Platforms and SIPPs - Please note - only to be completed by UK Financial Advisers Survey

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1. Firstly, just a few questions about your business.
Do you give independent or restricted advice?
(Required.)

Independent

Restricted

Other - please state in box below

Other (please specify)

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2. Are you directly authorised or in a network? (Required.)

Directly Authorised

In a Network ( if so which one, please state in box below )

If you are in a Network please specify which one

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3. Can you estimate your firm's annual revenue

Less than £100,000

£100,000 to £250,000

£250,000 to £500,000

£500,000 to £750,000

£750,000 to £1,000,000

£1,000,000 to £2,500,000

Over £2,500,000

Any comments?

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4. Which platforms do you use mainly ? (Required.)

CoFunds

Skandia/ Old Mutual

Standard Life

AXA Elevate

Funds Network

Nucleus

Novia

Transact

James Hay

AEGON

AVIVA

Other

If other/s please state

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5. In 2015 do you expect to change from any of the main platforms you use now? (Required.)

Yes

Could you say why?

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6. Please state the main three criteria you use for your choice of platform/s? (Required.)

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7. How important is pensions business to your revenue ? (Required.)

More than 75%

50 to 75%

25 to 50%

Less than 25%

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8. Can you tell us how important these types of pension arrangements are for your business?

	Very important	Of some importance	Rarely involved in this category	Never use
SIPP - with standard fund choices	SIPP - with standard fund choices Very important	SIPP - with standard fund choices Of some importance	SIPP - with standard fund choices Rarely involved in this category	SIPP - with standard fund choices Never use
Insured Funds Personal Pension	Insured Funds Personal Pension Very important	Insured Funds Personal Pension Of some importance	Insured Funds Personal Pension Rarely involved in this category	Insured Funds Personal Pension Never use
Bespoke SIPP ( with property or other investment vehicles	Bespoke SIPP ( with property or other investment vehicles Very important	Bespoke SIPP ( with property or other investment vehicles Of some importance	Bespoke SIPP ( with property or other investment vehicles Rarely involved in this category	Bespoke SIPP ( with property or other investment vehicles Never use
Group Pension / Auto Enrolment	Group Pension / Auto Enrolment Very important	Group Pension / Auto Enrolment Of some importance	Group Pension / Auto Enrolment Rarely involved in this category	Group Pension / Auto Enrolment Never use
SSAS	SSAS Very important	SSAS Of some importance	SSAS Rarely involved in this category	SSAS Never use
International Pensions	International Pensions Very important	International Pensions Of some importance	International Pensions Rarely involved in this category	International Pensions Never use

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9. In the last 12 months how many SIPP pension clients have you advised to transfer provider? (Required.)

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10. Which of the following reasons to transfer provider were most common? (Required.)

	1 Very often	2 Quite often	3 Rarely	4 Never
Cost	Cost 1 Very often	Cost 2 Quite often	Cost 3 Rarely	Cost 4 Never
Poor Administration or service	Poor Administration or service 1 Very often	Poor Administration or service 2 Quite often	Poor Administration or service 3 Rarely	Poor Administration or service 4 Never
Lack of provider technical expertise	Lack of provider technical expertise 1 Very often	Lack of provider technical expertise 2 Quite often	Lack of provider technical expertise 3 Rarely	Lack of provider technical expertise 4 Never
Old provider did not have the flexibility	Old provider did not have the flexibility 1 Very often	Old provider did not have the flexibility 2 Quite often	Old provider did not have the flexibility 3 Rarely	Old provider did not have the flexibility 4 Never
Concerns over capital adequacy issues	Concerns over capital adequacy issues 1 Very often	Concerns over capital adequacy issues 2 Quite often	Concerns over capital adequacy issues 3 Rarely	Concerns over capital adequacy issues 4 Never
Annuity purchase	Annuity purchase 1 Very often	Annuity purchase 2 Quite often	Annuity purchase 3 Rarely	Annuity purchase 4 Never

Other (please specify)

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11. When choosing your selection criteria for your preferred pension providers, would you review the ownership of each provider? (Required.)

Yes, corporate factors are very important

No, client outcomes are the main factor

Could you say why?

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12. The FCA has introduced new capital adequacy rules which may cause problems for some SIPP providers (Required.)

I'm not aware of the new rules or their possible impact

Yes, I have already made changes to my SIPP provider/s

I am confident my current provider is well able to meet the new requirements

I am considering reviewing or changing my SIPP provider

Other (please specify)

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13. How would you rank these factors when selecting a SIPP provider where the client requires or is likely to require bespoke solutions (Required.)

Financial strength

Investment flexibility

Ability to allocate future growth

Ability to hold non-standard investments

Technical knowledge

Price

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14. If you DO NOT recommend Bespoke SIPP and SSAS solutions to clients, what are the reasons? (Required.)

Not applicable, I do use bespoke SIPP or SSAS arrangements

I am happy with more mainstream pensions e.g. standard funds

My clients don't require bespoke pensions

I would be concerned about my PI cover

I would be concerned about the level of technical expertise in my own firm

Other (please specify)

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15. What kind of support would be most helpful to you in dealing with SIPP / SSAS cases ? (Required.)

Client cases studies

Technical Support eg Helpline

Experienced SIPP / SSAS Staff to help in client meetings

Ideas and techniques to build professional connections e.g. accountants

Other types of support ?

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16. What type of solutions or products do you use for IHT ? (Required.)

Discounted Gift Trusts

Pension Death Benefit Trusts / Spouse bypass trust

Loan Trusts

Other (please specify)

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17. Does it concern you if a provider has multiple distribution channels e.g. direct to consumer, or white label? Which of these statements do you most agree with? (Required.)

I'd fully expect any provider to operate with a number of channels

I would worry about direct competition for my clients

My clients trust me and value my service, competition from providers doesn't concern me

Other view

Please state if you have a different view on this

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18. Which best describes your view of Mattioli Woods ? (Required.)

Well known pensions specialists

Aware of them of course but not familiar with their business

I use their group company City Trustees

Other (please specify)

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19. So we can contact you, send you our report on Platforms and SIPPs, and enter you in our prize draw to win a Sonus 1 Speaker System with Bridge please can you let us have some details ?

Name

Company

E Mail

Tel No

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* 1. Firstly, just a few questions about your business.Do you give independent or restricted advice? (Required.)

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* 2. Are you directly authorised or in a network? (Required.)

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* 3. Can you estimate your firm's annual revenue

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* 4. Which platforms do you use mainly ? (Required.)

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* 5. In 2015 do you expect to change from any of the main platforms you use now? (Required.)

Question Title

* 6. Please state the main three criteria you use for your choice of platform/s? (Required.)

Question Title

* 7. How important is pensions business to your revenue ? (Required.)

Question Title

* 8. Can you tell us how important these types of pension arrangements are for your business?

Question Title

* 9. In the last 12 months how many SIPP pension clients have you advised to transfer provider? (Required.)

Question Title

* 10. Which of the following reasons to transfer provider were most common? (Required.)

Question Title

* 11. When choosing your selection criteria for your preferred pension providers, would you review the ownership of each provider? (Required.)

Question Title

* 12. The FCA has introduced new capital adequacy rules which may cause problems for some SIPP providers (Required.)

Question Title

* 13. How would you rank these factors when selecting a SIPP provider where the client requires or is likely to require bespoke solutions (Required.)

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* 14. If you DO NOT recommend Bespoke SIPP and SSAS solutions to clients, what are the reasons? (Required.)

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* 15. What kind of support would be most helpful to you in dealing with SIPP / SSAS cases ? (Required.)

Question Title

* 16. What type of solutions or products do you use for IHT ? (Required.)

Question Title

* 17. Does it concern you if a provider has multiple distribution channels e.g. direct to consumer, or white label? Which of these statements do you most agree with? (Required.)

Question Title

* 18. Which best describes your view of Mattioli Woods ? (Required.)

Question Title

* 19. So we can contact you, send you our report on Platforms and SIPPs, and enter you in our prize draw to win a Sonus 1 Speaker System with Bridge please can you let us have some details ?

1. Firstly, just a few questions about your business.
Do you give independent or restricted advice?
(Required.)

2. Are you directly authorised or in a network? (Required.)

3. Can you estimate your firm's annual revenue

4. Which platforms do you use mainly ? (Required.)

5. In 2015 do you expect to change from any of the main platforms you use now? (Required.)

6. Please state the main three criteria you use for your choice of platform/s? (Required.)

7. How important is pensions business to your revenue ? (Required.)

8. Can you tell us how important these types of pension arrangements are for your business?

9. In the last 12 months how many SIPP pension clients have you advised to transfer provider? (Required.)

10. Which of the following reasons to transfer provider were most common? (Required.)

11. When choosing your selection criteria for your preferred pension providers, would you review the ownership of each provider? (Required.)

12. The FCA has introduced new capital adequacy rules which may cause problems for some SIPP providers (Required.)

13. How would you rank these factors when selecting a SIPP provider where the client requires or is likely to require bespoke solutions (Required.)

14. If you DO NOT recommend Bespoke SIPP and SSAS solutions to clients, what are the reasons? (Required.)

15. What kind of support would be most helpful to you in dealing with SIPP / SSAS cases ? (Required.)

16. What type of solutions or products do you use for IHT ? (Required.)

17. Does it concern you if a provider has multiple distribution channels e.g. direct to consumer, or white label? Which of these statements do you most agree with? (Required.)

18. Which best describes your view of Mattioli Woods ? (Required.)

19. So we can contact you, send you our report on Platforms and SIPPs, and enter you in our prize draw to win a Sonus 1 Speaker System with Bridge please can you let us have some details ?