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Risk profiling....why are the regulators so concerned?


There have been two major regulatory reviews of risk profiling;


  • FSA Guidance Consultation Paper - Assessing suitability: Establishing the risk a customer is willing and able to take and making a suitable investment selection (January 2011), view

  • Review of Global Risk Profiling Best Practices prepared for the Ontario Securities Commission (October 2015), in which the UK FCA participated. view

Both reviews found widespread weakness is tools and approaches. Some 82% of tools/questionnaires reviewed in each review were found to be either unfit for purpose or have limitations that could lead to flawed results.Those of you who know AdviserAsset will know that we just could not ignore this. Here is a short video that explains why.

These regulatory reviews have put AdviserAsset in a unique position - we are the only risk profiling tool provider to start the build of the tool with a definitive list of regulatory concerns, from both a UK FCA perspective and global perspective.

We think it's critical that advisers are strongly supported in this key area which is right at the heart of financial advice.


'must-see' video on risk profiling 

Hear how regulatory concerns have driven the shape of our new risk profiling tool.

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