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Fund EcoMarket

the sustainable, responsible and ethical investment information hub

Different fact finding methods work for different financial advisers…

You will be better placed than anyone to know what will work for your business and your clients, which is why we  offer ESG/ sustainable investment fact finding suggestions rather than specific instructions…

Based on our experience, once you have identified who is interested in this area (from a question in your main fact find)  you then need to explore further by:

  • discussing ‘SRI Styles’ (or similar high level broad areas of interest)) .  This works well for getting things started and it may be that this is sufficient, however many clients will have more specific requirements in which case you need to find out more by…
  • showing clients a comprehensive list of ethical, social and environmental issues for them to chose between.  This can work well as a stand alone process for many clients and advisers although others find this difficult, particularly as many clients are interested in all the issues you show them.
  • using a combination of these two can also work well.  You can start with identifying the key areas of interest to your clients (and the fund groups that consider those areas) and drill down further  into the areas they have identified in order to ensure their specific aims are met.

How can fund EcoMarket help with fact finding?

Build your own fact find questionnaire

The filter options on Fund EcoMarket cover the main issues approaches and features of funds in this area.  You can use this (in its entirety or in part) to build your own questionnaire.   To help you get started with this you can download Word versions of the ESG / SRI  filter options here.  There are two versions available:

  • Filter options (listed with the ‘groups’ they are displayed within) FEM filter options May 2020
  • Filter options (listed with the ‘groups’ they are displayed withing) with the explanatory ‘hover over’ text plus Yes / No options . (ie the ‘Verbose’ option May 2020)
  • nb These are unbranded Word documents.

If you prefer to simplify your fact find process with the help of our online ‘StyleFinder questionnaire’ read on…

  • You can direct clients to the online ‘SRI Stylefinder’ (Supplementary Fact Find Questionnaire microsite) tool to find the SRI Styles that match their personal opinions most closely.
    • The questionnaire is a series of paragraphs that clients can chose from, and once completed generate a report from. Send your client this link:  SRI StyleFinder on line questionnaire  – ask them to tick the boxes that reflect their views.
    • Once the questions  are completed the client should click ‘search’ and then print or save their findings to pdf and send their finding on to you.
    • This microsite does not link back to the Fund EcoMarket site.
  • Download a printable copy of our SRI StyleFinder Questionnaire pdf  here (for clients who do not wish to complete an online questionnaire)
    • this document can be sent to a client if you wish (bearing in mind you are responsible for compliance – we are not regulated)
    • When your client has completed the form (ticked the relevant boxes that suit their opinions), you or they can enter their responses into the online SRI StyleFinder questionnaire (then click ‘search’) to identify their preferred SRI Styles.
    • Their preferred SRI Styles can then be selected in the ‘SRI Styles’ filter box on Fund EcoMarket (then click ‘search’, perhaps with other filter options)  to generate a list of potentially appropriate fund options.
    • Once you have these as your starting point you may wish to make this more specific by building in additional individual SRI/ESG  filter options.  (See links above)
    • Please also read the text supplied by fund managers and use the links available if you need further information.
    • Our example advice process is opposite and can also be downloaded via our brochure.

This is all for information only.  We are not authorised or regulated and do not advise clients.

If you are an individual investor you can find an adviser through our Find An Adviser list.  All the advisers shown offer all clients the option to invest in sustainable, responsible and ethical funds.  Please note we do not endorse or vet advisers – this list is for your convenience only.

Regulatory position

Recent FCA Fact Find Guidance includes reference to the need to understand clients’ ethical and political views – as examples of when a single core fact find may not be sufficient.  This is however expected to become even more central to how financial advisers and others operate – see here to read about  anticipated changes:(proposed Mifid II changes in this area (Q1/2019) (From ESMA consultation) although we now understand this to be delayed because of COVID-19.

 

 

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