Professional Introducers

Since the introduction of regulation by the Financial Services Authority, many professional firms have opted to outsource regulated financial services.  They remain authorised by their professional body to provide only incidental investment services which are complementary to the professional services being offered to their clients.  Remaining within these incidental and complementary guidelines can be difficult, especially since the introduction of the Insurance Mediation Directive regulating general insurance services and referrals for after the event insurances, and that’s why, at Sense Financial Solutions,  we have taken the time to understand the rules surrounding professional firms and introductions.  This means that when you enter into a referral agreement with us, you know that we’ll be working with you every step of the way to help you make sense of the regulatory regime and keep you compliant whilst providing the very best possible service to your clients. 

At Sense Financial Solutions we have developed a wide range of support material to keep our relationship successful and compliant from day one:
An annual report which provides all the information you require to demonstrate that you have completed due diligence on our practice and that we are suitably qualified, experienced and regulated to provide your clients with the specialist financial advice they require.

A structured introducer agreement which clearly details our referral relationship and how we will work with you and your clients.

• Checklists which help you to identify those clients who will benefit from the specialist advice services which our practice can provide.
• Referral forms to enable you to compliantly transfer your client to us and help us to provide a seamless advice service to your client.
• Assistance and pro   to gain your clients’ consent for you to compliantly and ethically retain a share of the income which we generate from the advice that we give to your clients.
• Guidance and updates to ensure that you are fully briefed on key financial services regulatory issues, including the Designated Professional Body (DPB) regulatory regime, income sharing and data sharing.

If you would like to learn more about how an introducer arrangement works please download a copy of our Professional Introducers Service leaflet.

You may also like to download a copy of our Client Newsletter.

Testimonials:

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“We have worked with Simon Welch for several years and have found him to be well liked by both our staff and our clients.  He has added value to our existing client relationships and has advised our clients professionally with their financial services needs. 

We have received no complaints from our clients about the work Simon has done and would not hesitate in continuing to recommend him to our clients as appropriate.  As a consequence of this, we have developed a good income stream, as Simon pays us part of his commission to cover our costs in setting up and running this partnership.  Finally we trust Simon such that he looks after the Directors own financial services requirements.”

Angus West, Director. Swandec Accountants

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“Several years ago we were in a situation where we felt like we were not offering our clients a complete service. Many of our clients were asking us financial services related questions which we were not permitted to answer and we had no-one that we trusted sufficiently well to refer our clients to. 
After some research, we employed Simon Welch to look after our clients’ financial planning needs and we have now built up an excellent relationship with him.  He conducts himself in a truly professional manner and we trust him implicitly with our clients  Simon provides us with regular feedback and updates on discussions and meetings with our clients, many of whom he has now helped.  In addition to adding real value to our practice, we also earn a share of Simon’s fees and commission which can provide a welcome source of additional income, especially during these turbulent times.
We have also found Simon’s colleagues at Sense Financial Solutions to be of the same calibre and would not hesitate in recommending them to other firms of accountants.”

Paul Gayton , Wren Accountancy Services Ltd.

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