Periodic Portfolio and Suitability Review
Periodic portfolio review for CVM 178/23 advisory clients: current allocation vs. risk profile, drift analysis, conflict-of-interest check on recommended products, suitability re-test if 24+ months elapsed, rebalancing proposal, client written consent, and supervisor sign-off. Built for operations teams, structured execution with approval gates and an audit trail.
For: Assessor de Investimentos, Compliance Officer, and Supervisor de Assessoria teams running periodic portfolio and suitability review
What this template includes
Process steps
- 1Pull current portfolio snapshot
- 2Compare allocation against client risk profile
- 3Drift and concentration analysis
- 4Suitability re-test (if 24+ months since last questionnaire)
- 5Conflict-of-interest check on recommended products
- 6Draft rebalancing proposal with rationale
- 7Checkpoint 1, Supervising advisor sign-off
- 8Checkpoint 2, Client written consent on rebalancing
Why teams use this template
Periodic portfolio review for CVM 178/23 advisory clients: current allocation vs. risk profile, drift analysis, conflict-of-interest check on recommended products, suitability re-test if 24+ months elapsed, rebalancing proposal, client written consent, and supervisor sign-off. When this work runs through inboxes and ad-hoc spreadsheets, ownership gets fuzzy and evidence gets lost. Periodic Portfolio and Suitability Review gives you a 8-step process with 2 checkpoints and a built-in SLA so nothing slips between handoffs.
Built for teams led by Assessor de Investimentos, Compliance Officer, and Supervisor de Assessoria: every task has a named owner, every approval routes to a real role, and the run history is the audit trail your auditors actually want.
The checkpoint tasks ("Checkpoint 1, Supervising advisor sign-off" and "Checkpoint 2, Client written consent on rebalancing") cannot be skipped, they're where the run produces evidence the next stage depends on. Overdue runs escalate automatically, and you start with structure instead of building it from scratch every time.
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