Broker Awards - IFA OF THE YEAR (OVER 100 SEATS)

Success in being an independent financial advisor (IFA) under the current stringent regulatory environment and market volatility is harder than ever. We are looking to award a small broker with 100 seats or more that has stringent processes to find the least costly, complex or risky products to achieve its objectives.

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What is the investment selection and onboarding requirement and sell discipline? Does the brokerage have the appropriate infrastructure to provide advice on various investment instruments, including mutual funds, equities, ETFs, debt instruments, etc., while offering the client a cost-efficient trading platform. (Minimum 200 words)
Please tell us the range of services provided? The brokerage provides a variety of wealth management services to clients, including research and advice, retirement planning, tax and estate planning, etc. (Minimum 300 words)
Does the broker have a process of building and maintaining an investment portfolio that properly addresses the strategy to achieve the investor’s objectives and meet constraints? Also, does the brokerage use sophisticated tools to monitor the client’s mandates against current risks and performances? (Minimum 400 words)
Is there a sophisticated and streamlined administrative process for all the trading, clearing and reporting activities and functions required to effectively execute the portfolio management processes. (Minimum 200 words)
How is client servicing being delivered and measured, and what are the firm’s complaint policies and turnaround time? Please specify how client communication and reporting are executed and their frequency. (Minimum 200 words)
Please specify whether you have a robust governance framework, infrastructure and an operating model that addresses the critical functions of board’s role, responsibility and compensation, risk culture, people and talents, processes and technologies, and maintaining a diverse board of directors.  In addition to complying with regulatory guideline, how is the board’s oversight on risk and the culture of the organizations, committee policies and practices, and commitment to a diverse board and their principles in managing both internal and external stakeholders’ interests?  (Minimum 200 words)
Please tell us whether ESG is integrated to your due diligence process, and what are the materiality issues you identify at the fund house level? What are the ESG characteristics you require the fund managers to identify and please specify the metrics you are using to monitor the improvement/deterioration of their ESG factors. (Minimum 200 words)
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