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.
6 April 2023
Adopter de nouvelles technologies pour fournir des services hybrides et créer une proposition de service hautement différenciée et rentable pour les clients existants et futurs pourrait être la clé pour renforcer votre société de gestion de patrimoine et s'engager avec la prochaine génération d'investisseurs.
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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