{"id":16943,"date":"2024-02-09T14:41:53","date_gmt":"2024-02-09T14:41:53","guid":{"rendered":"https:\/\/stg-evopublic-testupdates.kinsta.cloud\/public\/?page_id=16943"},"modified":"2026-05-29T09:57:21","modified_gmt":"2026-05-29T09:57:21","slug":"dealer-sales-procedures","status":"publish","type":"page","link":"https:\/\/www.evolutionfunding.com\/public\/sales-procedure-guide\/dealer-sales-procedures\/","title":{"rendered":"3.0 Dealer Sales Procedures"},"content":{"rendered":"\t\t
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Dealer Sales Procedures<\/h1>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
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As regulated firms in the distribution chain, we must each ensure we meet our regulatory requirements and deliver good customer outcomes. Evolution requires all approved introducers to adhere to a set of minimum standards and requirements, and we will ask each firm to complete a questionnaire at least annually to attest to this.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t

\n\t\t\t\t\t\t\t\t\tThis section of the guide will cover the essential regulatory requirements, what you must have in place and how we can support you where needed.\t\t\t\t\t\t\t\t<\/div>\n\t\t
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\n\t\t\t\t\t\t\t\t\tThis section is not a comprehensive summary of all your regulatory requirements or contractual obligations to Evolution Funding Limited.\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
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3.1<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Disclosures<\/h2>\t\t\t\t<\/div>\n\t\t\t\t
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3.2<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Financial Promotions<\/h2>\t\t\t\t<\/div>\n\t\t\t\t
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3.3<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Consumer Duty<\/h2>\t\t\t\t<\/div>\n\t\t\t\t
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3.4<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Affordability<\/h2>\t\t\t\t<\/div>\n\t\t
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3.5<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Vulnerable Customers<\/h2>\t\t\t\t<\/div>\n\t\t\t\t
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3.6<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Anti-Money Laundering and Fraud Prevention<\/h2>\t\t\t\t<\/div>\n\t\t\t\t
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3.7<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Complaints<\/h2>\t\t\t\t<\/div>\n\t\t
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3.8<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Data Protection<\/h2>\t\t\t\t<\/div>\n\t\t\t\t
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3.9<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Training<\/h2>\t\t\t\t<\/div>\n\t\t\t\t
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3.10<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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SMCR Framework<\/h2>\t\t\t\t<\/div>\n\t\t
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3.11<\/h1>\t\t\t\t<\/div>\n\t\t\t\t
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Communication with the Regulator<\/h2>\t\t\t\t<\/div>\n\t\t\t\t
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Next \/\/ Disclosures<\/h3>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
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\n\t\t\t\t\t\t\t\t\t\t\n\t\t\t\t\t\t\n\t\t\t\t\t\t\t\t\tContinue<\/span>\n\t\t\t\t\t<\/span>\n\t\t\t\t\t<\/a>\n\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"

Dealer Sales Procedures As regulated firms in the distribution chain, we must each ensure we meet our regulatory requirements and deliver good customer outcomes. 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