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Referral guides for professional firms - spotting the moment, referring clients compliantly, and earning a share.
Showing articles tagged Financial advice — clear filter
How to check a financial adviser on the FCA Register
Every legitimate adviser appears on the FCA Register. Every clone scam depends on you not looking. Here's the checking routine.
Vulnerable clients and the case for a consented referral process
Vulnerable clients often need regulated advice most and can protect themselves least. Here is why a consented, recorded referral …
“Do you know a good financial adviser?” — the compliant answer
You can refer. You can't advise. The gap between those two sentences is where most of the confusion lives.
The SRA rules on referral fees, explained
Solicitors often treat referral fees as forbidden territory. Here is a clearer view of what the rules actually turn on and where …
The commercial client whose owner needs personal advice
Commercial retainers put you in constant contact with owners whose personal affairs need regulated advice. Here is how a solicito…
The business-sale client and the proceeds referral
A business sale converts years of illiquid effort into a large cash sum overnight. Here is why the solicitor who ran the deal is …
Redundancy and a lump sum: the referral a professional should make
A redundancy payout lands amid upheaval and rarely comes with a plan. Here is how to recognise the moment and make the introducti…
Probate distributions: the advice referral every solicitor should make
The point of distribution is where a probate matter quietly hands a beneficiary a decision far bigger than the estate administrat…
Personal-injury damages and the financial-advice referral
A personal-injury award can be life-changing and hard to manage, yet PI is the very area the referral-fee ban targets. Here is ho…
Litigation settlements: turning a cheque into a referral
When commercial or contentious matters settle, the client receives money and no guidance on what to do with it. Here is how a sol…
An inheritance just landed: why it's a referral, not a windfall
When a client inherits, a large sum lands amid grief and uncertainty. Here is how to recognise the moment and hand it over with c…
Idle cash: when a client's balance is a referral waiting to happen
Cash that sits still for years is often a sign that no one has looked at the bigger picture. Here is how to spot it and pass it o…
Divorce and a financial plan torn in two: your cue to refer
A separation rearranges a client's entire financial life. Here is how to recognise the moment, handle it with care, and refer.
Disclosing a referral arrangement to a client on your file
Disclosure is the single most important step in any solicitor referral. Here is how to do it clearly, at the right moment, and in…
A business sale on the horizon: the proceeds referral moment
When a client is heading toward selling their business, the proceeds are a major referral moment. Here is how to spot it early an…