Key Service Features

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Issue Nº34, March 2014 replacing all previous versions

Compliance

  • Compliance Turnaround usually within 48 hours (company average)
  • Pre-Compliance Packaging for all New and Replacement Business
  • Compliance Helpline – give Support And Liaison (SAL) a ring
  • RDR Codes of Practice & Implementation within the FCA framework
  • Compliance Plan, Procedures & Regulatory Updates
  • Treating Customers Fairly and The Company Charter
  • Case File Review
  • Complaints Handling Assistance

Training and Continuing Professional Development

  • Training & Competence Procedures & CAS Certification
  • CPD Training Courses in our Training Centre
  • Membership of the CII
  • CPD Log; Assistance & Maintenance
  • Training to Diploma & Chartered Status if required
  • Technical Information & Advice Centre (TIAC)
  • Approved Examination Centre for industry exams
  • Monitoring and recording of qualification progress

Office & Administration

  • Communicate with HQ by telephone – speak with a human being in 3 rings
  • Free Pipeline Commission & Fee Chasing service
  • Client Transfer service from previous agencies to Stirling House
  • Free Pension and Investment Transfer (O&M) Analysis Reporting
  • Free Adviser Mail Centre. Your post is centrally scanned and forwarded to you electronically
  • Free Telephone Answering & Messaging Service. We answer your Client calls within 3 rings
  • Free Telephone System & Free Telephone Calls using VoIP technology
  • Business Stationery, Cards, Letterheads etc.
  • Free Quarterly Corporate Magazine and Monthly Factsheets posted to your Clients
  • Locum Cover for Holidays & Sickness
  • Inland Revenue Chartered Accountancy Service for Adviser’s personal affairs *
  • Branding of an Adviser’s own office; Brass Plaque, Window Etchings, Signage etc.

Stirling House Cross-Referrals

  • Wealth Management Approach for Stirling House OEIC (including Bond & Tax Wrap Versions)
  • Independent Financial Advice (IFA) division for esoteric products (e.g. CFD’s, Viaticals etc.)
  • Mortgage Adviser Division for Whole of Market Mortgages and Life products
  • Wills & Trusts Division for Probate and IHT Planning supplement

Marketing & Sales

  • All incoming Pension & Investment leads received distributed according to Post Code
  • All incoming Mortgage leads received distributed according to Post Code
  • Assistance with organised Investment Seminar Events; projector, stand, literature, staffing etc.
  • Personalised Adviser brochure & information literature for your Clients
  • Dedicated Business Development Manager
  • Adviser Web Page design & maintenance and / or link to Adviser’s own Web Site
  • Comprehensive Mail-shot Letter Bank

IT Hardware & Software

  • Free IT Support Line and Remote Assistance, all levels (one, two and three)
  • Mortgage Sourcing Software
  • Automatic access to Mortgage Clubs, Conveyancing & Legal Practices
  • General Insurance Sourcing Software
  • Investment Sourcing Software (IFAs only)
  • Private eMail address (not accessible by the Company)
  • State of the Art Back Office System (True Potential)
  • Electronic Business Submission or Manual Submission Option

Licensing, Insurance & Regulatory Requirements

  • Direct FCA Authorisation and Gabriel Reporting
  • Professional Indemnity Insurance Cover; Mortgages & General Insurance
  • Professional Indemnity Insurance Cover; Pensions & Investments
  • Adviser enjoys full and exclusive Client Ownership
  • Corporate Consumer Credit Licence (Your DO NOT need your own)

Commissions and Fees

  • Renewals Paid to the Adviser
  • Paid NEXT DAY from a secure ESCROW account. Your money is not used for company cash-flow

Stirling House Financial Services Limited

  • Practice Retirement Plan (PRP) scheme
  • Company Share Scheme Initiative – you may become a Stirling House Partner (by Invitation)
  • Shareholders receive a dividend of any Company Profits
  • Alternative Exit Strategy: Derive an ongoing Passive Income as a Stirling House Introducer
  • Notice Period to leave Stirling House after initial 3 months = NONE

Supplement charged pro-rata between Members working from one of our satellite offices

  • Heat, Light & Power
  • Rent & Rates
  • Telephone, Fax & 24/7 Broadband Internet Access
  • Printing, Stationery & Photocopying
  • Office Furniture & Equipment
  • Postage
  • Administrative Staff

Stirling House Membership Cost

  • Other than items marked “*” there are no bolt-on or hidden extras charged
  • Note that periodic FCA surcharges are not included as they are not know in advance
  • Membership cost is an agreed percentage of an Adviser’s turnover. There is no monthly fee
  • Membership cost is on a per person basis, and bespoke to each individual