PROD and financial advice: Making the methodology work for your clients

Three-part series

clock • 5 min read

In the first article of a three-part series, PortfolioMetrix explored why PROD was introduced and what the experts think. The second article, based on the firm’s upcoming white paper, looks at some thoughts from financial advisers and how it recommends PROD can be adhered to …

As we all know, the problem with regulation is that there is often a large disconnect between the theory behind implementation and the practicalities of embedding it in your day to day business. So we asked some financial advisers for their thoughts. We had representatives from ten adviser firms with total AUA of £2.4bn. The full spectrum was represented with attendees from firms with only one adviser through to those with more than 20 advisers. The level of readiness was also broad. Some were comfortable that they had their PROD approach fully locked down but were interested to get a...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Regulation

 FCA chief: No allegations of Budget leak market abuse so far

FCA chief: No allegations of Budget leak market abuse so far

Told MPs on the Treasury Committee the leak caused serious concern

Alex Sebastian
clock 16 December 2025 • 3 min read
FCA's non-financial misconduct rules 'opaque' over social media activity

FCA's non-financial misconduct rules 'opaque' over social media activity

Lack of definitions and case studies

Cristian Angeloni
clock 16 December 2025 • 2 min read
2025: Reflecting on a 'sustained wave' of regulation

2025: Reflecting on a 'sustained wave' of regulation

The FCA has issued 34 consultation papers this year

Paul Bruns & Sandy McGregor
clock 16 December 2025 • 4 min read