Introducer’s Duties Clause Samples

Introducer’s Duties. 3.1 The Introducer shall: 3.1.1 use their best endeavours to introduce and refer clients and contacts to Healthy Investment and to transmit to Healthy Investment this information. 3.1.2 introduce a minimum of 10 clients and contacts to Healthy Investment every 12 month period. 3.1.3 complete to the satisfaction of Healthy Investment relevant product and compliance training on an annual basis. 3.1.4 conduct introductions and referrals with all due care and diligence and shall cultivate and maintain good relations with clients and potential clients in accordance with sound commercial principles (which for the avoidance of doubt shall include any directions given from time to time by Healthy Investment). 3.1.5 in all dealings concerning Healthy Investment or this Agreement describe himself as “Introducer” for Healthy Investment and not hold himself out as being connected in any other manner. 3.1.6 promptly inform Healthy Investment of any complaint or after sales enquiry by any persons introduced or referred to Healthy Investment which he receives and any matters likely to be relevant in relation to this Agreement. 3.1.7 comply with all applicable Regulatory Requirements in the discharge of their duties under this Agreement. 3.1.8 ensure that their business of introducing clients to Healthy Investment is kept separate from any other financial business or advice conducted by the Introducer. 3.1.9 not act for any other business whose products compete with those of Healthy Investment as an introducer, introducer appointed representative or business representative or appointed representative (within the meaning of the FCA Rules) without the prior written consent of Healthy Investment. 3.2 The Introducer acknowledges that Healthy Investment has a proprietary interest in the clients and contacts who contact it and client and contact information is confidential information belonging to Healthy Investment. 3.3 During the term of this Agreement and following its termination howsoever caused, Healthy Investment shall have the exclusive right to contact all persons introduced to it by the Introducer (whether or not such clients shall have purchased a Product).