Pension and Financial Services PR Consultancy ________ Pension Wind-up Services (including one or more of advice on and provision ________ of buy-outs and buy-ins, advice on entry to PPF and advice on entry to FAS) Technology Services ________ Trustee Secretarial and other Support Services ________ Other(s) (please specify) ________ _______________________________________ SECTION B (Circle whichever applies) Is your organisation subject to regulation the Financial Services Yes No and Markets Act 2000 IF PLEASE MOVE STRAIGHT TO QUESTION 3 “NO”, If please state below your organisation's registration number. “yes”, ____________________________________________________________ IF YOU HAVE ANSWERED QUESTION 2, PLEASE MOVE TO QUESTION 5. Does your organisation have a paid-up capital or partnership fund for a Yes No minimum sum of £1,000? Is your organisation able to complete a solvency certificate upon at Yes No least one year’s trading related to its financial year-end? (a) Is your organisation the umbrella for an IFA network? Yes No (b) If does your organisation act for clients in its own right, as Yes No “yes”, well as acting as umbrella for the network? (a) How many Principals and other members of staff are engaged _________ full-time in the activities, as indicated on pages 2-3?
Pension and Financial Services PR Consultancy ________ Pension Wind-up Services (including one or more of advice on and provision of buy-outs and buy-ins, advice on entry to PPF and advice on entry to FAS) ________ Technology Services ________ Trustee Secretarial and other Support Services ________ Other(s) (please specify) ________ _______________________________________ SECTION B (Circle whichever applies) Is your organisation subject to regulation the Financial Services and Markets Act 2000 Yes No IF “NO”, PLEASE MOVE STRAIGHT TO QUESTION 3 If “yes”, please state below your organisation's registration number. ____________________________________________________________ IF YOU HAVE ANSWERED QUESTION 2, PLEASE MOVE TO QUESTION 5. Does your organisation have a paid-up capital or partnership fund for a minimum sum of £1,000? Yes No Is your organisation able to complete a solvency certificate upon at least one year’s trading related to its financial year-end? Yes No (a) Is your organisation the umbrella for an IFA network? Yes No (b) If “yes”, does your organisation act for clients in its own right, as well as acting as umbrella for the network? Yes No (a) How many Principals and other members of staff are engaged full-time in the activities, as indicated on pages 2-3? _________