Delving into due diligence and research and DFMs

Self certified

Wednesday 31st August 2022





We all know that research and due diligence is a key skill for paraplanners.

And with discretionary fund management (DFM) services becoming more popular – whether bespoke or model portfolios – the demand for these skills is only going to increase.

In our latest online Assembly, we’re bringing together experts who are able to share perspectives from both sides of the DFM equation.

Learning objectives

During this session we…

Explored the approach and processes you can adopt to carry out research discuss the tech that’s out there that can help Invited DFM guests to tell us what they think paraplanners should ask…but don’t Discover what kind of due diligence DFMs carry out for themselves


Stephen Bennett

Stephen is an investment director managing a wide range of portfolios across a broad spectrum of client types including private clients, pension funds, trusts, companies and charities. He has particular expertise managing portfolios introduced by professional intermediaries, particularly financial advisers. Stephen is Chair of Rathbones’ Financial Adviser Investment team.

Tony Lawrence

Tony is a Senior Investment Manager at 7IM and leads on the active manager portfolios. He also sits on the fixed income group and takes sector ownership for credit strategies.

Tony started at 7IM in 2015 to drive forward the fund selection process, having joined from Columbia Threadneedle where he was Head of Analytics on the Multi-Manager team. Tony graduated in Maths with Finance from the University of Southampton and is both a CFA and CAIA charterholder.

Mark Polson
the lang cat

Mark is founder and principal of the lang cat, a specialist platforms, pensions and investment consultancy.

From its Edinburgh base, the lang cat works with platforms, life companies, asset managers and large advisory firms helping them interpret regulation, develop new propositions, turn marketing strategy into action and articulate their services in such a way that people without a financial services degree have a hope of understanding them.

Bit by bit it aims to leave the industry just a little better than it found it.

Event resources

Useful links

Here are some useful links and examples of summary and detailed paraplanner packs that DFMs often provide to paraplanners. These have been supplied by Rathbones. Most providers will offer information in similar formats.

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