FOR FINANCIAL ADVISERS ONLY

FOR FINANCIAL ADVISERS ONLY

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Fact find

Having a robust and repeatable advice process underpinning any client recommendations is key to success and is a crucial requirement in the increasingly regulated investment markets.

It is important to understand the various elements making up an investment process, the investment needs, attitudes and objectives of your clients as well as the different investment requirements and levels of disclosure imposed by regulators around the world.

What is clear is that, wherever you are in the world, there is a continuous drive to improve transparency and ensure customers are provided with an appropriate level of information to allow them to understand their investments and achieve a favourable and agreed outcome.

To start assessing your customers’ investment needs and objectives, you should start with a robust and detailed fact find.

Financial Adviser Verification

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