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Best Practice

Good Practice Working Group - Request for feedback 

Requesting your opinions and suggestions

Know your client

Does your firm have a new client fact finding process to identify and support such clients if they do not raise the subject themselves?
Does your firm have a regular review process to identify and support existing clients if they do not raise the subject themselves?

Provision of Financial Advice

Do you think that climate change and other key systemic sustainability risks could have a long-term impact on investment returns and risk poor outcomes for your clients?

Firms that do not wish to advise on responsible/ethical/sustainable investments

If your firm has excluded advising on responsible/ethical/sustainable investments, have you developed plans to introduce the required associated process and disclosure changes?
Have you made a clear change to the description of your services to make this exclusion clear and have you communicated it to both your new and existing clients?
Does your firm have a referral mechanism to pass clients who have been identified as being interested in values-based or sustainability-based investments to a firm that can provide this advice?

Thank you for your time.

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