New products help financial services industry participants serve client needs and enhance revenues, but also attract regulatory scrutiny. Regulators are increasingly reviewing the new product activities under internal control requirements, and the risk of not documenting part or all of the new product process can have a severe impact on a firm.
For you, we can:
- provide new product questionnaires and programs
- conduct a new product process
- review your new product materials to help ensure compliance with local regulatory requirements