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Referral guides for professional firms - spotting the moment, referring clients compliantly, and earning a share.
Showing articles tagged Compliance — clear filter
The financial neutral vs a referral: where each fits
As collaborative and non-court approaches grow, the financial neutral has become a familiar figure. Understanding where the neutr…
How to disclose a referral fee to a client, properly
Disclosing that you earn a share when you refer a client is not an awkward admission to be buried; it is a professional obligatio…
Referrals and Consumer Duty: doing right by clients in the chain
Consumer Duty and the wider standards of professional conduct are usually discussed in terms of the advice a firm gives. They als…
Consent orders and the advice handover that avoids delay
Consent orders formalise what the parties have agreed, yet they frequently depend on financial arrangements that need specialist …
Consent and GDPR when you refer a client onward
The moment you share a client's name and circumstances with a receiving firm, you are processing personal data, and that brings t…
The annual-allowance trap: a referral trigger hiding in plain sight
Certain pension pitfalls hide behind a high income or a good year. Here is how to spot the client who might be exposed and why it…