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

2. What is SimplyBiz Investment Services?

3. 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

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

5. 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…

6. 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*

7. 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

8. 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

9. 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…

10. 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*

11. 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)

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

13. Risk Profiler App

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

15. 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

16. Suitability Hub : Where is it?

17. Portfolio Suitability Hub

18. Portfolio Suitability Hub

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

20. 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

21. 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
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22. Questions ?