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Consumer Duty: Reshaping retail investing

New rules are forcing firms to rethink their relationships with retail investors. The Financial Conduct Authority’s (FCA) Consumer Duty is a complex regulation that involves all aspects of the distribution chain and adds new layers of compliance risk.

But mitigating risk is just the beginning. Customer-focused offerings, fair pricing, and accessible support can lead to greater asset retention and referrals. Our actionable analytics and insights can connect retail investor preferences and behaviours directly to your business. Unique data and deep domain expertise enable firms to recognise and capitalise untapped value.

What do Consumer Duty regulations mean for your firm?

Consumer Duty is about giving investors their best chance at success. It elevates fiduciary care to protect retail customers with higher standards for informing, supporting, and delivering fair value to them. While the totality of the Financial Conduct Authority’s (FCA) four outcomes can get complicated, they center on your ability to answer these simple questions:

  • How well do you know your retail investors and how do they define a good outcome?
  • Is your product strategy aligned so that products deliver good outcomes?
  • What is the overall value of your offering and is the cost fair?
  • Are your customers able to navigate their way to desired outcomes?

Talk to our Consumer Duty experts

Power your transformation with Broadridge

Our unmatched combination of analytics and experience can reveal valuable opportunities to minimise compliance risk and upgrade investor engagement.

Products and services Price and
Consumer understanding
Assessment of Value
Distributor Feedback Service
Retail Investor Analytics
European Value for Money Assessment
Global Market Intelligence
Global Pricing Intelligence
European MiFID Template

Six reasons asset managers and intermediaries rely on Broadridge


1. Trusted partner

Build a Consumer Duty strategy alongside the leading provider of Consumer Duty data and insight products, serving 250+ international fund boards.


2. Full service

Leverage end-to-end solutions that combine AoV, independent benchmarking, direct feedback from distributors and retail investors, and more to give you the full picture around your retail relationships.


3. Regulatory expertise

Tap into 30+ years of price and value, regulatory compliance expertise, and fiduciary oversight for precise Consumer Duty assessments.


4. Rich insights

Obtain quantitative and qualitative insights that explain the position of your products in the marketplace.


5. Delivery and quality

Learn from annual value-for-money reports created by our experienced implementation team.


6. Consistency

Implement a repeatable approach and methodology on value-for-money data across the UK, Ireland, and Europe.

Take deeper dives into holistic data

Broadridge has spent decades building an industry-leading collection of unique datasets and analytics on investors and distributors. The insights empower you to look across the four Consumer Duty outcomes to uncover potential compliance risks and – more importantly – improvement opportunities.

A shared data platform keeps research concise and makes it easy for teams to collaborate over the findings. Rather than sourcing data and juggling systems from multiple vendors, your teams get a clear line of sight to focus on new revenue-building strategies.

Execute insight-driven action plans

Our subject matter experts know the FCA regulations and have experience implementing large-scale change. We have the back-office teams able to collect, cleanse, and aggregate data. You’ll receive proprietary analysis on how you might enhance sales channels and distributor sales patterns. Then, we’ll work together to enact holistic business-building takeaways. The seamless flow from insights to execution will accelerate your journey toward greater retail asset retention.

Ready to master Consumer Duty regulations and retail relationships? Fill out the form below and let’s discuss the ways Broadridge can help you.

Let’s talk about what’s next for you

Our representatives and specialists are ready with the solutions you need to advance your business.

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+1 800 353 0103North America
+65 6438 1144APAC

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Want to speak with a sales representative?

Table Heading
+1 800 353 0103North America
+65 6438 1144APAC