New Product Due Diligence

Client: Wealth Management Firm

The company engaged us to assist with evaluating proposals for new products to offer over their platform. Sapling has been providing ongoing independent due diligence reports for all new potential products that are required to go through the proposal process.

3 Key Insights:

We began by carefully listening to their needs and gaining alignment on the requirements for the proposed solution. Then we delivered a “New Product Proposal” template that leads up to a concrete recommendation

 

Due diligence reports include internal & external factors, such as product features, risks, disclosures & marketing materials, the management & firm, the marketability factors, potential conflicts of interest & recommendation

 

The company has found the due diligence reports have streamlined this aspect of their compliance process and we continue to vet new products on their behalf. To date, Sapling has conducted due diligence on 25 new products

Due Diligence Reports

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