Client Protection Assessment

The evaluation presents a diagnosis of the way in which the institution incorporates the Protection Client Principles into its practices, provides a comprehensive and independent vision of the client protection practices of a financial institution.

Why should your institution do a Client Protection Assessment?

An assessment can benefit your institution by evaluating how well you are meeting standards of client protection, by setting a starting point for strengthening your practices, by minimizing your risks and improving your profits, and by preparing you for Certification, in this sense your institution may:

  • In order to assess your practices-know just how well you are protecting your clients
  • To set a starting point for improvement— efficiently address weaknesses and minimize risk
  • To prepare for Certification—get ready to become Smart Certified
  • The business case for an assessment—to turn client protection into commercial success and minimize risk.

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