account types
Propose and Compare Options at Point of SaleEvaluate product recommendations and provide a side-by-side comparison of alternatives
Monitor Transactions Post-saleAssess all transactions over time with quantitative suitability analysis to ensure they remain in the customer’s best interest