Client Readiness

Evaluate whether or not clients are ready to transact in real-time.

Overview

Client Readiness from Droit enables financial institutions to understand their commercial possibilities and validate readiness to engage and trade. It quickly provides reassurance and evidence that company-specific compliance and regulatory criteria has been properly applied across clients and services.

 

Why the need for Droit’s Client Readiness

Regulators are increasing expectations and demands on financial institutions, one of which is that preventative and detective controls should be in place much earlier in the client trade lifecycle – ideally, prior to the product discussion and product offer stage.

 

This of course adds to the cross-functional team and system challenges associated with determining, with clear evidence, client readiness. This includes clarity on compliance obligations and instant feedback on status to help navigate the right clients to the right products.

client_readiness

Why the need for Droit’s Client Readiness

Regulators are increasing expectations and demands on financial institutions, one of which is that preventative measures and detective controls should be in place much earlier in the client trade lifecycle. This of course adds to the process and system challenges associated with determining client readiness, including clarity on compliance obligations and instant feedback on status to help navigate the right clients to the right products.

Key Features and Capabilities

droit - automating intelligent decision-making

Operationalizes industry, company, and client-specific checks and controls to provide consistent, centralized compliance at scale.

droit - automating intelligent decision-making

Continuously updates with newly versioned logic to match policies as they evolve and leverages current reference data and taxonomy.

droit - automating intelligent decision-making

Provides a central point for cross-functional teams to access and apply accurate client readiness policies.

droit - automating intelligent decision-making

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.

droit - automating intelligent decision-making

Empowers your salespeople by giving them the confidence and reassurance to progress and personalize client engagement based on accurate, up-to-date, and relevant policies.

droit - automating intelligent decision-making

Built on Droit’s patented Adept platform, automates the decision-making process with full traceability to consistent, centralized business rules that cover both the buy-side and sell-side.

News & Insights

A Closer Look at Trading Controls

It’s becoming quite obvious that regulators have increased expectations on trading controls, and with a number of high profile regulatory…

TradingTech Insights USA 2022 - Best Pre-Trade Risk Controls Provider

Droit Founder and CEO Brock Arnason spoke with Sarah Underwood, Editor at A-Team Group, to discuss how Droit’s Adept platform…

Regulation Asia - Operationalising Compliance for Wealth - Taking the Next Right Action

Regulation Asia’s Co-founder Nick Wakefield sits down with Droit’s CEO Brock Arnason and Chief Commercial Officer Craig Butterworth to discuss…