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Introducer Application

Apply to become an Introducer for Pensionhelp by filling out the form below.

Home Introducers Area Introducer Application

Step 1 of 9 - Introduction

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Thank you for considering Pensionhelp. We have a great deal of experience of working with financial advisers, accountants, solicitors and other professional introducers and believe we can secure the right outcomes for the clients you introduce to us.

It is the aim of Pensionhelp to be the "go-to-firm" for pensions advice where consumers can be sure they are dealing with a Company which has their best interests at its core. This means that before we can enter into an introducer relationship with you, it is our policy to undertake a process of due diligence in respect of you and your business. We do this as we only like to work with the best kind of people.

We understand that our due diligence process is thorough but we strongly believe that this is necessary, particuarly where you will be providing ongoing servicing in respect of the investments we recommend to a client. We want to ensure the client's best interests are met and that any arrangements or investments we recommend are not only right for the client but are aligned to how you will advise on or manage the assets and meet the clients best interests in future.

In particular, we need to understand your investment process so we can ensure that the client's best interests are met where we advise on a pension transfer from a defined benefit (DB) scheme or other scheme with safeguarded benefits. We are required to consider the assets in which the client's funds will be invested as well as the specific receiving scheme. It is our responsibility to take into account the characteristics of these assets.

Due to DB transfers being an irreversible decision, significant deviation from investment recommendations made by Pensionhelp can have a detrimental effect on the client's retirement planning. As we only like to work with the best kinds of people, we want to make sure that you will be in a position to meet the client's needs in future.

We request that you provide as much information as possible - your answers will be treated as strictly private and confidential. If you have any questions or concerns please get in touch with a member of the Pensionhelp Team.

Please note that this form must be completed by an individual authorised by the company to complete introducer agreements such as a Director or Compliance Manager.

Mark Wilson, Managing Director

Your answers will be treated as strictly private and confidential.

Basic Details

*(including subsidiaries or trading names, if applicable)

Postal Address

Address Line 1
Address Line 2
City
County
Postcode

Lead Contact Details

Title
First Name
Last Name
Telephone Number
Role
Company Website URL
Your Email
Trading Status of the Business(Required)
Trading Status of the Business

Company Registration Number (if applicable)
Would you also like to receive an agreement for Protectionhelp (our protection advice referral service)(Required)
Do you wish to receive an agreement for Protectionhelp (our protection advice referral service)

Your Status: Authorisation and Regulation

Is the company authorised and/or regulated by the FCA?(Required)
Is the company authorised and/or regulated by the FCA?
Please give the Firm Reference Number (FRN)
Are you an Appointed Representative of another Principal?
Are you an Appointed Representative of another Principal?
Please give the Firm Reference Number (FRN)
Are you regulated by an alternative Professional Body / Regulator?
Are you regulated by an alternative Professional Body / Regulator?
Please give the Firm Reference Number (FRN)
Have you ever had an appointment as an Introducer or Appointed Representative terminated?(Required)
Have you ever had an appointment as an Introducer or Appointed Representative terminated?
Please state which:
Are you a Member of a Network?(Required)
Are you a Member of a Network?
Please state which:
Are you a Member of any Professional Trade Organisations/Bodies?(Required)
Are you a Member of any Professional Trade Organisations/Bodies?
Please state which:
Have you ever been investigated, publicly censored, disciplined, suspended or expelled by the FCA, another regulator, a professional body?(Required)
Have you ever been investigated, publicly censored, disciplined, suspended or expelled by the FCA, another regulator, a professional body?
Please give details:
Are you currently the subject of any disciplinary proceedings by the FCA, another regulator, a professional body, a trade body or a government body or agency?(Required)
Are you currently the subject of any disciplinary proceedings by the FCA, another regulator, a professional body, a trade body or a government body or agency?
Please give details:
Are you currently or have you been the subject of any investigation by the FCA, another regulator, a professional body, a trade body or a government body or agency which has led to a requirement or undertaking significant remedial action, a past business review, customer remediation programme or the engagement of skilled persons?(Required)
Are you currently or have you been the subject of any investigation by the FCA, another regulator, a professional body, a trade body or a government body or agency which has led to a requirement or undertaking significant remedial action, a past business review, customer remediation programme or the engagement of skilled persons?
Please give details:
Have you had any application for membership of any Professional Trade Organisations/Bodies refused, cancelled, declined or withdrawn?(Required)
Have you had any application for membership of any Professional Trade Organisations/Bodies refused, cancelled, declined or withdrawn?
Please state which one and the reason:
Are you exempt from authorisation and regulation by the Financial Conduct Authority?(Required)
Are you exempt from authorisation and regulation by the Financial Conduct Authority?
Are you a member of a Designated Professional Body (DPB)?(Required)
Are you a member of a Designated Professional Body (DPB)?
Please state DPB and Reference Number:
Do you have external compliance support (e.g. from a consultant, service provider or similar)?(Required)
Do you have external compliance support (e.g. from a consultant, service provider or similar)?
Please give details:
Does your firm or network have the permissions and service to undertake Pension Transfer advice?(Required)
Does your firm or network have the permissions and service to undertake Pension Transfer advice?
As you or your network can provide Transfer advice, please give reasons why you are looking to outsource DB transfers.
Do you have Network permission to introduce cases outside of the Network?(Required)
Do you have Network permission to introduce cases outside of the Network?

Your Business and Investment Strategy

When was the business established?
DD slash MM slash YYYY
Number of Staff:
Number of Advisers:
Number of Active Clients:
Approximate value of Assets under Administration (£):
Please briefly describe your business model, including the services you provide and how these are distributed:
Please describe how you generate new clients (e.g. use of lead generators, word of mouth recommendations, etc.) and confirm how these apply to the clients you intend to introduce to Pensionhelp.
Does your firm have a Centralised Investment Proposition (CIP)?(Required)
Does your firm have a Centralised Investment Proposition (CIP)?
Please provide a copy to Pensionhelp if you would like us to evaluate this for use in our recommendations.
Max. file size: 64 MB.

Please indicate which of the following (if any) you have advised on or provided services in the last 2 years and the approximate percentage of your total revenue generated by each:

Evaluate the following statements.

Structured Products (Geared Downside)(Required)
Structured Products (Geared Downside)
Hedge Funds(Required)
Hedge Funds
Any Investments for Tax Structuring(Required)
Any Investments for Tax Structuring
Unregulated Collective Investment Schemes/ Non Mainstream Pooled Investments(Required)
Unregulated Collective Investment Schemes/ Non Mainstream Pooled Investments
Traded Life Policies(Required)
Traded Life Policies
Viatical Settlements / Life Settlement Products(Required)
Viatical Settlements / Life Settlement Products
Traded Endowment Policies(Required)
Traded Endowment Policies
Exchange Traded Products(Required)
Exchange Traded Products
Other Geared or Leveraged Investments(Required)
Other Geared or Leveraged Investments
Own Branded Collective Investment Schemes / DIFs(Required)
Own Branded Collective Investment Schemes / DIFs
Commodities or Commodity Funds(Required)
Commodities or Commodity Funds
Commercial Property(Required)
Commercial Property
Foreign Emerging Markets(Required)
Foreign Emerging Markets
VCTs(Required)
VCTs
IPOs(Required)
IPOs
REITs(Required)
REITs
Buy to Let(Required)
Buy to Let
Equity Release(Required)
Equity Release
Sub Prime Mortgages(Required)
Sub Prime Mortgages
Does your firm have a preferred Platform Provider or Providers?(Required)
Does your firm have a preferred Platform Provider or Providers?
Please indicate which one(s) and indicate the reason(s):
Does your firm have any preferred product providers?(Required)
Does your firm have any preferred product providers?
Please indicate which one(s) and indicate the reason(s):

About Your Business

Insurance

Do you have your own Professional Indemnity Insurance in place?(Required)
Do you have your own Professional Indemnity Insurance in place?
Limit on Indemnity:
Limit on Indemnity:
Any One Claim
In the Aggregate
Amount of Deductible, Excess or any selfinsured amount:
If you have provided advice on any of the investments on previous page, are any of these investments specifically excluded from your Professional Indemnity Insurance?(Required)
If you have provided advice on any of the investments on previous page, are any of these investments specifically excluded from your Professional Indemnity Insurance?
Please provide details of any exclusions
Has any Claim ever been made under your PI or D&O policy(ies) in the past two years?(Required)
Has any Claim ever been made under your PI or D&O policy(ies) in the past two years?
Please provide brief details:
Has it been necessary for you to advise your PI Insurers of any circumstances which you believed might give rise to a Claim under the policy, even if this subsequently did not happen?(Required)
Has it been necessary for you to advise your PI Insurers of any circumstances which you believed might give rise to a Claim under the policy, even if this subsequently did not happen?
Please provide brief details:

Complaints

Please confirm the number of complaints received by your firm in the last 2 years.

The total number of complaints received:
The number of complaints upheld by your firm:
The number of complaints referred to the Financial Ombudsman Service (FOS):
The number of complaints upheld by FOS:
The number of complaints (whether upheld or not) which relate to any aspect of the ongoing servicing of assets held within a pension scheme:

About Your People

Please provide details of all Relevant Directors, Partners, Executives, Senior Employees (including Advisers and the Person Responsible for Compliance). Where relevant, please provide the person's FCA Individual Reference Number (IRN): Please indicate if the individual will refer business to Pensionhelp so we can set up a Login for our introducer website.

Person One

Title
First Name
Last Name
IRN
Role / Title
Email
Person One Business Referrer?(Required)
Business Referrer

Person Two

Title
First Name
Last Name
IRN
Role / Title
Email
Person Two Business Referrer?
Business Referrer

Person Three

Title
First Name
Last Name
IRN
Role / Title
Email
Person Three Business Referrer?
Business Referrer
If you would like to add more people please provide their details below.
Has any Director, Partner, Executive or Senior employee been convicted of any dishonest or fraudulent act, or implicated in such an act by a legally constituted court by Court of Justice?(Required)
Has any Director, Partner, Executive or Senior employee been convicted of any dishonest or fraudulent act, or implicated in such an act by a legally constituted court by Court of Justice?
Please provide details:
Has any Director, Partner, Executive or Senior employee subject to any current criminal proceeding?(Required)
Has any Director, Partner, Executive or Senior employee subject to any current criminal proceeding?
Please provide details:
Has any Director, Partner, Executive or Senior employee ever been given a caution in relation to any criminal offence?(Required)
Has any Director, Partner, Executive or Senior employee ever been given a caution in relation to any criminal offence?
Please provide details:
Has any Director, Partner, Executive or Senior employee ever had a County Court Judgement (“CCJ”) or other judgement debt, whether satisfied or not and whether discharged or not, or aware of any proceeding that have begun, or anybody’s intention to begin proceedings?(Required)
Has any Director, Partner, Executive or Senior employee ever had a County Court Judgement (“CCJ”) or other judgement debt, whether satisfied or not and whether discharged or not, or aware of any proceeding that have begun, or anybody’s intention to begin proceedings?
Please provide details:
Has any Director, Partner, Executive or Senior employee ever been, the subject of an action or any bankruptcy proceedings, or proceedings for the sequestration of your/Company estate?(Required)
Has any Director, Partner, Executive or Senior employee ever been, the subject of an action or any bankruptcy proceedings, or proceedings for the sequestration of your/Company estate?
Please provide details:
Has any Director, Partner, Executive or Senior employee ever been put into liquidation, wound up, ceased trading, had a receiver or administrator appointed or entered into any voluntary arrangement with creditors?(Required)
Has any Director, Partner, Executive or Senior employee ever been put into liquidation, wound up, ceased trading, had a receiver or administrator appointed or entered into any voluntary arrangement with creditors?
Please provide details:
Has any Director, Partner, Executive or Senior employee ever been adjudged by a court liable for any fraud, misfeasance, wrongful trading or other misconduct?(Required)
Has any Director, Partner, Executive or Senior employee ever been adjudged by a court liable for any fraud, misfeasance, wrongful trading or other misconduct?
Please provide details:

Key Contacts (If Applicable)

Please indicate any other key contacts for Pensionhelp:

Key Contact One

Title
First Name
Last Name
Role / Title
Email
Telephone Number

Key Contact Two

Title
First Name
Last Name
Role / Title
Email
Telephone Number

Introducer Payments

If you wish to receive an Introducer Payment via BACS, please provide us with the appropriate bank details below. Please also provide a bank statement / crossed cheque for this account. We require this to confirm the details of the account and that it belongs to your firm. We will return the document to you.
Do you wish to receive payments for introductions made to Pensionhelp?(Required)
Do you wish to receive payments for introductions made to Pensionhelp?
Account Details
Please use this link to uplaod details of the relevant Bank Account to allow us to verify it. (eg a void cheque or bank statement)
Max. file size: 64 MB.

NMBA Member

Are you an NMBA Member?(Required)
Are you an NMBA Member?

Additional Information

Declaration

Please Note: It should not be assumed that information is known to Pensionhelp Ltd by virtue of the fact it is in the public domain or has previously been disclosed to us. If there is any doubt about the relevance of information, it should be included.

For the purpose of complying with the General Data Protection Register, any personal information provided in this Form will be used by Pensionhelp Ltd only as a means of due diligence as part of the application process to become an introducer. Unless we are obligated to make a disclosure to a regulator or similar authority, the information within this form will not be disclosed for any purpose without the permission of the applicant.

Pensionhelp Ltd may seek to verify the information given in this form including answers relating to the fitness and propriety of the business or its people.

Statement

In signing the form below: I warrant that I have the authority to provide the information above and to enter into the application to be an Introducer of Clients to Pensionhelp Ltd, and that I have read and agree with the Pensionhelp Privacy Notice.

I authorise Pensionhelp Ltd to make such enquries and seek information as it believes necessary in the course of verifying the information provided in this form.

I confirm that the information provided in this form is accurate and complete to the best of my knowledge and belief.

I undertake to advise Pensionhelp Ltd in writing of any changes in circumstances in respect of the information provided in this form including but not limited to:

  • Any changes of address
  • Any changes of Directors, Partners, Executives or Senior Employees
  • A change in your regulated status
  • A change of principal or network
  • Your Company's insolvency, liquidiation, entering into an arrangement with creditors or a receiver being appointed
  • The bankruptcy of a Director, Partner, Executive or Senior Employee
  • If any Director, Partner, Executive or Senior Employee becomes subject to disciplinary or investigatory proceedings at the order of a professional body, trade association or regulatory body
  • Changes to your Professional Indemnity Insurance (such as a failure to obtain/renew such insurance, significant exclusions, etc.).
  • Changes to your Directors and Officers Insurance (such as a failure to obtain/renew such insurance, significant exclusions, etc.).
I agree to the declaration statement?(Required)
I agree to the declaration statement?
First Name
Last Name
Contact Email Address(Required)
Contact Email Address
Policy Consent(Required)
Click to view Pensionhelp's Privacy Policy.

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Get In Touch

  • enquiries@pensionhelp.co.uk
  • 0161 956 2328

Pensionhelp Limited is authorised and regulated by the Financial Conduct Authority. Pensionhelp Limited is registered in England and Wales No.09437056.

Registered Office 18-22 Lloyd Street, Manchester, M2 5WA.

The guidance and/or advice contained in this website is subject to the UK regulatory regime and is therefore restricted to consumers based in the UK.

Disclaimer

Final Salary Pensions are suitable for the vast majority of members. Transferring from a final salary pension scheme is an irreversible decision and it could have a detrimental effect on your retirement planning. The detail on this website is for information purposes only and is not to be taken as a personal recommendation. Before taking any action, you should take financial advice from a suitably qualified independent financial adviser. Any potential advantages of transferring from a defined benefit scheme to a defined contribution scheme are often outweighed by the costs, risks and loss of benefits involved.

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