If you subscribe to OverSuite, the first step in setting up your engagement letters is completing the OverSuite wizard. This tool asks questions about your firm. This makes sure your letters meet compliance requirements.
Your answers allow OverSuite to generate a full set of Smart Engagement Letters adapted to your business.
Configure engagement letters in Oversuite
Go to Configure and select Engagement Letters.
Select the OverSuite tab.
Use the in-wizard guidance:
Each section includes short video guides from our compliance expert, Valerie Steward
You can also watch a full walkthrough video before starting
Complete all sections:
Provide accurate details about your services, structure, and compliance requirements
Your responses determine the content of your engagement letters
What counts as a referral for investment services?
If you introduce a client to another party, it’s a referral. This is true even if you don’t receive a commission. Referring to an Independent Financial Adviser (IFA) always counts as an introduction for investment business purposes.
See also
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