The key to getting advice ‘right first time’ is investment in technology with a ‘customer-first’ mindset, which complements adviser professionalism rather than restricts it, and supports strong measurement and oversight.

Dynamic Planner is the one financial planning system you need to ensure investment suitability, increase efficiency and demonstrate value to your clients. It provides you and your firm with one end-to-end system using a single definition of risk throughout the process.

Ensuring compliance across the board

If you’re looking to drive growth in your business, then the chances are you’ll be looking to increase client numbers, perhaps grow adviser headcount, and improve the quality and frequency of client interactions.

With Dynamic Planner, compliance is centralised, which means internally everyone adopts the same process, while externally each client receives the same high level of service. Dynamic Planner has a single definition of risk running throughout, ensuring you not only have a clear link between a client’s risk profile and a final recommended solution, but can also quickly evidence it whenever required. Dynamic Planner enables you to meet MiFID II and PROD requirements in a structured way, and even allows you to prepare for anticipated future regulation around ESG.

“[Dynamic Planner] was the first company to come to us with an actual review proposition for clients. It’s the audit trail it creates and provides, in that interaction with the client from start to finish. There’s nobody else out there providing that, that I can find.”

Kevin WalshHome & Finance Ltd

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Investment progress report booklet

MIFID II Compliance

The Markets in Financial Instruments Directive (MIFID) is the framework of European Union (EU) legislation which regulates, among others, financial advisers providing investment and pensions advice in the UK.

  • Client profiling provides a consistent measure of a client’s financial situation including their ability to bear losses
  • Psychometric questionnaires consistently measure a client’s investment objectives including risk tolerance
  • Suitability reports provide a robust audit in a client-friendly and accessible way.
  • Client reviews provide a centralised and consistent review of ongoing suitability

PROD Compliance

Introduced in January 2018, the PROD rules aim to make sure that investment solutions and products being recommended to clients meet the needs of one or more identifiable target markets, are distributed appropriately and deliver good customer outcomes

  • Understand your clients’ needs using psychometric client profiling
  • Identify target markets using target market tool
  • Funds rated for specific demographics (e.g.funds for clients in decumulation)

“Dynamic Planner enables us as a firm to have a consistency of approach and one which is robustly documented, so all advisers are doing the same thing and the final output for the client is of a similar high quality – but is also compliant, thereby de-risking the business.”

Simon DrakeBainlye Drake Wealth

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