Our approach to working with professional firms
Since the introduction of regulation by the Financial Conduct Authority many professional firms have opted to outsource regulated financial services and instead remain authorised by their professional body to provide only incidental investment services to their clients which are complementary to the professional services being offered.

Remaining within these incidental and complementary guidelines can be difficult, especially since the introduction of the Insurance Mediation Directive regulating general insurance services and referrals to for “after the event” insurances, and that’s why at Forum we have taken the time to understand the rules surrounding professional firms and introductions. This means that when you enter into a referral agreement with us you know that we’ll be working with you every step of the way to help you make sense of the regulatory regime and keeping you compliant, whilst providing the best possible service to your clients.

As well as offering every client access to our five stage advice process, investment strategy and ongoing client service model, we have designed a series of specialist advice services which dovetail into the professional advice they are being given.

So whether your clients are going through the painful process of divorce, the trauma of probate following a family bereavement or just protecting the wealth they have created through a trust at Forum Wealth Management we have designed a service bespoke to their needs whilst ensure we can provide you with the assistance and risk management you would expect from a fellow professional practice.

At Forum we aim to develop long term referral relationships based on meeting the needs of our mutual clients.
Before we ask you to commit your practice to us or to sign anything we will take the time to get to know you and review your needs.

From this we are able to create a personalised introducer agreement detailing how our business to business relationship will work. We will also provide you with assistance and pro formas to help you create compliant referral systems within your practice and help you identify those clients who are most in need of our specialist advice services.

Once everything is ready we will launch the new service to you and your clients, providing training for your fee earners and newsletters and seminar material for your clients.

Each year we will update you on our regulatory status and provide you with a new due diligence report for your records and discuss with you new opportunities regarding how we can work together including whether we both feel a joint venture may be suitable for both our practices.

T - 0207 920 7520 E - info@forumwealth.com - www.forumwealth.com. All Rights Reserved © 2005