2: Research

CSR is expected to complete the enquiry form and has requested for the documents.

Financial Adviser assigns tasks to the CSR:

Third Party Authority:

Enter Client Details here

Review Information entered and send the ATA

If client's fund is a Super, proceed to step 7 if Insurance, proceed to step 16

Prepare Super Enquiry Form:

Fund Overview and Fund details

Tax Components and Preservation

Contributions

Investment Options

Beneficiary Nomination

Insurance

Fees

General Checklist

Prepare Insurance Enquiry Form:

Fund Overview and Fund details

Policy Details

Life / TPD

Trauma / Income Protection

Business Expense

Premiums

Checklist

Run Strategy Template for the Client:

Financial Adviser assigns tasks to the CSR:

The Financial adviser / CSO will assign task to the CSR either through Slack messages or during their daily huddle in the morning.

Third Party Authority:

1

Send TPA and certified ID to fund provider.
2

Call provider to check if TPA and certified ID is uploaded.

Enter Client Details here

Client Name

Date of Birth

Fund Provider

Account Number

Review Information entered and send the ATA

Check all client details/documents are available

1

Check address and DOB matches the details in Portal and COIN.
2

Print IDs for Adviser to certify
3

Once certified, scan the ID with the Authority to access form and save in the IDs folder as First Name, Surname - ID (certified) date ---- Do not forget the star stamp and date.
4

Check super fund directory. Path is s:/Zammit/External super fund directory. If the fund is not listed, contact fund provider and enter details on directory.
5

Send email to the fund with attached certified ID. (insert sample email screenshot or template).

1

Coin file note - set up as a task and comment as per the following example "email authority for Rose to Plum super and emailed Cbus for Paul. Confirmation emails received from both super funds." (Insert here how to add task and comment)

If client's fund is a Super, proceed to step 7 if Insurance, proceed to step 16

Prepare Super Enquiry Form:

Complete the Super Enquiry Form and go through the checklist as you go along and gather information on the client's existing fund.

Download form here

Fund Overview and Fund details

1

All fields are completed using correct convention/format.

Tax Components and Preservation

1

All fields are completed using correct convention/format.
2

The preservation components should be equal to the balance of the fund.
3

The tax components should equal to the total balance of the fund.

Contributions

1

All types of contribution through various financial years as required by planner are complete.
2

Figures using correct format ($ sign, separated by commas and period), if no contribution made place $0 instead of leaving a blank field.

Investment Options

1

Investment Choice has complete investment name.
2

The investment options allocation should equal 100% or to the balance of the fund.
3

Make sure fees include the frequency.

Beneficiary Nomination

1

Make sure appropriate boxes are checked and relevant information entered.
2

The beneficiaries percentage proportion is equal to 100%.

Insurance

1

Insurance information inside Super is completed, if none then remove section.

Fees

1

ll applicable fees are entered including frequency. If fee is not on the list then add fee type and remove irrelevant fields.

General Checklist

Use checklist below to ensure all details are entered correctly

1

Make sure appropriate fields are completed.
2

Run spell check to make sure no typographical error.
3

Remove irrelevant or ‘not applicable’ sections.
4

Follow correct formats: date (DD/MM/YYYY), contact number (xx xxxx xxxx), amounts (use dollar sign and commas).
5

Use page break option to prevent splitting table.