IFA Due Diligence IFA Due Diligence Questionnaire If you are human, leave this field blank. IFA Name and FCA FRN Name of the Firm Position held at the Firm Firm FCA Address Correspondence Address if different What is the Personal Indemnity Insurance level? What is the credit rating and rating body used? Scope of the FCA Permissions Brief History of the Firm Please provide a copy of your Organisational Chart Uploading Files. Please Wait. Drop a file here or click to upload Choose File Maximum upload size: 4.19MB Details of the Company Directors/Partners and their roles Number of People Employed Average Staff Turnover in the last 3 years Firms Legal Status Please provide the previous 3 years accounts Drop a file here or click to upload Choose File Maximum upload size: 4.19MB Credit History of any directors, partners or employees of the firm if they have been subject to bankruptcy or insolvency Authorisation Status i.e. Directly Authorised or an Appointed Representative If Directly Authorised please provide FCA Number If Appointed representative provide details of network/company with FCA Authorisation Has the firm been subject to any investigations by the FCA? If yes please provide further details Has the firm been subject to any litigation within the last 3 years or any anticipation of this happening? Please provide details of numbers of complaints over the past 3 years including the number that remain outstanding and how many were upheld Please provide details of who is responsible for Consumer Duty at the Firm If any issues have been identified that could lead to poor outcomes and/or foreseeable or actual harm, please provide details of this and any actions that have been taken to address this Has the firm conducted it's own fair value assessment if yes please provide details of any issues that were raised after this Does your firm have policies in place for the treatment of vulnerable clients? Please provide details of the support provided. Can you explain the process used for AML documentation by the firm? Please provide an outline of the services provided from you to your clients Please provide us with details of the suitability process that you use for your clients? What is the level of experience (in years) that you have with using external investment managers? Which existing firms do you use? Please provide any details of Adverse Media and when this was last reviewed. Submit
