PARAPLANNING REQUEST FORM
Email to: ParaplanningRI@syd.retireinvest.com.au
Fax to: 02 9373 4770*
*When faxing, please ensure you send an email to the Paraplanning Inbox so we may follow up your request
This form is to assist us with the preparation of your Clients Statement of Advice (SoA).
We appreciate you taking the time to complete the entirety of this form and provide all
necessary detail and documentation. Any omission of information will impact your statement
Your clients SoA will be completed within 7 working days of all relevant information being
received by the Paraplanning Inbox.
Client/ Entity Name:
Office (RI/FING/INGFP): Date Sent:
Contact Name: Contact Phone:
What Documentation have you provided?
Completed PFP (Must be provided) Relevant File Notes Fund Mgr Statements
What Service do you require?
Comprehensive SoA SoAA RoA RoT Transition SoA
Brief Strategy Required:
Rollover SMSF Contribution to superannuation
Retirement Income Stream TTR Centrelink
Lump Sum Investment Gearing Insurance
Basis of Advice
Why has the client come to you for advice?
Date of client signature on Letter of Engagement
Refer LOE or:
What are the areas of advice the client has requested?
I have completed the Needs and Objectives section of the PFP or (Please complete):
Client Financial Goals & Objectives:
To set aside $ to cover anticipated major expenses over the next years.
To generate an after tax income of $ pa, to cover your estimated living expenses.
To maintain the capital value of funds and, if possible, achieve capital growth over the
long term at least in line with the rate of inflation.
To legally minimise tax.
To have the flexibility to alter your portfolio should your circumstances or financial
objectives change or if there are changes in economic conditions or relevant legislation.
To have access to $ in case of unexpected expenses or emergencies.
To maximise/access Social Security benefits if eligible.
To accumulate assets by investing some of your excess income on a regular basis.
Other – please list:
OR I have completed the PFP in detail
Outline the strategy discussed with the clients.
I would like advice on appropriate strategies
Please refer to file note
Identification of key issues or problems
Briefly include risks discussed.
Please detail types of insurance and level of cover required. If insurance advice is not being
given please detail reasons e.g. client did not wish to receive advice, retirees so not required,
other (please detail). Please ensure you tick 1&2 or 3 where insurance is recommended.
I have attached quotes for recommended levels of cover
Risk Analysis has been provided
I would like paraplanning to provide me with a risk analysis.
Risk is excluded from the advice
Estate Planning Recommendations
If estate planning advice is not being given please detail reasons e.g. client did not wish to
receive advice, have arranged review with their solicitor already, other (please detail).
Review Will Establish Will Establish Enduring PoA Establish Binding Nom.
Estate Planning is excluded from advice
Recommended Platform: (Please tick and circle Super/AP/Inv or TAP)
Colonial First Choice (Super/AP/Inv) Colonial First Choice Empl Super
Colonial First Choice Wsale (Super/AP/Inv) ING Corporate Super
ING Integra Superannuation ING Life Tax Effective Investment Bond
ING OA (Super/AP/Inv) MLC MstKey Business Super
Navigator (Super/AP) Optimix (Super/AP/Inv/TAP)
Perpetual Wealth Focus (Super/AP/Inv/TAP) Other:______________________
Specify products / life companies you want to
Investment Name Owner Amount ($ or %)
1. Provide reasons for Selling existing investments - details of current MER’s and Exit
2. Provide reasons for Retaining existing investments
Existing Product Recommended Product
Reasons for Selling / Buying
Benefits lost (i.e. loss of
insurance, loss of membership
Entry fee (NB: For ‘Nil Entry
Fee’ products you will need to
detail other fees that will/may
New Management Expense
The difference between the
MER fee associated with your
other ongoing fees
Other consequences (i.e. an
increase in ongoing
commissions, CGT implications,
Centrelink, tax-offsets, reduction
in ‘deductible amount’, etc. You
may also wish to add any
consequences – this is optional)
Products not on the Recommended List: Please list and include comments:
Fees, Commissions and Soft Dollars (charged to your client)
SoA Preparation Fee:
Adviser Service Fee:
Fee for Service:
Which one of the following 'Adviser Type'
categories you fall into:
B. Employed Adviser
C. FING Adviser
Which one of the following 'Remuneration Type'
categories apply for you:
A. Salary Only
B. Salary & Bonuses
C. Salary & Commission
D. Commission Only
Indicate Dealer, Franchise & Authorised Dealer Franchise Authorised
Representative Splits (%): Rep
Referral Payment to be made:
Soft Dollar Arrangements:
Planner: Please sign here
Please provide signature details (Post nominals, qualifications, memberships):
PLEASE NOTE THAT THE BELOW CHART CANNOT BE AMENDED. PLEASE USE THE
‘SOURCE AND USE OF FUNDS CHART FOUND ON THE INTRANET’
Example Source & Application of Funds
Bank SA Savings Account Bank SA Savings Account
Cash Management Trust
Term Deposit National Mutual
$180,000 Australian Income Fund
15 Year Complying Annuity
Annual / Long Service Funeral Bond
Leave Payment $5,000 (Bob)
Share Portfolio Share Portfolio
$20,250 $85,000 (Joint)
Superannuation Benefit RetireInvest
$159,300 Personal Income Plan