35 Appendix two Appendix two - DIM Checklist – DIM This checklist can be used whichever way the arrangements are structured – agent as client or reliance on others. Have you ... Yes / No Comments Documented your target market? Ensured your proposition meets that target market? Notified the adviser firm if you plan to use funds / financial instruments that are not clearly targeted at retail clients and considered how the use of such instruments sits with the target market that you have set for your services and with your wider Consumer Duty obligations? Investment proposition Have senior management / SMF16 Yes / No Comments Reviewed all relevant agreements to ensure roles and responsibilities are clear? Reviewed all relevant agreements / communications aimed at consumers to ensure they meet the Consumer Understanding outcome? Agent as client: • Agreement between you and the adviser firm • Platform agreements Reliance on others: • Agreement between you and the adviser firm • Agreement between you and the underlying investor (your client) • Platform agreements Taken third party advice, for example legal advice Agreements
RkJQdWJsaXNoZXIy NjM2Njg1