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Fund EcoMarket

the sustainable, responsible and ethical investment information hub

SRI Advice Process

Different methods work for different people however we suggest the following for financial advisers who are new to this area:

As part of your standard fact find, ask clients if they may like to consider environmental, social or ethical issues when deciding where to invest.

For clients who say ‘yes’ you should have supplementary fact find questionnaire to identify their preferences.  This could be the ‘SRI StyleFinder’ tool on our website, a list of possible areas of interest – or some other system.

If you use our SRI StyleFinder questionnaire this will help you to identify what we call ‘SRI Styles’ – in other words the ‘core strategies’ that are likely to be of interest to your client.  From the output of the questionnaire you can use the ‘SRI Styles’ filter on Fund EcoMarket to generate a list of possible fund options.

For many clients it is useful to discuss this further in order to reduce the number of possible fund options – and to ensure nothing has been missed. You can use the additional filters on Fund EcoMarket as prompts to help draw up a list of ‘ethically appropriate options’. (You can downloaded a list of all of our filter options from our ‘Adviser downloads’ page)

All of the above should be recorded for your audit trail.

The list of possible options can then be compared with the other financial information (gathered as part of your standard fact find) – relating to areas such as asset type, risk etc –  to find the most suitable options for your client.

For further tips on fact finding see our ‘fact finding support’ page.

Options for additional fact finding include:

  • discussing areas of personal interest in ‘conversation’
  • showing interested clients a list of issues (from which to select areas of interest – ee our ‘Downloads page’ for a listt of the options on Fund EcoMarket)
  • identifying relevant strategies using indicator statements / SRI Styles (or similar options) .  Be aware, these may need to be refined and fund information checked to ensure suitability.

Download generic advice flow chart as shown at ‘Screened, Themed and Engaged’ 2017 event

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