Solutions
GapSure for Wealth Management
Suitability, conduct, AML/CFT, and fiduciary duty. Your obligations are complex, personal, and under growing scrutiny. You use GapSure to find compliance gaps in your advisory procedures, draft stronger improvements, and prove defensible coverage with a full audit trail.
The reality today
You sit at the intersection of conduct, suitability, AML/CFT, and data protection. The regulatory surface area is wide, and the consequences of gaps are personal.
MiFID II, Consumer Duty, and local conduct rules create overlapping suitability requirements. Verifying your procedures cover them all is manual and often incomplete.
Consumer Duty, treating customers fairly, and product governance requirements demand traceable evidence that you deliver client outcomes, not promise them in a policy document.
Enhanced due diligence for PEPs, source of wealth verification, and ongoing monitoring add complexity that multiplies with every client relationship. Gaps are hard to spot.
Different advisers interpret the same requirement differently. Without verified procedures, practice diverges and compliance gaps accumulate across the firm.
Compliance evidence is scattered across CRM, portfolio systems, file notes, and e-signatures. There’s no governed trail from regulatory requirements to proof of compliance.
Conduct or suitability rule changes hit your front line directly: how advisers work, what they document, and where new gaps appear in your procedures.
How GapSure changes this
You run your advisory procedures through GapSure against verified regulatory knowledge. The analysis identifies compliance gaps and generates AI-drafted improvements for your team to review. Stronger procedures, returned with a full audit trail.
Conduct and suitability gap analysis
You check your Consumer Duty, MiFID II suitability, and local conduct procedures against verified regulatory knowledge. Coverage scores from Comprehensive to None, so you see where your advisory processes need strengthening.
Stronger adviser-ready procedures
Your compliance team reviews and approves AI-drafted improvements. The result is stronger procedures advisers can follow: clear, role-aligned, and defensible.
Defensible client outcome coverage
A regulator asks “show me how you ensure suitability.” You pull up a full audit trail connecting regulatory requirements to your stronger procedures and every approval decision. The answer is defensible and immediate.
Close new gaps as rules change
Conduct or suitability rules change. You run your procedures through GapSure again, review the new gaps, and approve drafted improvements. Gaps closed, procedures strengthened, full audit trail maintained.
Prove it in 4–8 weeks
Start with conduct, suitability, or AML/CFT. You upload your procedures, review the gaps and drafted improvements, and get back defensible compliance coverage with a full audit trail.
- ✓ Gap analysis against verified knowledge
- ✓ Coverage scored: Comprehensive to None
- ✓ AI-drafted procedure improvements
- ✓ Stronger procedures, reviewed & approved
- ✓ Full audit trail
- ✓ Compliance gaps closed
- ✓ Adviser practice consistency
- ✓ Procedure quality strengthened
- ✓ Defensible coverage established
- ✓ Full audit trail in place
Find gaps. Close them. Prove it.
See how GapSure delivers defensible compliance coverage for wealth managers.