CSR is expected to complete the enquiry form and has requested for the documents.
1
Financial Adviser assigns tasks to the CSR:
2
Third Party Authority:
3
Enter Client Details here
4
Review Information entered and send the ATA
5
If client's fund is a Super, proceed to step 7 if Insurance, proceed to step 16
6
Prepare Super Enquiry Form:
7
Fund Overview and Fund details
8
Tax Components and Preservation
9
Contributions
10
Investment Options
11
Beneficiary Nomination
12
Insurance
13
Fees
14
General Checklist
15
Prepare Insurance Enquiry Form:
16
Fund Overview and Fund details
17
Policy Details
18
Life / TPD
19
Trauma / Income Protection
20
Business Expense
21
Premiums
22
Checklist
23
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
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.