34 Appendix one Have you ... Yes / No Comments Put in place a monitoring programme to ensure the service being provided by the DIM continues to meet the mandate for your clients and is consistent with your firm meeting its Consumer Duty obligations? Ongoing review and monitoring Appendix one - Adviser firm Have senior management / SMF16 Yes / No Comments Signed off the use of the discretionary management service (including how it is structured) as part of your product governance / Consumer Duty frameworks? Notified your PI Insurer (where relevant) of any changes to your existing business model (You may need to do this if you are entering into an arrangement with a DIM for the first time or changing discretionary management arrangements)? Corporate governance / Product Governance / Consumer Duty sign off
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