Free adviser guide

Download our free adviser guide to research and due diligence, with foreword by Rory Percival.

This guide explores the core principles of research and due diligence which apply to any regulated financial product or service you might recommend to a client.

It covers what research and due diligence actually means, why it’s important and how to go about it.

  • Why should I read this?
  • Foreword by Rory Percival
  • Introduction
  • Why is “research and due diligence” important?
  • What does “research and due diligence” actually mean?
  • Do I have to look at the whole market when I’m researching solutions?
  • Unpacking due diligence...
  • What does Principle 2 mean for “due diligence”?
  • The new Consumer Duty and due diligence
  • But platform providers and DIMs are FCA authorised – isn’t that good enough?
  • If I’m using MPS on platform, do I need to do separate DD?
  • Getting started
  • I’ve got the standard due diligence packs from the platforms and DIMs I use – why do I need anything else?
  • How much is enough?
  • PROD only refers to charges, financial strength and service delivery – why do I need to dig any deeper?
  • FCA statements
  • OK, I’ve asked the questions – what now?
  • So how does DD|hub help?
  • Conclusion
  • More information
  • Key FCA documents/statements
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