Adviser Status Change

Financial Services are regulated in the UK by the Financial Conduct Authority (FCA)

When an authorised and regulated adviser has left Stirling House due to retirement or a career change, the FCA guideline concerning our responsibility to Clients is to declare three points:- 

1. Clients are free to retain the services of the person who has left Stirling House provided that the adviser concerned remains authorised and regulated to do so (Active).

This may be checked on the FCA Register at:

http://www.fsa.gov.uk/register/indivSearchForm.do

This will inform you whether your adviser is Active with their new contact details or Inactive and not currently authorised to give financial advice.

2.  Clients are free to appoint a new and different financial adviser entirely.

There are many internet sites offering a “location service” to find professional people according to your postcode.

3.  Stirling House must continue to service Clients best interests, needs and objectives unless directed by Clients no longer to do so.

Stirling House remains happy to appoint an authorised and regulated person from our own professional Advisory Team.

To determine what penalties, if any, would be applicable to your portfolio on encashment or cancellation, please complete the form to the right and enter “Statement Request” in the “Subject” line and we will deal with the matter as expediently as possible.

Please Note

We offer all Clients the option of either Independent Financial Advice (whole of market including esoteric products), or a specialised approach to Wealth Management. The latter is designed to deliver a personalised service using the Stirling House range of actively managed funds.

The size of our combined Stirling House funds gives us access to investment specialists that may not typically service modest investors.