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Consumer Duty: your due diligence toolkit
An easy-to-access toolkit designed to support you in meeting your regulatory obligations.
Ensuring client outcomes
At the heart of Consumer Duty is the obligation to deliver, and evidence, good outcomes for clients. In order to do this, advice firms need to undertake robust research and due diligence to assess the nature of the investments they recommend, their risks and benefits and to understand whether the product provider is appropriate for their client’s needs.
To assist you in meeting your regulatory requirements, we have created this easy-to-access due diligence toolkit containing target market guides, value assessments, third-party reports and more.
Please note that while the toolkit includes target market information and value assessment reports for our discretionary investment services, you can find this information for our fund ranges on the Authorised Corporate Director’s website.
Your toolkit
Share your feedback
In the same way Consumer Duty requires manufacturers to provide information to distributors (advisers) about their products, under the regulations, distributor firms are required to share information to assist manufacturers in their product review processes. We may request feedback on various matters from you as distributors of our products. These could include instances where recommendations fall outside the target market, distribution-related issues, complaints, or feedback related to customer vulnerability.
As a result, there are circumstances in which you, as a distributor, will need to notify us of these issues on an ad hoc basis when you become aware of them (and outside of any formal feedback request). In these cases, please direct any such notifications to our dedicated mailbox: [email protected]. Our process for receiving and handling complaints is outlined here.
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Call us on 020 7499 6424 or email us at [email protected]