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Simplifying re-registration and transfers

             

We appreciate moving clients to a new platform can be complicated and time consuming; however, our service aims to make the process as quick and easy as possible for you and your clients when setting up ISAs and Investment Accounts.

Moving assets has several distinct stages, from initial research through to submitting and tracking new business.

For each stage of the process, we have information for you to make the process smoother and more efficient. Click on the sections below where you’ll find help for the different stages.

Making it easier to do business with our improved service

  • You can now include up to six accounts within one application
  • You can save cases online, retrieve and submit them at a later date
  • We do not require a client signature, unless a signed Letter of Authority is required (only for non-automated cases)

Our service commitment

We know that communication is important. When you submit business, this is what you can expect from us.

  • Calling you to resolve issues - If there’s a query or we receive a rejection message from the other provider, we will attempt to contact you by phone. We will not contact your client by phone. If we cannot get through to you, we’ll send you a letter which will be sent to your online vault for electronic documents.
  • Chasing up on your behalf - we have a dedicated team to proactively chase up providers and manage your customers’ applications. We follow up every case from the 7th business day and follow them through to completion. We’ll only contact you during the process if we’re unable to resolve any issues.
  • Letting you know when it’s completed - an application containing multiple funds can complete at different times, depending on the automation status of the provider and underlying fund group. Therefore we’ll send confirmation of transactions for each fund that is settled, with a final completion letter when all assets are received. These will be sent to your online vault for electronic documents.
We’re signed up to the industry’s automated exchange
Points for consideration before moving assets
Missing information that could delay applications
Tracking cases to submission
Actions required once assets are received
Process documentation
Supporting literature