Regulators now expect financial institutions to implement preventative pre-trade controls. This increases challenges for cross-functional teams in quickly assessing client readiness. Droit’s Client Readiness provides clarity on compliance obligations and instant feedback on status to ensure salespeople are only trading with “good-to-trade” clients.
Operationalizes industry, company, and client-specific checks and controls to provide consistent, centralized compliance at scale.
Continuously updates with newly versioned logic to match policies as they evolve and leverages current reference data and taxonomy.
Provides a central point for cross-functional teams to access and apply accurate client readiness policies.
Enables full transparency of the opportunity to transact or trade status, with information instantly available on demand for clear yes or no decisions, at all levels.
Empowers your salespeople by giving them the confidence and reassurance to progress and personalize client engagement based on accurate, up-to-date, and relevant poicies.
Built on Droit’s patented Adept platform, automates the decision-making process with full traceability to consistent, centralized buisness rules that cover both the buy-side and
sell-side.