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Within this section you will find all the guidance you need to ensure you carry out the advice process compliantly. You will find example customer contact letters so that you are not in breach of the cold calling rules and guidance within the manual on how to streamline this process.
The manual below contains an easy step, end-to-end process starting with when you need to supply the IDD to the close of business. If your firm has recently taken on new advisers this manual is a must read as it will provide in depth procedures regarding their compliance obligations and why it is important to adhere to them.
|Mortgage Advice Process Manual V3||174 KB||DOC||Download|
|Fact Find||292 KB||DOC||Download|
|Contact (Research Customer)||28 KB||DOC||Download|
|Contact (Introducer)||30 KB||DOC||Download|
|Contact (Intro from Customer)||29 KB||DOC||Download|
|Contact (Existing Customers)||28 KB||DOC||Download|
|Express Permission||24 KB||DOC||Download|
|Mortgage Template IDD||40 KB||DOC||Download|
|Mortgage and Insurance Template CIDD||56 KB||DOC||Download|
|Mortgage Suitability Letter V11||147 KB||DOC||Download|
|Mortgage Non Advised Letter V2||34 KB||DOC||Download|
|Introducer Letter V2||26 KB||DOC||Download|
|File Monitoring Register||20 KB||XLS||Download|
|Non-Advice Mortgage Checklist V2||51 KB||DOC||Download|
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