COMPLIANCE
HOW DO I BUY LEADS?

Access2advice (uk) Ltd is not a Financial Advice firm, and is not authorised and regulated by the FSA. We do not provide any form of financial advice.

Access2advice is a marketing agency designed specifically for IFAs.

Given this, we have reviewed the FSA handbook (COBS 4.8) in specific regard to cold calling and direct marketing and believe that our unique proposition, is not only cost-effective, but we believe, is uniquely also fully compliant with the FSA rules and regulation.

Call Scripts and Plans
Our telephone consultants are trained to build rapport, which will help you to build a relationship with your prospective clients, it would not be possible to do this simply from a script.

Our telephone consultants do work to a call plan and are trained that any questions from the prospective client regarding financial advice and products need to be referred to a qualified and appropriately regulated financial adviser.

Whilst we do not talk about any specific product, provider or funds; our telephone approach is focused on pension planning, our telephone consultants are introducing the following topics for the consideration of the prospective client:-

•Introduction of Auto-Enrollment and NEST  from 2012
•Changes in Pension contribution limits
•The importance of regular reviews and  recent stock market volatility.

The meeting itself, is for the IFA to provide further information on these subjects to the prospective client, without cost or obligation to the client.

Pre-Qualification
We believe that it is not within the FSA rules to pre-qualify a client, i.e. gathering information on existing pension information prior to an initial meeting. If a client offers this information to the telephone consultant then we will forward this directly to the IFA ahead of the meeting.

If you want to get the most out of your meeting, We always recommend that you CALL the prospective client YOURSELF, to personally introduce YOURSELF, to confirm the venue for the meeting, as you are looking to become THEIR IFA.

This offers you the opportunity to ask the client if there is anything specific that they would like to talk about, and help YOU to prepare for YOUR meeting.

The Meeting
We would recommend following your firm's compliance procedures with regard to issuing initial disclosure and business cards at the earliest opportunity with your prospective client. However the meeting arranged by Access2advice is an opportunity to establish rapport and potential need for a detailed fact-finding meeting.

Other useful links

FSA Handbook:-

COBS 4.2  Fair, clear and not misleading communications
COBS 4.5  Communicating with retail clients

 

1. DIRECT DEBIT
Soon you will be able to buy leads by direct debit. Call us on 0844 414 8218 for details or complete our enquiry form here.

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2. CREDIT CARD
Payments can also be taken using all major credit cards, just call us on 0844 414 8218 for details or complete our enquiry form here.

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