F
Finantrix
WealthSynth/Reg BI Suitability Audit Pack
Tier 1Best Seller

Reg BI Suitability Audit Pack

143 households purpose-built for Regulation Best Interest compliance testing.

Overview

Regulation Best Interest requires broker-dealers to act in the best interest of retail customers when making recommendations. Testing your suitability engine against real client data creates privacy and regulatory exposure. This pack provides 143 synthetic households across all risk tolerance profiles, investment objectives, and time horizons — each with documented recommendation rationale, conflict-of-interest flags, and disclosure artifacts. Every household is annotated with the specific Reg BI obligation it is designed to stress-test. Includes senior investor scenarios, concentrated position cases, and POA arrangements.

What's Inside

143 synthetic households across 6 risk tolerance profiles (Conservative to Aggressive)
Documented investment objectives, time horizons, and financial situations per household
Recommendation rationale artifacts with conflict-of-interest annotations
Senior investor scenarios with cognitive decline indicators and POA arrangements
Concentrated position cases requiring disclosure and suitability documentation
JSON format with full schema documentation and field-level annotations

Use Cases

Suitability engine QA and regression testing
Compliance officer training simulations
RegTech vendor demonstrations and POCs
Regulatory exam preparation

Ideal Buyers

Broker-dealersRIAsCompliance technology vendorsRegTech firms

Example firms: LPL Financial, Raymond James, Stifel, Orion Compliance, ComplySci

Tags
ComplianceReg BISuitabilityBroker-DealerRegTech
$5,000
One-time license
143 synthetic households
Annual refresh: $1,500/yr
Tier 1 package
Low deviation from base corpus
Included in Download
JSON
Executive Brief PDF
25 free sample households included
Talk to Sales

Enterprise licensing and custom corpus options available. Contact us for volume pricing.

Low Deviation from Base Corpus

Requires light re-tagging and documentation. Available within 1–2 weeks of order.

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