Suitability: From Regulatory Challenges to the Latest Trends

Suitability is a mandatory regulatory matter, requiring financial professionals dealing with investors to ensure that they are offering the most suitable product for an investor’s profile. Most would therefore argue that there is little here to worry about for those in the post-trade space. However, with the world in a state of increasing geopolitical uncertainty, the use of sanctions and exclusions is unlikely to abate anytime soon. In addition, the emergence of digital assets is causing similar surprises for the unprepared. Whereas new risk management and taxation approaches can quickly turn instruments into “toxic* assets. This session will explore why the assumption that this does not affect all of us is wrong and will analyse use cases and approaches that financial institutions can take to address these challenges.