Process

Output

Client Involved

Professional Adviser Involved

Stage 1
Client engages Capital to gather all information, conduct risk profiling and develop detailed understanding of requirements.

Letter of Engagement

Investment Policy Statement

Yes

Yes

Stage 2
Research undertaken.
Analysis of existing investments.
Specific recommendations.

Investment Plan

Yes

Yes

Stage 3
Client decides.

Portfolio Management Agreement

Yes

Yes

Stage 4
Purchasing programme initiated.

Transaction Authorisations

Yes

Yes

Stage 5
Ongoing day-to-day management of portfolio.
Review of Investment Policy Statement.

Personal attention

Comprehensive reviews

Tax reports and newsletters

Yes

Yes