P1 Launch

Craig White

P1 Investment Services

Platform

Everything you need to view and manage your investments in one secure, easy-to-use place.

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Platform

Build, publish and run client reports for the P1 Platform.

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Platform

Analyse performance, map risk and model future scenarios with confidence.

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Platform

The P1 Platform assistant, in your browser.

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Platform Platform Resources

Guides, forms and support for the P1 Platform.

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Investment

Build, manage and distribute models on the P1 Platform, efficiently and with confidence.

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Investment

Data capture and oversight for every portfolio and range you manage.

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Investment

Everything you need to build, approve and publish factsheets for every range you run.

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Investment DFM Resources

Model literature, data and DFM support material.

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Other

Other P1 FAQs

Answers to common questions about the P1 apps.

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Firm profile details

Business details

What is the registered name of your business, including entity type (e.g. Ltd, LLP)?

Does your business use any trading names?

Do you have a Company Registration Number?

What is your Company Registration Number?

Please explain why you do not have a Company Registration Number (e.g. partnership, sole trader)

Do you have an LEI Number?

What is your LEI Number?

Are you a UK based firm?

Name your Home State regulator, and confirm whether you operate in the UK under an inward passport

Able to advise on safeguarded pension benefit transfers?

Regulated by any other regulatory body? (e.g. SRA, ICAEW)

Which other body, and your reference number?

Bank name

Account name

Account number

Sort code

IBAN

Business operations

UK resident clients?

Non-UK resident clients?

Approximate % of clients who are non-UK resident

Number of active clients (pension and investment business)

Assets under management (AUM)

Advisory models?

Advisory models - approximate % of clients

Advisory bespoke (own asset allocation per client)?

Advisory bespoke - approximate % of clients

Discretionary third party MPS?

Discretionary third party MPS - approximate % of clients

Discretionary own permissions?

Discretionary own permissions - approximate % of clients

Initial charging structure (incl. minimum charges, tiers, caps)

Ongoing charging structure (incl. minimum charges, tiers, caps)

Do you have a documented AML policy and procedures?

Where is it held? Upload a copy under Required documents

Do you use manual or automated ID&V checks for AML?

Which systems do you use?

Do you have a documented vulnerable clients policy?

Approximate percentage of vulnerable clients

Have you had any adverse audit or quality assurance findings?

Details of the adverse audit or QA findings

Do any staff have adverse regulatory history?

Details of the staff adverse regulatory history

Complaints in the last 24 months, and any staff disciplinary history (number of complaints, number upheld, number referred to FOS)

Non-routine FCA correspondence in the past five years - Section 165 requests, thematic reviews, supervisory engagement, VREQs, OIREQs or enforcement - for the firm, its Appointed Representatives, directors or employees

Are there any legal proceedings pending against the company?

Details of the legal proceedings

Who is responsible for compliance, and do you use any external support?

Advisory back-office system

Risk-profiling tool

Research tool

Platforms currently used

Any issues with other platforms?

What due diligence do you do on platforms and model portfolios?

Do you have an in-house Centralised Investment Proposition?

Further details of the CIP - number of portfolios, AUM in each, securities used, rebalancing frequency

Third-party discretionary investment managers used

Investment strategy and approach for funds not managed by a DFM

Any investments you cannot accommodate

ISA / JISA - approximate % of clients

Pension / SIPP - approximate % of clients

GIA - approximate % of clients

Offshore bond - approximate % of clients

For pension clients, describe a typical client you would be recommending

Unit trusts / OEICs

Investment trusts

ETFs

Direct equities

Direct bonds

Structured products

Other

Other securities - details

Do you receive revenue from investments (e.g. retrocessions)?

Details of the revenue from investments

Anything else we should know

Platform configuration

Main node

Documents

Copy of bank statement A bank statement dated within the last 3 months.

Report and accounts Your most recent report and accounts, or audited management accounts.

Professional indemnity insurance Your current Professional Indemnity Insurance (PII) policy document.

AML policy and procedures Your documented Anti-Money Laundering policy and procedures.

Vulnerability policy Your documented policy for identifying and supporting vulnerable customers.

Structure chart A chart showing your business structure.

Centralised investment proposition Your Centralised Investment Proposition (CIP).

Other supporting documents Any additional supporting files relevant to this application.

Applications

Platform

Investment

Other

Firm profile details

Summary

Change history

Business details

Business

Key contacts

Addresses

Bank details

Business operations

Client base

Assets under management and charging

Compliance and regulatory

Tools and platforms

Investment proposition

Products and securities

Other

Platform configuration

Platform structure

Documents

Required documents

Optional documents

Welcome to P1 Launch

Platform

Investment

Other

Firm profile details

Summary

Change history

Business details

Business

Key contacts

Addresses

Bank details

Business operations

Client base

Assets under management and charging

Compliance and regulatory

Tools and platforms

Investment proposition

Products and securities

Other

Platform configuration

Platform structure

Documents

Required documents

Optional documents