Investor Protection

For an investment advisory service to be compliant with applicable regulation, it must collect information about the client, such as his/her risk appetite, time horizon, knowledge and experience (Know Your Customer), and about the riskiness, holding period, complexity and other characteristics of the products being sold (Know Your Product). These two sets of information must then be brought together in a  Suitability Model, which is a control framework which ensures that a client's portfolio and every proposal arealigned with his/her profile.