Financial intermediaries conduct various levels of product due diligence to gain a better understanding of the investment firm’s Competitive Edge. Due diligence questionnaires cover two key areas; firm and product. Due diligence teams are seeking to understand the investment advisor’s philosophy, processes and operational support to best determine business viability and product continuity. The following is a general guideline, created to prepare you in responding to a due diligence team. 7626-NLD-8/2/2016