Gap-check an investment firm's advice and portfolio management practices against fiduciary duty and best interest requirements under FCA Consumer Duty (PS22/9), SEC Regulation Best Interest, DOL Fiduciary Rule (2024), and MiFID III. Outputs a compliance gap score and remediation checklist.
Scope & Disclaimer — Self-assessment tool for indicative gap analysis only. Does not constitute legal or regulatory advice. Regulatory obligations depend on firm-specific authorisations, client types, and product scope. Consult legal counsel and your compliance function for a definitive assessment. Regulatory citations are to 2024/2025 versions of each framework.