Effective adviser due-diligence requires discretion, relevant experience and “a very particular set of skills .. acquired over a very long career”.
Thankfully, we have the skills and resources to lift this burden from your shoulders.
If you’d prefer to have the end-to-end process managed by independent experts, our Operations Team can, as your agent, be engaged to make all the required checks, validate and assess the responses and provide you with an opinion on which you can rely.
It’s an effective, and cost-effective, way to secure your business against employment and regulatory risks.
If you’d like to engage us, or simply discuss pricing options, reach out.
Reference checking should be a key component of your compliance arrangements; but it’s only likely to be partially effective in identifying ‘bad apples’ and other advice risks.
A more effective solution is to supplement reference checking with an objective, contextual and risk-based assessment of their advice and advice processes.
Our enhanced due-diligence offering combines independent reference checking with an independent assessment of 4-12 client files to properly identify the risks you’ll assume if you recruit or appoint the adviser.
If you need more information, or have further questions, about our process or the opinion we’ll provide to you, we’re happy to help.
Every fortnight “Three Hit Tuesday” delivers thought leadership, considered analysis and insights that will help you improve your advice, more effectively manage your regulatory risks and make you better informed than your peers.
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