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Due Diligence Questionnaire

    • 1

      About You

    • 2

      Organisational Information

    • 3

      For Investment Managers

    1/3

    About You

    About You

    First name:

    Last name:

    Email:

    0%

    Organisation Information

    Organisation's name:

    Years trading:

    Companies House number:

    Address:

    Memberships:

    Other Memberships:

    Auditors:

    Description of organisation:

    Please list c-suite/ key executives and their responsibilities and experience:

    Is there a contingency plan/ key-person insurance to ensure business continuity on the event of key executives?

    Do you have cyber-insurance and if so at what level of coverage?

    Do you have D&O insurance and if so what level of coverage?

    50%

    For investment managers

    If you are an investment manager please answer the following section. If you are not an investment manager, please scroll to the bottom and click submit.

    FCA Reference number (if applicable):

    Date of FCA authorisation:

    Please outline your ownership structure:

    Please articulate your investment philosophy with regard to ESG and Impact:

    Please outline your governance process e.g.:

    • Strategic asset allocation basis (if any)

    • Fund selection (committee)

    • Portfolio management (committee)

    • Investment management oversight

    • Degree of deviation allowed by individual fund managers from any core approach.

    • ESSG and impact measurement tools/ process.

    Please outline your research process:

    Do you take an absolute return approach or are you guided by peer-group indices or benchmarks?

    Do you use any derivatives?

    To what extent are in-house collectives used?

    Please detail what third-party research you have access to:

    How are portfolios monitored?

    Platform availability:

    Are all funds and securities daily-priced?

    Total funds under management (£m):


    100%

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