Compliance with the Suitability and Appropriateness of Advice

Regulators are primarily concerned with the protection of retail clients and many firms have been fined following reviews, usually due to weaknesses in systems and controls.

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What you will take away from this brochure.

NexJ’s Intelligent Customer Management products enable firms to determine and demonstrate the suitability and appropriateness of products and services sold, in compliance with MiFID II and the FCA, including requirements for initial assessments; trade idea generation, recommendations, and advice; ongoing information and portfolio turnover reviews; and governance and monitoring.

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Key Companies who are Driving their Businesses
Forward via our CRM Products

Wells Fargo
Royal Bank of Canada
Credit Suisse
UBS
American Family Insurance
ANZ
Emirates NBD
HSBC
London Life Insurance

NexJ Resource Center

Explore related resources that provide greater insight in to the advantages of our CRM solutions.

NexJ Nudge™️

Developed to provide data-driven recommendations to help increase customers’ assets under management, NexJ Nudge™️ functionality can help deliver the best service and improve client outcomes – in real time.

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NexJ Data Bridge

The Data Bridge offers powerful data processing capabilities that support the creation of specific data views for individual data warehouses, reporting systems, and back-office compliance and archiving solutions.

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Process Management Services

NexJ’s Process Management Services are powered by SmartForms and Workflows, which enable effective and efficient Business Process Automation.

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Business is about relationships!

Book a demo today and learn why we are a global leader in the CRM space or contact us will be happy to answer any questions or concerns you may have.