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We are keen to proactively support robust adviser due diligence, including assessing the operational strength of manufacturers / providers, which is a regulatory PROD requirement (“distributors should consider the impact that the selection of a manufacturer could have on clients, in terms of various factors including the financial strength of the manufacturer”, PROD Sourcebook). In fact, we would suggest that the operational strength of the provider / plan manager is the third key risk of structured products, which advisers should be more carefully considering alongside the issuer / counterparty risk and market risk of products – and it is an area in which we, as part of Alpha Real Capital, differentiate ourselves.
We have plenty of materials to assist adviser due diligence of us as a provider, which are included in the links below. We are also happy to discuss anything further that you may require, or to answer any specific questions.
|Due diligence supporting documents|