Project Context

This year a number of financial services firms have had to comply with a new “401(k)-to-IRA Rollover Advice” fiduciary rule. This rule mandates that wealth managers and broker-dealers must demonstrate “investor’s best interest” intent when presenting investment opportunities to their clients.

Many financial services firms with legacy and 3rd party SaaS application landscape face a common challenge of data lineage and data consistency throughout the client onboarding user journey. Throughout this journey, the client’s investment profile is used to put together a proposed investment portfolio and open an investment account. Client On-boarding Business Process


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