01784437611 ask@regencyinvestment.com

A typical client journey

regency investment services 4 step advice process illustration


We will invite you to a first meeting at our offices to discuss your requirements. This meeting will be at our expense.

This is an opportunity for you to find out more about Regency Investment Services and for us to see how we can help. We will discuss your expectations and establish your objectives.

We will complete a personal fact find questionnaire which will help us to understand your knowledge and degree of experience in financial services. We will also ask you to complete another questionnaire to help us understand your attitude to investment risk.

We will then discuss the timescale to undertake our research, to prepare our recommendations and arrange the next meeting.

At our meeting we will introduce our Client Service Proposition. If you instruct Regency to act on your behalf there is a cost for our services and you will be required to sign a copy of our Service and Fee Agreement.

We will also provide you with a copy of our Retail Client Terms of Business document and will discuss this with you.

Research and planning

We will undertake detailed research taking into account all aspects of your financial and personal circumstances including your tax position, current plans and future needs and objectives.

Once our research has been completed we will present our recommendations in writing along with any illustrations and key facts documents.After you have had time to review our recommendations a further meeting will be arranged. This will give you an opportunity to ask any questions and to discuss the recommendations we have made.


If you decide to proceed with our recommendations then we will discuss and agree the implementation.

We will offer assistance with the preparation of any paperwork.

Documentation and application forms will be submitted on your behalf and we will keep you informed of the progress as we implement the agreed recommendations.

Once everything is complete you will receive a letter along with any documents which you need to keep.

Review and management

You will receive an ongoing service, if appropriate, based on our agreed service proposition.

Periodically we will review your service level and adjust it if necessary.

Download our complete advice process illustration now.


Get in touch

Kingswood, Kingswood Group and Kingswood Institutional are trading names of KW Wealth Planning Limited (Companies House Number: 01265376) regulated by the Financial Conduct Authority (Firm Reference Number: 114694) and KW Investment Management Limited (Companies House Number: 06931664) regulated by the Financial Conduct Authority (Firm Reference Number: 506600) with a registered office at 13 Austin Friars London EC2N 2HE. KW Investment Management Limited is also regulated in South Africa by the Financial Sector Conduct Authority (Firm Reference Number: 46775).

Both companies are wholly owned subsidiaries of Kingswood Holdings Limited which is incorporated in Guernsey (registered number: 42316) and has its registered office at Oak House, Hirzel Street, St Peter Port, Guernsey GY1 3RH.

The information contained within this site is subject to the UK regulatory regime and is therefore targeted primarily at consumers based in the UK.

Please read our Privacy Policy before completing any enquiry form or before sending an email to us.