Agent as Client vs Reliance on Others: How Your DFM Relationship Is Really Structured
Agent as client vs reliance on others: how the two DFM structures allocate responsibility, FOS access and Consumer Duty obligations for UK advisers.
Tag
Due diligence
9 articles tagged with "Due diligence"
How Discretionary Investment Management Is Regulated in the UK: An Adviser's Guide
How discretionary investment management is regulated in the UK: FCA permissions, COBS suitability, client agreements, reporting and best execution for advisers.
Vetting a Wealth Manager's Stewardship and Governance Credentials
How advisers and HNW clients can vet a wealth manager's stewardship and governance credentials: the questions and evidence that separate substance from spin.
DFM Minimum Investment Levels: A UK Adviser's Guide for 2026
DFM minimum investment levels for UK advisers in 2026: MPS, bespoke, and segregated mandate thresholds, why they exist, and how to use them in segmentation.
Ongoing DFM Oversight: A Consumer Duty Framework for Wealth Advisers
How UK wealth advisers should run ongoing oversight of their DFM under Consumer Duty: monitoring framework, board reporting, and red flags to act on.
DFM Charges Explained: A Guide for UK Wealth Advisers
A clear breakdown of DFM charges for UK wealth advisers: management fees, OCFs, platform costs, and what to demand from providers under Consumer Duty.
Fund Due Diligence for Wealth Advisers: A Practical Framework
A practical framework for fund due diligence that meets Consumer Duty standards. What to assess, how to document it, and which red flags disqualify a fund.
ESG Investing for HNW Clients: What Advisers Need to Know
ESG investing is reshaping wealth management. Here is what UK advisers serving HNW clients need to know about regulation, due diligence, and strategy.
Due Diligence When Choosing a Discretionary Fund Manager
A practical due diligence framework for wealth advisers evaluating discretionary fund managers. What to check, what to ask, and what to avoid.