Please read this carefully before proceeding Strictly Private and Confidential By virtue of the nature of their role, advisers will have access to their client’s personal and financial information. In addition to the legislated privacy requirements that apply to such information, the obligation of confidentiality also forms part of the ethical requirements an adviser must observe as part of their general business practises. An adviser must not reveal any client information to a third party unless instructed to do so, in writing, by the client, or where required by law. The written authority of all clients will be required to release information that is held in a joint file. In the absence of such authority, only information relating to the particular client may be disclosed. These obligations extend to any employees or contractors working for the adviser. It is the adviser’s responsibility to ensure that this obligation is fully explained and understood by staff. Client files must be stored securely and should not be accessible to unauthorised persons. Special requirements apply to the retention and security of client’s tax file numbers. Failure to adhere to these key principles will be regarded as a serious business risk and may result in adviser suspension or termination. Important Notice to Clients In order for an adviser to make an investment and insurance recommendation they must have reasonable grounds for making that recommendation. This means that the adviser must conduct an appropriate investigation as to the financial situation and particular needs of the individual(s) concerned. The information requested in this fact finder is necessary to enable a recommendation to be made on a reasonable basis. Failing to provide information requested by your adviser may result in your commitment to a product or strategy that may not be appropriate to your individual needs and circumstances. The following document is quite detailed and will take some time to complete but it is an investment in your future as any recommendations we may make will be based on the information contained in this document. We ask you to have it fully completed for your initial interview with our adviser. By law any recommendation we may make to you has to be based on full and complete disclosure of all possible facts that you have supplied in this document. In preparation for the interview we require you to also have all existing and past superannuation documentation and current risk or insurance policies attached. . All details will remain confidential at all times. If you have any queries then please ring us on 02 4276 2557 for assistance. PLEASE COMPLETE IN BLACK OR BLUE PEN
Please read this carefully before proceeding Strictly Private and Confidential By virtue of the nature of their role, advisers will have access to their client’s personal and financial information. In addition to the legislated privacy requirements that apply to such information, the obligation of confidentiality also forms part of the ethical requirements an adviser must observe as part of their general business practises. An adviser must not reveal any client information to a third party unless instructed to do so, in writing, by the client, or where required by law. The written authority of all clients will be required to release information that is held in a joint file. In the absence of such authority, only information relating to the particular client may be disclosed. These obligations extend to any employees or contractors working for the adviser. It is the adviser’s responsibility to ensure that this obligation is fully explained and understood by staff. Client files must be stored securely and should not be accessible to unauthorised persons. Special requirements apply to the retention and security of client’s tax file numbers. Failure to adhere to these key principles will be regarded as a serious business risk and may result in adviser suspension or termination. Important Notice to Clients In order for an adviser to make an investment and insurance recommendation they must have reasonable grounds for making that recommendation. This means that the adviser must conduct an appropriate investigation as to the financial situation and particular needs of the individual(s) concerned. The information requested in this fact finder is necessary to enable a recommendation to be made on a reasonable basis. Failing to provide information requested by your adviser may result in your commitment to a product or strategy that may not be appropriate to your individual needs and circumstances. The following document is quite detailed and will take some time to complete but it is an investment in your future as any recommendations we may make will be based on the information contained in this document. We ask you to have it fully completed for your initial interview with our adviser. By law any recommendation we may make to you has to be based on full and complete disclosure of all possible facts that you have supplied in this document. In preparation for the interview we require you to also have all existing and past superannuation documentation and current risk or insurance policies attached. . All details will remain confidential at all times. If you have any queries then please ring us on 02 4276 2557 for assistance. PLEASE COMPLETE IN BLACK OR BLUE PEN
Client%20Fact%20Finder%20V36%202.07.18.docx