Your SMSF Fact Find
Before I make any recommendations, I need to ask you about and record your fund’s
financial situation and goals. This questionnaire is designed to record this information.
Your details
Client name
as Trustees for
Financial planner name
Ryan Low / Stephen Tangney
Completed by
Client
Financial planner
Super Fund
Client and Financial planner
Date
This Self Managed Superannuation Fund (SMSF) Fact Find forms part of the ongoing process of collecting and
analysing information pertaining to the fund’s circumstances. The information contained in this Fact Find forms a
critical component in providing advice to the trustees of the SMSF.
The Corporations Act requires that financial planners have reasonable grounds for providing financial advice
and investment recommendations.
Whilst you are under no obligation to provide AMP with the fund’s details, failure to do so may lead to
incomplete advice being provided.
We ask that you please take the time to read, understand and complete this Fact Find.
My financial advice to you will be based on:
 the answers you provide in this document;
 any other information we receive from you such as statements, fund regulatory returns, audit reports etc; and
 our discussions either by phone or face to face.
My contact details
Practice name:
Artisan Financial Services
Practice address:
283 Rokeby Road, Subiaco WA 6008
Phone:
08 9388 1404
Fax:
08 9388 1434
Email:
ryan@artisanfs.com.au / stephen@artisanfs.com.au
Website:
www.artisanfs.com.au
Authorised representative of AMP Financial Planning Pty Limited ABN 89 051 208 327 AFS Licence No. 232706
Privacy statement
Your privacy is important to us and to AMP Financial Planning. Our collection and use of your personal information will be according to
the AMP Privacy Policy Statement, which is available at www.amp.com.au or on request. The policy requires AMP companies and us to
respect the confidentiality of your information and your privacy. You can access information held by us or AMP companies by calling 131
267. You can also call this number if you do not wish to receive any information or offers available from AMP from time to time.
Your fund’s details
Fund name
Date established
Trustee type
Corporate
Individual
All members as Trustees
Single member fund
Complete if corporate
trustee
Directors of Trustee
company
Complete if individual
trustee
Trustee names
Address line 1:
Fund address and
contact details (if
different to your own)
Address line 2:
State:
Post code:
Phone:
Fax:
Email (preferred
address)
ABN
TFN
Date deed was last
updated
Member’s details
Member 1
Member 2
Member 3
Member 4
Name
Home address
(if different to the above
address)
Country of citizenship
Date of birth
Age
Retirement age
Health
Risk profile
Employment status
Occupation title
Industry
Member balance
Accumulation balance
Pension balance
Pension income pa
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Member’s insurance details
Existing insurance cover for current members
Member 1
Insurance type
Required insurance for future members
Member 2
Member 3
Member 4
Death only
Death only
Death only
Death only
Death and
disability
Death and
disability
Death and
disability
Death and
disability
Disability only
Disability only
Disability only
Disability only
Yes
Yes
Yes
Yes
Level of cover
Premium
Insurance product
Income protection
No
No
No
Waiting period
Monthly benefit
Benefit period
Premium
Insurance product
Notes (Fund details)
AMPFP SMSF Fact Find 7.0 Dec 2014
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No
What’s on your mind?
This section captures why you have come to see us and any concerns or goals you may have. This will allow
us to determine the funds needs and objectives and the advice we provide.
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Self-managed superannuation fund trustee responsibilities
There are a number of important considerations that need to be addressed before you decide to establish an SMSF.
The table below provides a framework for this discussion. Please tick off each of the below considerations to confirm
that you understand your trustee responsibilities.
To begin with, please make sure you consider the following before starting an SMSF:
 We recommend you read the information on self – managed super funds located on the ATO website at
www.ato.gov.au/super/self-managed-super-funds.
 Operating an SMSF means you are responsible for the ongoing management and compliance with
superannuation rules of your fund (not the adviser, accountant or any other investment professional).
 Make sure you have enough time and the appropriate skills to make the best investment decisions.
 Are you confident and knowledgeable enough to invest the fund’s money appropriately?
 Do you have enough money to set up an SMSF? (Generally $200,000 is accepted as enough to remain cost
effective).
 You will need to establish a trust deed and an investment strategy for the fund.
 Make sure you consider any insurance cover you should have in the fund and document the reason(s)
behind your decision in the fund’s investment strategy.
 Understand that you need to perform regular reviews of the investment strategy of the fund.
 Make sure a statement of financial position and an operating statement are prepared in respect of each
financial year.
 Do you understand what the consequences are if the fund is found non-complying?
 There are additional costs involved in running an SMSF each year, such as auditing, accounting and
actuarial costs. It is important that you understand all the costs involved in setting up and maintaining your
fund.
 All SMSFs are subject to an annual supervisory levy.
 Understand the rules. These include:

Acting honestly in all matters concerning the fund.

Exercising skill and diligence in managing your fund.

Acting in the best interest of all members.

Keeping the money and assets of your fund separate from other money (eg. your personal assets).

Retaining control over your fund.

Developing, implementing, and regularly reviewing an investment strategy.

Avoiding entering into contracts or behaving in a way that hinders you from performing your duties.
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If you don’t follow the rules, you risk one or more of the following:

Your SMSF being deemed non-compliant and losing tax concessions.

Being disqualified as a trustee.

Prosecution.

Other penalties.
 Understand that you won’t be eligible for statutory compensation (under superannuation law) if your SMSF
suffers from fraudulent conduct or theft.
 Be aware that you will not have access to the Superannuation Complaints Tribunal (SCT) to resolve any
disputes that may arise.
 Make sure you have enough time to meet your record keeping and reporting obligations. If you decide to
wind-up your fund in the future, there will be additional costs involved such as accounting, actuarial, auditing
and transfer costs to move assets out of the fund (e.g. stamp duty, brokerage and/or buy/sell costs).
Understand that you need to arrange regular reviews of the investment strategy of the fund (e.g. at each
trustee meeting or at minimum once within each financial year) and document your decision(s) (e.g. in the
minutes of trustee meetings or investment strategy).
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Objectives
From our discussions above we have been able to determine the following as the funds objective and determine
priorities for each and develop an appropriate timeline as a next step.
Timeframe
Advice objectives
Establish and implement an investment strategy for
your fund
Yes
No
Short
Medium
Long
Review and update your current investment
strategy
Yes
No
Short
Medium
Long
Ensure asset allocation is consistent with
investment strategy
Yes
No
Short
Medium
Long
No
Short
Medium
Long
Implement requested levels of cover for members
Yes
Acquire a particular asset/property
Yes
No
Short
Medium
Long
Cost effective solutions for ongoing administration
Yes
No
Short
Medium
Long
Improve tax effectiveness of your current
investments
Yes
No
Short
Medium
Long
Simplify the ongoing compliance with SIS
requirements
Yes
No
Short
Medium
Long
Ensure sufficient liquidity to meet expenses and
liabilities
Yes
No
Short
Medium
Long
No
Short
Medium
Long
Invest surplus cash fund
Yes
Other
Notes
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Priority
Investment objectives
Do you currently have an existing investment strategy (for existing
funds)?
Yes
No
If yes, do you currently have a target asset allocation guideline for the
fund ?
Yes
No
Unknown
If yes, please provide us with:


A copy of your fund’s investment strategy
The target asset allocation range stated in your investment strategy in the following table:
Sector
Percentage range
Benchmark (if applicable)
Defensive asset sub-classes
Cash
Australian fixed interest
International fixed interest
Total defensive assets
Growth asset sub-classes
Australian shares
International shares
Direct property
Listed property
Other
Total growth assets
Would you like to maintain your current investment strategy?
Yes
No
Yes
No
Do the members have specific investment requirements?
Yes
No
Are there specific asset classes the fund wishes to invest in?
Yes
No
Yes
No
For a new fund or existing fund that wants to change investment
strategy:
Would you like us to assist you with formulating an investment strategy
(for a new fund) or amending your existing investment strategy (for an
existing fund)?
If yes, please provide us with any objectives you would like to achieve for your fund:
Specific objectives
Diversification
If yes, please detail
Are there specific asset classes the fund wishes to avoid?
AMPFP SMSF Fact Find 7.0 Dec 2014
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If yes, please detail
Liquidity needs
Does the fund expect to pay a lump sum?
Yes
No
Yes
No
When do you expect this to happen? (insert date)
Does the fund expect to commence paying a pension?
When do you expect this to happen? (insert date)
Member 1
Member 2
Member 3
Member 4
Risk profile of members
Other specific investment objectives
(please list)
General objectives
To invest around 100% of the fund’s assets in growth assets such as
property and shares
To invest around 85% of the funds assets in growth assets such as
property and shares
To invest around 70% of the funds assets in growth assets such as
property and shares
To invest around 50% of the funds assets in bank or fixed interest
securities, with the remainder in growth assest such as property and
shares
To invest the majority (ie around 70%) of the funds assets in bank and
fixed interest securities
To invest around 30% of the funds assets in growth assets
To invest around 100% of the funds assets in cash
Other general investment objectives
(please list)
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Assets
Direct property assets
The fund does not hold property at this time
Property address
Purchase
date
Original
purchase
price
Estimated
market
value ($)
Gross
income
($ pa)
Gross
expenses
($ pa)
Retain
Yes
No
Yes
No
Yes
No
Where relevant, please include acquisition details for Capital Gains Tax implications in the notes section that follows.
Cash / fixed assets
The fund does not hold any cash/fixed interest assets at this time
Description
Market value ($)
Interest rate /return (%)
Retain
Yes
No
Yes
No
Yes
No
Yes
No
Other investment assets (eg shares, managed investments)
The fund does not hold any investments at this time
Investment name
Account
number
Expected
income
Purchase
date
Cost base
Market
value
Service name
Investment name
Investment name
Service name
Investment name
Investment name
Service name
Investment name
Investment name
Direct investment
name
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As at date
Inflows/ expenses
Annual fund inflows
Category
Amount ($)
Contributions (regular)
Concessional
Non-concessional
Contributions (lump sum)
Concessional
Non-concessional
CGT exempt
Rollovers
Investment income
Rental income (pa)
Borrowings
Other
Total fund inflows
Annual fund expenses
Category
Amount ($)
Accounting/Admin fees
Description
Description
Description
Deductible expenses
Description
Description
Description
Non-deductible expenses
Description
Description
Insurance premiums
Taxation liabilities (est)
Pension payments
Loan repayments
Other
Total fund outflows
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Professional advisers
The fund has no professional advisers
Professional adviser type:
Name
Company
Phone number
Fax number
Email address
Address
PO Box
Street No.
Street name
Suburb
State
Postcode
State
Postcode
State
Postcode
Professional adviser type:
Name
Company
Phone number
Fax number
Email address
Address
PO Box
Street No.
Street name
Suburb
Professional adviser type:
Name
Company
Phone number
Fax number
Email address
Address
PO Box
Street No.
Suburb
AMPFP SMSF Fact Find 7.0 Dec 2014
Street name
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Your acknowledgment – Please read this information carefully
Please select the appropriate responses below:
I/We confirm I/we have been given a copy of the Financial Services and Credit Guide (FSCG) version no.
and had it explained to me/us.
In particular, my/our attention has been drawn to:
- The types of services that have been offered to the fund.
- The payments and other benefits my/our planner and AMP Financial Planning may receive for providing
those services.
- Payment for advisory services by commission depends on products being recommended.
- Advice will only be provided on the products and services approved by AMP Financial Planning.
I/We had the opportunity to ask questions about the Financial Services and Credit Guide before proceeding
with financial planning services.
I/We have read the privacy statement in this document. I/We agree to the fund’s information being collected
and used (including
shared with related companies of AMP Financial Planning Pty Limited) in accordance with the AMP Privacy
Policy Statement.
Also:
- The information in this document is an accurate and complete record of the information.
- I/We have read and understood the warnings above.
- I/We authorise AMP Financial Planning and my/our planner to collect, use and retain the fund’s tax file
number and ABN for financial
planning purposes
Document checklist
For existing SMSFs, have you provided a copy of any of the following:
Investment strategy
Last fund tax return
Last audit report
Trust deed
Client
This SMSF Fact Find was completed with information gathered during our meeting and from subsequent
conversations.
Trustee signature 1

Date
Trustee signature 2

Date
Trustee signature 3

Date
Trustee signature 4

Date
Planner’s declaration
This is an accurate and complete record of the information obtained from the client.
Planner’s signature
Date

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Plan preparation fee
Payment options
I/we agree to pay my/our financial planner a plan preparation fee of $
, including GST:
Option 1
for the preparation of advice for the
Super Fund regardless of the
trustee(s) decision to proceed with any recommendations made;
OR
Option 2
only if the trustees do not go ahead with the recommendations nominated in the Statement of
Advice.
Trustee 1
Name
Signature

Date
Trustee 2
Name
Signature

Date
Trustee 3
Name
Signature

Date
Trustee 4
Name
Signature

Date
Financial planner
Planner name
Signature

AMPFP SMSF Fact Find 6.0 August 2014
Date
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