Referral compliance check for accountants
Take our quick self-assessment to identify gaps in your referral compliance. Check if your firm can evidence how referrals are governed.
Referral Compliance for ICAEW Accountants
ICAEW member firms must follow specific rules when referring clients to firms providing regulated financial services. This includes DPB licence holders who need to document referrals with proper consent, disclosure, and record-keeping.
What RQ covers
- Client consent capture before introductions are made
- Fee-sharing disclosure and documentation
- Complete audit trail for every referral
- Compliance reporting for ICAEW inspection