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Terms of Business

Before you can start submitting business to us, we need to have received a signed copy of our Terms of Business letter.

This sets out:

  • Our trading relationship with you
  • Our Adviser Charging Framework
  • Client communications
  • Electronic communications
  • Adviser / Client instructions
  • Indemnity and Compensation policy
  • And other regulatory requirements including Money Laundering, Data Protection and Confidentiality

Our Terms of Business letter should be signed by the principal of the Firm.

Once our checks have been completed, we will be able to accept business from each Registered Individual (RI) within the firm and set them up with online access to their clients' accounts* (on receipt of a completed Third Party Authority Form).

We do reserve the right to update and amend our Terms of Business at any time, but we will notify you of all changes.

* Please note our Full SIPP is currently not available online.