Retail Suitability Assessments
Mitigating investment managers' suitability risk,
while allowing them to maintain the client assets
As independent financial advisers, we offer comprehensive and impartial financial advice to clients based on a thorough analysis of their financial situation. Unlike financial advisers who are affiliated with specific institutions or product providers, we have the freedom to recommend products and services from across the entire market.
Through our retail advisory service, investment managers can continue to manage their clients' assets and maintain the client relationship, while we provide retail advice to their clients. Our advice helps clients determine their preferred risk level, income requirements, and guides them through any changes in their financial circumstances. During all meetings with clients, we are transparent in communicating that our advice pertains solely to suitability and that investment managers will continue to manage their clients' investments. This helps to mitigate the risk associated with investment managers offering advice on the suitability of investment options for a retails client's specific circumstances.