SimplyBiz Investment Services TOM ASK – THINK OF 2 QUESTIONS EACH BY END OF SESSION SimplyBiz Investment Services Assisting the advice process

What is SimplyBiz Investment Services?

Portfolio Suitability Regulatory Landscape FG11/05 Establishing the risk a customer is willing and able to take March 2011 FG12/16 Replacement business and centralised investment propositions July 2012 TR15/12 Suitability of investment portfolios Dec 2015 TR16/01 Research and due diligence of products and services Jan 2016 Managing Risk Managing Investments Portfolio Suitability Selecting Providers Regulatory landscape : 4 pillar documents set by Mum and Dad at Canary Wharf. They’ve been coming steadily since RDR hit us with an increasing focus on risk, suitability and research and due diligence. Starting on FG11/5 – Client is willing and able to take CIP and Replacement Business on FG12/16 The suitability of investment portfolios Then the thematic review 16/1 Easiest way to remember this is that these four publications guide you on how to manage risk and a CIP, the suitability of a portfolio and on which product or platform you place it

Assisting the advice process Initial meeting Review & recommend Arrange & implement Ongoing review This is a typical high level advice process… Chat through

Assisting the advice process Simply Intelliflo Plus Initial meeting Review & recommend Dynamic Planner Arrange & implement Partners Ongoing review Ongoing review Your advice process can be driven by Technology to meet the regulatory regulation for you. Technology can deliver this, but MUST BE IN CONJUNCTON WITH GOOD PROCESSES We can help with all of those too…

Assisting the advice process Simply Intelliflo Plus Dynamic Planner Partners Ongoing review Supported by : Meeting regulator expectations Research and due diligence Training and ongoing support All of these are ensuring you’re meeting the regulatory expectations... Comprising supporting researching and due diligence… All of which we can provide support and tailored/bespoke training to meet your needs. Each piece of technology has a place to play in building business efficiency starting with SIP… *CLICK*

Assisting the advice process Comprehensive business Management system Record and maintain factfind and client information Receive live feeds from investment houses Provide electronic communication to clients Able to transfer information to dynamic planner Able to transfer information to platforms Simply Intelliflo Plus Dynamic Planner Partners Ongoing review Pick a couple as examples… Expand

Positioned around the advice process Accept information from simply Intelliflo plus Created real time risk rated valuation reports Enable advisers to agree and record client risk Enable advisers to recommend risk rated solutions Create material to use in suitability reports Adopt a robust repeatable advice process Simply Intelliflo Plus Dynamic Planner Partners Ongoing review Pulling information from Intelligent Office is one way of building efficiency, but this tool can assist with everything on your recommendation. Assess client attitude to risk on an independent scale (FG11/5) Selecting funds to match your risk profiler (FG12/16) Print graphical reports explaining your recommendation (TR15/12) All of this can help with adopting a robust, repeatable advice process

Positioned around the advice process Receive information from simply Intelliflo plus Provide platform tools to help recommendations Simply Intelliflo Plus Dynamic Planner Partners Ongoing review Dynamic Planner allows you to push through the information to the provider website. Rather than re-keying the information, it will pre populate the provider microsite with the correct information on fund data, client data, asset allocation etc. Then you rinse and repeat…

Positioned around the advice process Simply Intelliflo Plus Dynamic Planner Partners Ongoing review Supported by : Meeting regulator expectations Research and due diligence Training and ongoing support So to re-cap, utilising all of these tools can assist when developing your advice process to be efficient. To compliment this, we’re launching some new additions to Dynamic Planner… *CLICK*

What's New to Dynamic Planner? Risk Profiler App Portfolio Suitability Hub My Planning Client Portal Core Connect Also available…. Risk Profile Client Invite Run through them on screen (Overview)

Risk Profiler App Compatible with iPhone and iPad Offline availability Automatically synchronised Saving you valuable time

Risk Profiler App

My Planning Client Portal Laptop and iPad 24 Hour Access Summary of work undertaken

Suitability Hub Conduct fund research Review and compare funds - Dynamic Planner™ risk ratings Sourcing funds with evidence the reasons behind your recommendations is an absolute necessity in meeting FCA requirements Can be used as part of your centralised investment proposition, giving you the ability to clearly demonstrate that the funds selected match the level of risk a client is willing and able to take

Suitability Hub : Where is it?

Portfolio Suitability Hub

Portfolio Suitability Hub

Pre Meeting Client Engagement Risk Profile Invite Time Efficiency Pre Meeting Client Engagement Correct Information

What does it cost? Core Connect Risk Profile Client Invite Advisers Cost (Per firm, per month) 1 – 3 Advisers £25.00 plus VAT 4 – 6 Advisers £40.00 plus VAT 7+ Advisers £60.00 plus VAT Risk Profile Client Invite Invites Cost (Per firm, per month) 250 Invites £15.00 plus VAT

Efficient Advice Process Workshops Date Location TUESDAY 16TH MAY BELFAST WEDNESDAY 17TH MAY MANCHESTER THURSDAY 18TH MAY WAKEFIELD WEDNESDAY 24TH MAY GLASGOW THURSDAY 25TH MAY EDINBURGH WEDNESDAY 7TH JUNE GATWICK THURSDAY 8TH JUNE NORTH LONDON TUESDAY 13TH JUNE EXETER WEDNESDAY 14TH JUNE CARDIFF THURSDAY 15TH JUNE STOKE ON TRENT WEDNESDAY 21ST JUNE LEICESTER Sign up with us today for the EAP’s

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