Product Shelf Set-Up

• Review and perform due diligence on your product shelf
• Support acquisitions and review overlaps
• Identify issues or concerns and bring recommendations to product and risk committees
• Compare your current products to industry products, making replacement recommendation where appropriate
• Identify gaps in your offering and recommend new products to fill gaps
• Ensure your product shelf is compliant, best in class, and ready for today’s market environment
• This is done by each product line

Proactive Due Diligence

• Review your current product shelf to ensure appropriateness by monitoring track record, tenure, complexity, and assigning risk parameters to the product
• Provide quarterly due diligence update reports that, when married with sales reports, provide a true picture to grow your business and mitigate risks
• Perform annual deep dive due diligence reviews
• Provide Always on due diligence monitoring of product changes, industry changes, client changes, and provider changes
• Support your product committee with periodic reviews, documentation, & expertise, helping you get to the right answers in an efficient manner

Product Shelf Management

• Ensure Best Interest Advice can be provided through the best product shelf
• Actively manage onboarding and removing products to align with today’s environment, your Advisor expertise, and client needs…with the expectation of increasing revenue
• Add products that are expected to fill a gap, grow revenue, and provide better advice, minimizing overlap and product cannabilization
• Prepare material for product committee and provide real time answers to questions, shortening decision time
• Provide insights on the industry regarding new products, sales trends, risk points

Meeting Fiduciary Standards

For Your Risk and Compliance Team

The DDW Risk, Trend, Fit ComplianceProcess ensures your products meet the Impartial Conduct Standards.

For Your Product Team

Use our Product Q2 Comparison Matrix to create a "High Conviction" product shelf that will stand up to the external regulators and the internal auditors.

For Your Surveillance and Supervision Team

Your sales supervision team can use our Product D2 Reports to make sure your Advisors are recommending the right products.

For Your Advisors

• Make it easy for Advisors to compare products.
• Help advisors match client need to the best products in a repeatable and scalable way.
• Demonstrate to the regulators that you have made substantial efforts to educate your Advisors about their product choices.