Maestro /

Suitability & Compliance

Every commission item entered into Maestro for payment to a rep can be subject to a 24-point inspection of various compliance and suitability related checks.

Maestro's compliance features allow you the ability to modify the severity of any violation, and has tunable parameters which allows some suitability checks to be tailored to your firm's tolerance levels.

Maestro users can then review flagged items on a per-transaction basis, by generating mismatch reports to instantly locate license issues, possible suitability problems, and suspicious activity.

As part of the normal client setup, there are a number of suitability and financial status fields that can be used to compare against the product sold, including:

  • Client Registration/Status
  • Investment Objective
  • Net Worth
  • Liquid Assets
  • Investment Knowledge
  • Risk Tolerance
  • Time Horizon
  • Annual Income
  • Tax Bracket
  • Investment Experience