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James, Mr R (5201)
The Johnsons & Hoggitt Retirement Scheme
Client History Report as at 01/04/08
Introducer : Regency Sterling Financial Services
Technical Analyst: Clare Marshall
Financial Adviser: Nick Woods
Current Overall Status :
- Awaiting Receipt of Further Scheme Information
Pension Scheme Transfer Value :
Pension Scheme will confirm in due course
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14-February-2008
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Case Info: Adviser Service Request Received
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O&M have received a request to investigate a pension scheme transfer.
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15-February-2008
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Case Info: Initial Client Letter Sent
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A letter issued directly to the client enclosing our Terms of Business, Letter of Authority,
Pension Transfer Questionnaire & Reply Paid Envelope.
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22-February-2008
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Case Info: Initial Client Letter Info Received
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O&M have received information sent in the Initial Client Letter from the client.
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22-February-2008
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Case Info: Terms Of Business Received
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O&M have received have received a signed copy of the Terms of Business from the client.
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22-February-2008
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Case Info: Letter of Authority Received
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O&M have received a signed Letter of Authority from the client.
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22-February-2008
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Case Info: Pension Transfer Questionnaire Received
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O&M have received a completed Pension Transfer Questionnaire from the client.
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22-February-2008
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Scheme Info: Initial Request Sent
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O&M have issued an initial letter to the Pension Scheme Administrators asking for an up to date transfer value (legally
this could take up to 3 months to provide), a preserved benefit statement and a scheme booklet to enable O&M to produce a
transfer analysis report.
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25-February-2008
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Scheme Info: Info Chase Up
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Telephone (Clare): I called the pension scheme to confirm they had rec'd our letter. Sarah Jones in the pension dept
confirmed it had arrived that day although no one in the department had looked at the letter yet. Sarah advised they had a
backlog of work at the moment although they try and produce transfer values (TV) as quickly as they can, I asked how long
that would be? She thought probably 3 - 4 weeks but couldn't be 100% sure. Sarah did confirm that they wouldn't take 3 months,
that schemes are legally allowed to take, before they issue the TV, asked her to send it as soon as possible and we agreed it
was ok to call her again in a couple of weeks for an update on their progress.
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27-February-2008
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Client Info: Info Clarification
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Telephone (Nick): I called Mr James at work to discuss some of the answers provided on the Pension Transfer Questionnaire
(PTQ), we spoke in detail about the financial stability of his ex-employer and how he was worried about the effect it may have
on the pension scheme. He clarified he was in good health at the moment, and that he wanted to have control over his pension,
as the answers were omitted on the PTQ. We concluded that O&M will continue to chase his pension scheme The Johnsons &
Hoggitt Staff Retirement and Death Benefit Plan for a current transfer value.
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29-February-2008
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Client Info: Info Clarification
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Telephone (Clare): I telephone Sarah at the Johnsons & Hoggitt pension scheme. Sarah confirmed they still had a small
backlog of work although hoped to produce Mr James transfer value within the next week, thanked her.
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2-March-2008
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Scheme Info: Scheme Info Received
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An up to date transfer value and basic scheme information have been received.
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2-March-2008
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Case Info: Admin Note
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(Clare) The scheme statement which shows Mr James pension did not provide enough detailed information to produce our report. I
have therefore written a comprehensive letter, for Sarah's attention, and sent it To J&H pension scheme. I will call them in a
couple of days to ensure they've got our letter and that they give us a reply soon as the transfer value is currently valid.
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As you can see, the Case Tracking service is really helpful when you need to update yourself on the progress of your case. It
is detailed, and allows you to assess issues at your own speed, if you then need to discuss specific matters you can easily give
your assigned O&M Technical Analyst or Financial Adviser a call to help you.
