Case Study: UBS Group achieves secure investment suitability and rapid regulatory compliance with ACTICO Rules by ACTICO

UBS Hong Kong Relies on ACTICO Rules to Secure Investment Suitability

UBS Group faced urgent regulatory pressure from the Hong Kong Monetary Authority to strengthen investor protection and implement city-wide suitability controls within an extremely tight six-month window. To meet these requirements and support agile, business-driven rule changes, UBS Group selected ACTICO and its Business Rules Management System, ACTICO Rules, to design and deploy an integrated transaction control and suitability solution.

ACTICO implemented a web‑service based Suitability Engine that performs pre‑execution checks (product information, trading knowledge, risk alignment, vulnerability by age, plus country- and product-specific rules) and returns alerts to UBS order management systems. The project delivered ~350 rule artifacts, supports up to 100,000 transaction checks per minute, was completed and went live on schedule (May 2011), and included on-site Professional Services and training so UBS can now maintain and extend the rules—ACTICO’s solution also includes built‑in security to prevent unauthorized calls.

UBS Group

David Leong

Director, IT Program Manager