Distributor due diligence

As part of our approach to robust governance, we place significant emphasis on the governance of our distribution, i.e. the way that we engage with and support the professional advisers who use our products.

An important aspect of this is our distributor due diligence. We require this for all firms in all instances, as a condition of our Terms of Business. Where a firm has not completed our DDDQ, we require individual Professional Advisers to complete the Individual Adviser Level DDDQ, pending the Firm Level DDDQ being completed.

FIRM LEVEL DDDQ INDIVIDUAL ADVISER LEVEL DDDQ
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Regardless of the regulatory requirement, we believe that distributor governance is best practice, for client-centric reasons and outcomes. The information that is provided not only helps fulfil mutual governance requirements, importantly it also contributes to our target market identification and product development processes.

If you require any assistance, please contact us.