| Note Type | Subtype | Example Documents | Key Documents | |
| Generel | Strategy | |||
| 1. Fact Find | 1.1 FPQ |
Fact Find, Aged Care TPQ, PPQ |
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| 1.2 Risk Profile |
Risk Profiler, Asset Allocation Mapping Tool, Finametrica, Finametrica: Discussion Notes/Signatures |
√ | ||
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1.3 SMSF Investment Strategy |
SMSF Investment Strategy Workbook |
√ | ||
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1.4 Letter of Engagement |
Letters of Engagement |
√ | ||
| 1.5 Cashflow/Budget |
Cashflows, Budgeting tools |
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1.6 Other |
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| 2. Advice | 2.1 ROA |
Record of Advice (RoA) document, signed ATP for RoA |
√ | |
| 2.2 SOA |
Statement of Advice (SoA) document, signed ATP for SoA |
√ | ||
| 2.3 Research |
Product research (including quotes), Like-for-like comparisons, Research reports, Product Disclosure Statements (PDSs), Rules-Based APL, Off-APL, Supplementary APL, Needs Analysis |
√ | ||
| 2.4 Workspace |
Strategy papers, Product replacement analysis, Technical notes related to the preparation of advice |
√ | ||
| 2.5 Paraplanning |
Paraplanning Request Form |
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| 2.6 SMSF Advice |
SMSF Only Advice document |
√ | ||
| 2.7 Risk Advice |
Risk Only Advice document |
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| 2.8 Strategy - Debt Management |
Debt Management advice notes |
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2.9 Strategy - Direct Equities |
Direct Equities advice notes | |||
| 2.10 Strategy - Estate Planning |
Estate Planning advice notes |
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| 2.11 Time Critical |
Time Critical SOA |
√ | ||
| 2.12 MDA |
MDA Contract |
√ | ||
| 2.13 Pre-vet Approval |
Pre-vet approval notes |
√ | ||
| 2.14 Advice Correspondence |
File Notes relating to the provision of advice (e.g. Emails, SMS, Phone) |
√ | ||
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2.15 Other |
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| 3. Implementation | 3.1 Authority to Proceed |
Signed ATP for SOA, Signed ATP for ROA |
√ | |
| 3.2 Super Applications |
Super product applications |
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| 3.3 Pension Applications |
Pension product applications |
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| 3.4 Investment Applications |
Investment product applications |
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| 3.5 Insurance Quotes |
Insurance policy quotes |
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| 3.6 Insurance Implementation |
Insurance application forms |
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| 3.7 Insurance Claim Assistance |
Insurance claim details |
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| 3.8 Centrelink Applications |
Centrelink applications |
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| 3.9 Super Contributions |
Contributions to super, Trustee Acknowledgement, Intention to Claim Notice |
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| 3.10 Deposit |
Transacting/trading forms |
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| 3.11 Withdrawal |
Transacting/trading forms |
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3.12 Investment Rebalance/Switch |
Transacting/trading forms |
√ | ||
| 3.13 Statement of Purchase/Sale |
Transacting/trading forms |
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| 3.14 Corporate Actions |
Transacting/trading forms |
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| 3.15 Execution Only |
Execution Only letter |
√ | ||
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3.16 Implementation Correspondence |
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3.17 Other |
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| 4. FOFA | 4.1 FDS |
Fee Disclosure Statement (FDS) |
√ | |
| 4.2 OASA |
Establish OASA, Update OASA |
√ | ||
| 4.3 Opt-in Renewal |
Renewal Notice |
√ | ||
| 4.4 Termination |
OASA Termination letter |
√ | ||
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4.5 Other |
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| 5. Fees | 5.1 Invoice |
Issued invoices |
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| 5.2 Payments |
Payment receipts, Direct Debit forms |
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5.3 Other |
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| 6. Client Review | 6.1 Review Invitation |
Review invitation letter/email |
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| 6.2 Review Outcome |
File notes relating to review meeting outcome |
√ | ||
| 6.3 Client Review Report |
Client Review Reports |
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6.4 Portfolio Review |
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| 6.5 Portfolio/Performance Reports |
Portfolio Review Reports, Portfolio Valuation/Asset Allocation/Rate of Return Reports |
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| 6.6 Insurance |
Insurance Schedule |
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6.7 SMSF Meeting Minutes |
√ | |||
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6.8 Review Correspondence |
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6.9 Other |
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| 7. Client Statements | 7.1 Tax |
Financial Statements, Tax Statements, Tax Status Declaration Form – Individual / Entities, US Tax Status Declaration Form, Guidance Document |
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| 7.2 Super |
Super statements |
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| 7.3 Pension/Annuities |
Pension withdrawal statements, Annuities |
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| 7.4 Investments |
Non-advised product statements, Direct equities |
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| 7.5 Centrelink |
Centrelink statements |
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| 7.6 Employment/Payslips |
Employment information, Payslips |
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| 7.7 Insurance |
Insurance policy statements |
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| 7.8 Loan |
Home loans, Credit cards, Margin loans |
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| 7.9 SMSF Financials |
Tax statements |
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7.10 Other |
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| 8. Compliance/Legal | 8.1 Checklist |
Compliance checklist |
√ | |
| 8.2 FSG & Adviser Profile |
FSG Part 1, FSG Part 2, FSG Client Acknowledgement |
√ | ||
| 8.3 AML/CTF & ID Docs |
FSC forms, AML Verification forms, Passports, Licence, Bills, Suspicious Matter Reporting form |
√ | ||
| 8.4 TFN Consent |
TFN Consent forms |
√ | ||
| 8.5 Electronic Consent |
Electronic Communications Consent form |
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| 8.6 Centrelink Authority |
Centrelink Authority Form |
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| 8.7 MDA Transition Authority |
MDA Transition Contract letter |
√ | ||
| 8.8 EPOA/Wills |
Power of Attorney letter |
√ | ||
| 8.9 Certificates |
Marriage Certificate, Death Certificate |
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| 8.10 SMSF Documents |
SMSF forms, Financial Advice Certificate |
√ | ||
| 8.11 Trusts Documents |
Trust Deeds |
√ | ||
| 8.12 Company Documents |
Corporate Trustee, ABN |
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| 8.13 Partnership Documents |
Partnership agreements and forms |
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| 8.14 Privacy |
‘Refusal to provide access to correct information’ letter |
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| 8.15 Wholesale Client Documents |
Accountants certificate, Controller Declaration, Professional Investor Declaration, Record of Value/Price, Wholesale Client Engagement Letter, Summary of Advice |
√ | ||
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8.16 Other |
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| 9. Client Correspondance | 9.1 Email |
Non-advice related correspondence |
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| 9.2 Newsletter |
Insights Newsletters |
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| 9.3 Market Commentary |
Market Commentary |
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| 9.4 Invitation |
Golf days, seminars |
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| 9.5 Letter |
Christmas Office closure, Relocation of office |
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| 9.6 Phone Call Inbound |
Non-advice related correspondence |
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| 9.7 Phone Call Outbound |
Non-advice related correspondence |
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| 9.8 SMS |
Reminders |
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9.9 Other |
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| 10. General | 10.1 File Notes |
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10.2 Third Party Relationships |
Referral arrangements, Professional Adviser details, Professional Adviser correspondence |
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10.3 Other |
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