The operating system for introducer-led growth
RQ helps professional firms send, manage, and prove referrals — with built-in compliance, clear tracking, and real visibility across the firm.
How does RQ support compliance?
Category: Compliance
RQ embeds compliance into every referral workflow, making it easy to meet regulatory requirements without creating extra administrative burden. **Commission and fee tracking:** - Audit trails for all income received for introductions (fees, commissions, software credits – anything) - Client consent capture for any third-party payments, as required by fiduciary duty - Fee transparency and disclosure management **Conflict and due diligence management:** - Documented procedures for identifying and managing conflicts of interest - Due diligence records on third-party professionals you refer to - Partner status tracking to ensure regulatory compliance **Firm-wide consistency:** - A consistent approach to making and recording referrals across the firm - Staff training records for referral processes and compliance obligations - Referral rationale recorded on client files **Regulatory support:** RQ was designed with input from ICAEW to support firms with DPB (Designated Professional Body) obligations. For firms conducting ERAs (exempt regulated activities), RQ provides ERA tracking and triage to identify which referrals require DPB oversight. For FCA-regulated firms, RQ provides the documentation needed to show that client introductions are handled appropriately, with proper disclosures and record-keeping. Records are retained for the required 6-year period, making your firm audit-ready at all times.