threesixty understand both the practical and operational requirements of both advisory and investment management services. We can provide a bespoke discretionary management support function.
Whether you’re a standalone company, or a qualified consolidated UK group for reporting purposes, we have a specialist team with extensive experience of discretionary management firms.
Typically services to discretionary management firms include an annual risk assessment that looks at your corporate governance regime and your ability to adhere to the upcoming MiFID II requirements. During any assessment we would usually review your ICAAP document, Pillar 3 disclosures, investment processes, client communications, and T&C schemes.
A suite of templates discretionary management can be downloaded via threesixty online for all of the major process within your business, such as best execution policy’s, data protection, business continuity, and examples of T&C schemes for investment managers. Guidance on financial returns, client reporting, suitability and more is also available.
threesixty also undertakes annual DFM assessment reports of some of the largest discretionary managers in the UK including Brewin Dolphin, Brooks McDonald and Investec Wealth.
Each assessment report evidences the firm’s adherence to regulatory policies, important for any intermediary interested in using their services.