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Webinar: Thursday 11th March: 10am – 11am
The proposed requirement to take clients’ ESG preferences into account when giving advice is likely to be a game changer for wealth managers and investment advisers. And anyone involved in investment management is likely to be affected in one way or another.
We may not know when the UK will adopt the ‘MiFID suitability’ requirements – but there is a very clear direction of travel. It’ll be the first time firms will have to take into account specific, non-financial factors when carrying out a client suitability assessment and when demonstrating ongoing suitability. The requirement will be applicable whether giving advice on a specific product or a service, or when managing a portfolio.
In our next RegTech Showcase webinar, we’ll be looking at the likely new regulatory requirements for ESG and suitability in the UK and how to get ahead of some of the challenges – in particular:
How to engage with clients and record their views
How to demonstrate you’ve taken those views into account in your investment process, your recommendations and the portfolios you build
How to manage ESG exposures. Where does the data come from?
How to stay in line
How to report to clients.
We’ll be joined by our friends from BITA Risk to take a look at how technology can help navigate the complexity and streamline the process from client profiling to portfolio analysis, construction and reporting.
Register on our website.
Registrations for this event will close on the 10th March 2021