Financial Adviser Dialshifter application

Name *

First

Last

Role in Company *

Individual FCA Number (IRN)

If you are regulated by the FCA, please provide your IRN. If you selected 'Other' in the box above, please provide additional detail.

Company Name *

Firm FCA Number (FRN) *

Email *

Web address *

Phone

Regulatory status *

Name of network / service provider (if applicable)

Does the home page of your website show that you offer advice on sustainable, responsible and/or ethical investment? *

Yes
No
Other / see note

Dialshifter status requires the answer to this to be 'yes' (or coming soon').

Do you ask all clients if they are interested in sustainable, responsible / ethical investment as part of your standard fact find? *

Yes
No
Other / see note

Dialshifter status requires the answer to this to be 'yes'

Do you have processes in place to ensure that clients' personal environmental, social and/or ethical aims and opinions are identified, recorded and acted upon? *

Yes
No
Other / see note

This refers to your current practices and when you now discuss investment options with clients. (Dialshifter status requires the answer to this to be 'yes')

Description of client fact find and advice processes *

Please give a brief summary of how clients aims and opinions are identified, recorded and acted on

Does sustainable investment form part of your (and other relevant team members) CPD? *

Yes
No
Other / see note

Dialshifter status requires the answer to this to be 'yes'.

Are you / is your business listed on the Fund EcoMarket 'Find an Adviser' page? *

Yes
No - but we'd be interested in being listed there
No

Additional information

Use this space to supply links, CPD evidence or additional information for SRI Services.

Do you have a 'net zero' or 'Paris Alignment' statement articulating your commitment to help reduce carbon emissions? *

Dialshifter Summary

Maximum 100 words, please submit draft text, this can be amended later if necessary. (Optional)

File Upload

Click or drag files to this area to upload.

You can upload up to 5 files.

Upload documents here as evidence of sustainable investment being part of your advice processes (optional - to compliment text above).

I / we consent to this information being used by the following; (those achieving Dialshifter status will be listed on our Dialshifter Directory) *

SRI Services (pending discussion / correspondence)
SRI Services verification partners (pending discussion / correspondence))
Publicly available

Please confirm you understand and agree to pay £100+vat administration fee (non refundable) for the information you are submitting to be reviewed for Dialshifter status** *

Yes

**if you are a network or a firm of 5+advisers, please contact us to discuss pricing - dialshfiter@sriservices.co.uk

I / we understand that, if I am / we are successful in meeting the Dialshfiter criteria, I / we agree to pay the remaining membership fee of £150+vat. (If you do not wish to pay the membership fee you will not be able to use the Dialshifter logo or be listed in the directory).** *

Yes
No

**if you are a network or a firm of 5+advisers, please contact us to discuss pricing - dialshfiter@sriservices.co.uk

Date / Time

Date

Time

Financial Adviser Form