Compliance

Financial services compliance advice is available to solicitors free of charge by telephoning Ian Cockerill on 01530 815457 or Ian Muirhead on 01372 721172 or by e-mailing compliance@sifa.co.uk

The following compliance precedents are contained in Law Society Publications’ Financial Services for Solicitors – Law, Practice and Precedents. For details, go to www.lawsociety.org.uk/publications

Appointment of IFA as Authorised Third Party

Terms of Business for referring law firm

Financial advice leaflet for use by law firm referring to an unconnected IFA

Letter referring a client to an unconnected IFA

Letter advising clients of a hived-off IFA business

Financial advice leaflet for use by law firm referring to an IFA joint venture

Letter referring a client to an IFA joint venture

Referral instruction to Authorised Third Party

Heads of Terms for Appointed Representative Agreement