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Financial adviser — Professionals
Financial professionals should establish the service requested and jurisdiction before discussing products or collecting detailed financial information. Confirm competence and permissions, distinguish advice from general guidance and define secure onboarding before accepting instructions.
Service scope
A professional-service category for identifying the type of financial advice a person or organisation seeks and the relevant authorised expertise. Budget guidance, investment recommendations, pensions and insurance are different activities and must not be treated as one unrestricted service.
What is normally included
- Financial-advice needs assessment
- Matching the relevant advice speciality
- Scoping an agreed professional engagement
What is not included
- Guaranteed returns or savings
- Automatic authority across all financial products
- Handling client funds through a public enquiry
Qualification checks
- Identify the requested activity
- Confirm relevant permissions
- Establish client and jurisdiction
- Explain remuneration and conflicts
- Agree secure intake and scope
Quote guidance
Separate initial assessment, personalised advice, implementation and ongoing review charges. Do not use projected returns as a substitute for transparent fees, and identify commissions or other remuneration where relevant to the proposed service.
Lead risks
- The enquiry may require a different permission or specialist
- A client may mistake guidance for a recommendation
- Urgency can invite inappropriate product promotion
Related services
- Services
- Locations
- Financial advice
- Budget planning
- Investment advice
- Pension planning
- Insurance advice
- Finances for self-employed professionals
- Financial planning for managed or shared property
- Business financial planning
- Review and optimisation
- Urgent advice
- Other
- Financial adviser
- Cost calculator
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