Due Diligence
Richard
Member
Hi all,
I’m in the process of setting up a new outsourced Paraplanning business. I’ve got my first few companies on board but they’ve said that they’ll need to speak to their compliance department to find out what due diligence they need to do.
Can anyone give me an idea of what this generally looks like? Would like to be as ready as possible for when they come back with their requirements.
Many thanks,
Richard
I’m in the process of setting up a new outsourced Paraplanning business. I’ve got my first few companies on board but they’ve said that they’ll need to speak to their compliance department to find out what due diligence they need to do.
Can anyone give me an idea of what this generally looks like? Would like to be as ready as possible for when they come back with their requirements.
Many thanks,
Richard
Comments
@Richard have a look at this WE built the guide based on things we'd been asked by compliance teams.
Paraplanner. F1, Apple, Nutella, ice cream. No trite motivational quotes. Turning a bit northern.