Designing and Reviewing In-House Investment Propositions
Independent support to help firms build, strengthen, or review their investment process under Consumer Duty.
The Challenge
For adviser firms that manage portfolios in-house, Consumer Duty has made governance more demanding. It is no longer enough to have an investment process — firms must demonstrate that it is robust, repeatable, and regularly reviewed. Many firms struggle to resource this properly while continuing to serve clients.
Building an Investment Proposition from Scratch
I help firms develop comprehensive frameworks that cover every stage of the investment process:
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Investment Philosophy
Defining the principles that guide decision-making.
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Investment Process
Including strategic asset allocation, tactical allocation, and fund selection.
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Risk Management and Monitoring
Covering performance reporting, risk exposures, and governance oversight.
Other Services
Modular Support
Not every firm needs a full rebuild. I offer modular services for firms that want support in specific areas – for example, designing a fund selection framework, or improving performance reporting and risk monitoring.
Independent Review
For firms that already manage investments in-house, I provide an independent assessment of the existing investment proposition. This includes detailed feedback across philosophy, process, and monitoring, helping firms evidence Consumer Duty compliance and strengthen their governance frameworks.
The Benefits
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Confidence that your investment process meets regulatory expectations.
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Clear, documented frameworks that stand up to external scrutiny.
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Flexible support that adapts to your firm’s specific needs.
