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Rory Percival Training and Consultancy Ltd: An ex-regulator’s guide to Risk Profiling Tools

£250.00 + VAT


SKU: 4925_PROD_Guides_RiskProfilingTools. Categories: , .


This guide provides an independent review of six of the main providers of risk profiling tools. It has three main objectives:

  1. Test current risk profiling tools against the FCA’s guidance
  2. Provide a ‘How to …’ guide to help advisers understand how to use them in a way that is likely to meet the FCA requirements, including those introduced by MiFID II
  3. Provide additional commentary and good practice examples around assessing the level of risk the client is willing and able to take.

MiFID II introduces a new rule that states ‘firms shall take reasonable steps to ensure that the information collected about their clients is reliable.  This shall include … ensuring all tools, such as risk assessment profiling tools … are fit-for-purpose … with any limitations identified and actively mitigated through the suitability assessment process.

This guide can help advisers meet the MiFID II requirement by:

  • summarising how the different tools work
  • testing them against the FCA’s guidance on risk profiling
  • offering a testing framework that advisers can use for other tools not assessed in this guide
  • providing a section on using each tool effectively with clients to address limitations

The tools reviewed are:

  • A2Risk
  • Dynamic Planner
  • EValue
  • Finametrica
  • Morningstar
  • Oxford Risk

Additional Product Information

Pricing Notes

This PDF guide is £250+vat and will be available via a downloadable link in your Adviser-Store order confirmation email. A member of the team will also be in touch within 24 working hours of purchase to confirm the guide was received.

Supplied in online PDF format only.

Supplied for use within the purchaser’s firm only.


You will receive an email following your order with a link to where you can download your guide. A member of the Adviser-Store team will also be in touch within 24 working hours of purchase to confirm receipt of the guide.

Supplied in online PDF format only.


Compliance Notes

The information contained in this guide was updated in September 2017.

License Agreement

Rory Percival Training and Consultancy Ltd shall supply the selected product in accordance with the order in all material respects.

They shall use reasonable endeavours to meet any performance dates but any such dates shall be estimates only and time shall not be of the essence for performance of the Services.

Supplied for use within the purchaser’s firm only.  The contents of the Guide may not be reproduced in any way without prior agreement with Rory Percival Training and Consultancy Ltd.

For further information, contact a member of our team here.

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