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For Professional Advisers only

Document Library

Important documents and forms

Below you will find links to download important documents and forms. If you have any queries or wish to order a printed copy please, contact your Business Account Manager or you can call us on 0345 607 2013.

Why Advance by embark

Order execution venue and quality report 2020
Information and data security questions and answers
SIML Pillar 3 Disclosures
Advance by Embark Due Diligence brochure
Advance by Embark Platform Brochure
Client Investment, cash protection and compensation
AKG Financial Strength Assessment

Platform set-up for Adviser Firms

Adviser firm (appointed representative of a network) set-up
Addendum for additional firm offices/branches
Adviser firm trading style set up
Completing the standard set-up forms - Advance by Embark Platform
Firm Set-up Form - Appointed representative network set-up on the Advance by Embark Platform
Firm set-up form (stand alone or has an arrangement with a service provider) set up on the Advance by Embark Platform
Terms of Business
Terms of Use

Client forms and brochures

Advance portfolio asset guide
Authorisation of adviser remuneration
Authorisation of one-off adviser remuneration
Client data capture form
Guide to transfers - A basic information guide to UK pension transfers
My Advance Portfolio - Access and viewing your Advance portfolio
Plan for the future you want - Welcome to the Advance Portfolio
Platform nomination of beneficiaries form
Retirement Account - Ill health medical evidence form
Declaration for transfer of historic Guaranteed Minimum Pension benefits - Buy-out plans
Stocks and Shares ISA - Additional permitted Subscription application form
Declaration for transfer of Guaranteed Minimum Pension benefits - current scheme

Sales Aids

Easy to understand charges - at a glance
Family linking - a simple way to lower charges
Income in retirement - an Advance by Embark differentiator
Junior ISA and Junior Retirement Account
Pension Matters - a guide for financial advisers - Flexi-Access Drawdown
Platform Suitability (full)
Platform Suitability (short)
Pre-funding at a glance

Key features and Terms and Conditions

Key Features of the Advance Cash ISA
Key Features of the Advance Investment Account
Key features of the Advance Junior Stocks and Shares ISA
Key Features of the Advance Retirement Account and Advance Junior Retirement Account
Key Features of the Advance Stocks and Shares ISA
Advance Portfolio Terms and Conditions
Addendum to the Advance Portfolio Terms and Conditions - additional terms that apply to the Advance Junior Retirement Account

Zurich Life Products

Key Features - Zurich Accidental Death Cover
Accidental Death Cover Terms and Conditions
Key Features of the Zurich Investment Life Cover
Investment Life Cover Plan terms and conditions

Morningstar model portfolios

A guide to Morningstar model portfolios available through the Advance by Embark platform
Overview for Morningstar Model Portfolios - Adventurous
Overview for Morningstar Model Portfolios - Balanced
Overview for Morningstar Model Portfolios - Cautious
Overview for Morningstar Model Portfolios - Moderately Adventurous
Overview for Morningstar Model Portfolios - Moderately Cautious
Quarterly Model Portfolio Change Rationale

Morningstar quarterly reports

Q3 2021 Morningstar Adventurous Long Term
Q3 2021 Morningstar Adventurous Medium Term
Q3 2021 Morningstar Balanced Long Term
Q3 2021 Morningstar Balanced Medium Term
Q3 2021 Morningstar Cautious Long Term
Q3 2021 Morningstar Cautious Medium Term
Q3 2021 Morningstar Moderately Adventurous Long Term
Q3 2021 Morningstar Moderately Adventurous Medium Term
Q3 2021 Morningstar Moderately Cautious Long Term
Q3 2021 Morningstar Moderately Cautious Medium Term

Retirement

Safeguarded benefits transfer declaration form
A guide to pension tax
Impact of taking an UFPLS from your retirement account
Pension Carry Forward Checklist
Pension Freedom Planner - Q&A's

Trusts

Bare trust adviser notes
Are you getting the most out of bare trusts?
Bare Trust
Bare Trust Customer Notes
Discretionary Trust
Discretionary Trust Adviser Notes
Discretionary Trust Customer Notes
Pension Discretionary 125 year Trust

A Guide to Processes

New Trust Application Form
New Trust Application Form notes
Additional Amount in Existing Trust Portfolio
Manual Process Flow
Request to Treasure or Untreasure Assets
Request to Convert Capped Drawdown

Guides and support documents

Transaction Impacts on the Advance by Embark Platform
Guide to Annual Charges – Information Summary
Advance Portfolio Report - Support document
Firm and Portfolio Dashboards
Guide: How to create an ISA allowance report on the platform
Quick guide: Crystallisation hints and tips
Quick guide: Dependants drawdown
Quick guide: DFM full crystallisation
Quick guide: Pension immediate crystallisation
Quick guide: how to complete an IA to ISA transfer

Utmost bonds

Important information about the investment of your Utmost Bond into an Advance Portfolio
Investing an Utmost Bond in an Advance Portfolio (Trustee)
Investing an Utmost Bond in an Advance Portfolio (Individual & Joint)
Investing an Utmost Bond in an Advance Portfolio (Corporate)

Technical corner

Here you will find access to documents and tools to support you with some complex and technical aspects of investing.

Visit our Technical corner

Products Closed to new business

If your clients have a Sterling Investment Account or a Sterling ISA you will find the relevant documents and forms on our closed product page.

Visit closed products