Rudolf Wolf - Product Governance - Distributor Take-On
Rudolf Wollf Limited (RWL) is authorised and regulated by the UK Financial Conduct Authority (FRN: 468022). RWL is required to meet the new product governance requirements under MiFID II which seek to enhance investor protection by regulating all stages of the financial product / services lifecycle. MiFID II require firms who manufacture and distribute financial instruments, including fund managers and IFAs, to act in the best interests of investors by considering the nature and target market for financial products and services.
RWL is required to undertake due diligence on its appointed IFAs to comply with these new legal requirements.
(Fields marked with an asterisk are mandatory.)
Name of Distributor*
Principal Place of Business*
Is the registered office the same as the principal place of business?*
This will be used for accessing the Members' Area, subject to approval.
Nature of Business*
Type of Company*
What type of Clients will you be promoting the product to?
How do you ascertain:
Client's Knowledge and Experience of the Investment field
Client's Investment Objectives
Client's attitude to risk