Read how evidencing client suitability is an important regulatory requirement and how technology plays a critical role
Investment managers must demonstrate to the regulators the process of exercising their duty of care towards clients.
The Financial Conduct Authority (FCA) have a clear set of guidelines that require investment managers to demonstrate the exercise of their duty of care towards clients.
Director of Product
All investment management firms recognise that protecting their client’s interests is the major requirement in any private client investment management service offering.
It goes without saying. However, in the eyes of the FCA it is not acceptable to simply give assurances that client interests are properly managed. All private client investment managers must be able to demonstrate that they have; Taken reasonable steps to ensure that any personal recommendation is suitable for its client.
24 January 2023
Embracing new technologies to deliver hybrid servicing and create a highly differentiated, cost-effective service proposition for existing and future clients could be the key to fortifying your Wealth Management firm and engaging with the next generation of investors.
3 min. read
10 January 2023
At Wealth Dynamix, we’re busting the myths surrounding modern-day Client Lifecycle Management to help guide the way.
1 min. read
10 October 2022
As we celebrate 10 years supporting wealth and asset management firms, we lay out how you can win with Wealth Dynamix starting with these 10 reasons.
3 min. read
At Wealth Dynamix, we believe a hybrid client servicing model offers the optimal solution – it is efficient, effective, and can support compliance.