Asking about referral fees
A short question to put to an adviser, and the same question to whoever introduced them, about any payment for the introduction. Polite, direct, and best asked before you sign.
This wording is a starting point, not legal advice. Check your contract before you send it, and take advice if you are unsure.
Subject: One question before we sign: introductions
Dear [adviser name], One question before we sign, which we ask of every adviser we work with. We were introduced to you by [introducer name]. Do you pay a referral fee, commission or other benefit to them, or to anyone else, in connection with our engagement? If so, could you tell us what it is and how it is calculated? We are not assuming anything by asking. We would simply rather know, and have it in writing, before we go ahead. Kind regards, [your name] [your role] [business name]Before you send
Ask both sides. The adviser may pay for introductions as a matter of course; the introducer may receive them. Professional rules can allow referral fees when they are disclosed to the client,1Source 1ICAEW, "Commissions and fees: fully informed consent" (United Kingdom); AICPA Code of Professional Conduct, ET section 1.520 "Commissions and Referral Fees" (United States). More detail on your country page. and a straightforward answer is a good sign. Ask in writing, so the answer is on record, and ask before you sign. The same wording works for an accountant, a lender, a software provider or a trade body: change the opening line to fit.
The same question to the person who introduced you
"Thank you for introducing us to [adviser name]. So that we go in with our eyes open, could you let us know whether you receive any payment or other benefit from them if we sign, and if so what it is? We ask this of everyone who recommends a service to us."
Read next
- The question: do you pay or receive referral fees?
- The clause: confidentiality
- Red flag: cold calls about unclaimed refunds. Case study: the referral nobody mentioned
Sources
- ICAEW, "Commissions and fees: fully informed consent" (United Kingdom); AICPA Code of Professional Conduct, ET section 1.520 "Commissions and Referral Fees" (United States). More detail on your country page. Back
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