Locum Arrangement

Where a firm has only one adviser, a locum should be appointed to service clients in the event of the adviser’s undue absence.

When deciding who is to act as the locum care should be taken to ensure they are:

• Capable of stepping into the business and advising clients so that clients’ interests are not prejudiced;
• Trustworthy, honest and reliable;
• Ready, willing and able to assist when required to do so;
• Willing to operate solely for the benefit of the business and that of the clients;
• Authorised in the same specialist areas as the adviser.

You can find further details about appointing a locum and what is required within the General Business Manual contained under the General Rules Section of our Website.

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