Introducer Application

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

Lead Contact Details

Your Status: Authorisation and Regulation

Your Business and Investment Strategy

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.

About Your Business

Insurance

Complaints

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

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

Person Two

Key Contacts (If Applicable)

Please indicate any other key contacts for Pensionhelp:

Key Contact One

Key Contact Two

Introducer Payments

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.).