Establishment of a New Fund

IMPORTANT: If this application includes the establishment of a new corporate trustee we cannot begin unless each new director’s Director Identification Number is supplied where requested. Also, we will need either a copy of a drivers licence or a passport for each trustee/director to be uploaded with this application. Lastly, if this application is for a QROPS fund or for a fund where a limited recourse borrowing is intended, the corporate trustee option is mandatory. If you have any questions please do not hesitate to contact us via our portal or on email at customercare@smsfalliance.com.au or on 1300 809 933.

If you have any questions please do not hesitate to contact us on 1300 809 933.

Includes the application for a new corporate trustee if required

"*" indicates required fields

Fees are to be paid upon submitting your application unless SMSF Alliance is administering the fund AND there is a prior agreement for the fees to be debited from the fund when cash is available. Individual Trustee SMSF - $390, Corporate Trustee SMSF - $1,128, QROPS Approved SMSF - $502 added to the cost of the Corporate Trustee SMSF.

ORDER DETAILS:

Name of Person Completing this Form*

First Last

Submitter's Email Address*

This email address will receive a confirmatory email when this form has been successfully submitted.

Phone Number*

Are you*

an adviser to the proposed trustees

a proposed trustee

How did you find us?

Referred by an adviser

Referred by a mortgage broker

Web Search

Other

Referrers Name

Email Address

Phone Number

Are you completing this form on behalf of the adviser?*

Yes

Adviser Name*

The adviser will receive a copy of the form on submission.

First Last

Adviser's Email Address*

Are you an existing adviser with us?*

Yes

Adviser Company Name*

Adviser Phone*

Adviser Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Is the postal address the same as the Street Address?*

Yes

Adviser postal address*

Are you the main contact*

Yes

Nominated Contact Details - Name*

Please let us know who the main contact is.

Nominated Contact Details - Email Address*

Phone Number*

FUND DETAILS:

Proposed Fund Name:*

Is SMSF Alliance to be the Administrator for this Fund?*

Yes

Administration Email Contact Details*

During the administration process SMSF Alliance will raise queries for the fund trustees to answer. Whenever this occurs, an email alert will be sent to the email address you nominate. What is that address?

Administration Postal Contact Details*

What is the postal address for the Fund?

PO Box Number or Street Number City State / Province / Region ZIP / Postal Code Country

Even though SMSF Alliance will not be administering this SMSF, would you like us to register it with the ATO for you?*

If so, we will need the details of the tax agent.

Yes

Has the tax agent agreed to accept this appointment?*

Yes

As the tax agent needs to agree, we cannot apply for the ATO Registrations for this SMSF. Please arrange for the Tax Agent to do so once you have received the fund establishment documentation.

Tax Agent Name*

Tax Agent Registration Number*

Tax Agent Phone Number*

Tax Agent Email*

Tax Agent Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Which Service/Pricing Option will apply?*

If you are unsure choose Platinum.

Platinum

Gold

Would you like us to open the fund cash account?*

If you select this option we will open a Macquarie CMA under your adviser code and send you the required documentation with the Establishment Pack. We will need a copy of either the driver's licence or passport, for each director/trustee, to be uploaded to us before we can open the account. Note that a downside of our opening the account for you is that you will not be able to track any Macquarie processing delays directly with them. If you do not require us to open the account, please notify us of the account details as soon as possible so that we may complete the Establishment Pack authorisations.

Yes

Would you like us to open the fund cash account?*

If you select this option we will open a Macquarie CMA and send you the required documentation with the Establishment Pack. We will need a copy of either the driver's licence or passport, for each director/trustee, to be uploaded to us before we can open the account. Macquarie will then be in touch with you to complete the process.

Yes

In addition to the cash account, do you also require an Accelerator Account?*

Yes

Adviser Company Name listed with Macquarie

Macquarie adviser code & company code?

Please provide us your Macquarie adviser code & company code if you would like us to set up enquiry authority for your firm upon fund set up.

What access do you require for the Macquarie account?

Please choose an option for your access, if no option is chosen we will automatically elect enquiry only.

Enquiry only

Full transactional authority

Is the fund to be registered for GST?*

Additional yearly fees apply.

Yes

Is the fund to be registered for GST?*

Yes

Is BAS reporting to be yearly or quarterly?*

Additional yearly fees apply.

Yearly is $168 per annum currently

Quarterly is $280 per annum currently

Does the Fund require QROPS status?*

Funds should only be registered for QROPS status if there is UK pension money to be transferred to the SMSF. Additional fees are incurred for QROPS registrations. Also, a corporate trustee is mandatory.

Yes

Have we supplied you with an order code specific to your brand?*

Yes

What is the code?*

What was the date of leaving the UK for Tax Purposes?*

National Insurance Number - Member 1

National Insurance Number - Member 2

Contact Name for HMRC*

Contact name for you/your firm to have on HMRC documentation.

First Last

Email Address to register with HMRC on application*

This is usually an adviser email address, possibly a communal mail box, to ensure HMRC have a permanent address to send notifications.

Postal Address for HMRC Registration*

This is usually the adviser's address, not the trustee.

Street Address Address Line 2 City State / Province / Region ZIP / Postal Code Country

Government Issued Identification*

Please provide a copy of one Government issued identification document (driver's licence, passport, etc) for each member or director. Note that this DOES NOT include a copy of the DIN acknowledgement.

Drop files here or

Accepted file types: pdf, png, jpg, Max. file size: 5 MB.

Trustee Option:*

Note that SMSFs requiring QROPS approval must have a Corporate Trustee.

Individual Trustee

Corporate Trustee

How many Members/ Trustees?*

Member 1 Name*

Prefix First Middle Last

Member 1 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Member 1 Mobile Phone Number*

Member 1 Email Address*

Member 1 Gender*

Male

Female

Member 1 Date of Birth*

Member 1 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require detail about the Industry as well.

Member 1 Town & Country of Birth*

City State / Province / Region Country

Member 1 TFN*

Trustee 2 Name*

Prefix First Middle Last

Is the street address for Trustee 2 the same as Member 1?*

Yes

Trustee 2 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Trustee 2 Mobile Phone Number*

Trustee 2 Email Address*

Trustee 2 Gender*

Male

Female

Trustee 2 Date of Birth*

Trustee 2 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require detail about the Industry as well.

Trustee 2 Town & Country of Birth*

City State / Province / Region Country

Trustee 2 TFN*

Member 2 Name*

Prefix First Middle Last

Is member 2 address the same as member 1?*

Yes

Member 2 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Member 2 Mobile Phone Number*

Member 2 Email Address*

Member 2 Gender*

Male

Female

Member 2 Date of Birth*

Member 2 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require detail about the Industry as well.

Member 2 Town & Country of Birth*

City State / Province / Region Country

Member 2 TFN*

Member 3 Name*

Prefix First Middle Last

Is member 3 address the same as member 1?

Yes

Member 3 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Member 3 Mobile Phone Number*

Member 3 Email Address*

Member 3 Gender*

Male

Female

Member 3 Date of Birth*

Member 3 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require detail about the Industry as well.

Member 3 Town & Country of Birth*

City State / Province / Region Country

Member 3 TFN*

Member 4 Name*

Prefix First Middle Last

Is member 4 address the same as member 1?

Yes

Member 4 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Member 4 Mobile Phone Number*

Member 4 Email Address*

Member 4 Gender*

Male

Female

Member 4 Date of Birth*

Member 4 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require detail about the Industry as well.

Member 4 Town & Country of Birth*

City State / Province / Region Country

Member 4 TFN*

Member 5 Name*

Prefix First Middle Last

Is member 5 address the same as member 1?

Yes

Member 5 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Member 5 Mobile Phone Number*

Member 5 Email Address*

Member 5 Gender*

Male

Female

Member 5 Date of Birth*

Member 5 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require detail about the Industry as well.

Member 5 Town & Country of Birth*

City State / Province / Region Country

Member 5 TFN*

Member 6 Name*

Prefix First Middle Last

Is member 6 address the same as member 1?

Yes

Member 6 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Member 6 Mobile Phone Number*

Member 6 Email Address*

Member 6 Gender*

Male

Female

Member 6 Date of Birth*

Member 6 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require detail about the Industry as well.

Member 6 Town & Country of Birth*

City State / Province / Region Country

Member 6 TFN*

Is Corporate Trustee already Established?*

Yes

Company Name*

Company ACN*

Would you like SMSF Alliance to become the Registered Agent?*

There is an additional yearly fee for SMSF Alliance to act as the Registered Agent & Address. We will also need the Company Register

Yes

Company Registered Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Preferred Name for New Corporate Trustee*

ASIC will not allow a name to match an existing company so please provide 3 names, in order of preference, in case your first or second choice is not available. Do not include Trust or Trustee in the name.

Option 1

Option 2

Option 3

Would you like SMSF Alliance to act as the Registered Agent?*

There is an additional yearly fee for SMSF Alliance to act as the Registered Agent & Address. We will also need the Company Register

Yes

Registered Address*

Street Address City State / Province / Region ZIP / Postal Code Country

How many Directors/ Members?*

Are ALL directors to be shareholders?*

We cannot establish a new corporation, under the Corporations Act, without at least one active member. An active member is a director who is also a shareholder.

Yes

List the names of all directors who WILL NOT be shareholders.*

Director 1 Name*

Prefix First Middle Last

Director 1 Any prior name/s?*

Yes

Director 1 What was the prior name?*

Director 1 Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Director 1 - SMSF Member?*

Yes

Director 1 - Gender*

Male

Female

Director 1 Date of Birth*

Director 1 Place of Birth*

Please include Town and Country

City State / Province / Region Country

Director 1 Email*

Director 1 TFN*

Director 1 Director Identification Number*

If the corporate trustee is an existing corporation, you may insert N/A. If it is not, the director identification number MUST be provided BEFORE THIS APPLICATION CAN BEGIN TO BE PROCESSED so if you don’t know it yet, please skip this question, complete the rest of the form and save it. Please DO NOT SUBMIT IT. On saving, you will be sent a link so you can return to the form, include the DIN, and submit it. (Note that the link will expire in 28 days.)

Director 1 Mobile phone number*

Director 1 - Is Director 1 a Company Secretary?*

At least one director must be a company secretary though there can be more than one.

Yes

Director 1 - Is Director 1 a Public Officer?*

At least one director must be a public officer though there can be more than one.

Yes

Director 1 - Is Director 1 a Shareholder?*

At least one director MUST be a shareholder.

Yes

Director 1 - Number of ordinary shares @ $1.00 per share

Director 1 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require details about the Industry as well.

Director 2 Name

Prefix First Middle Last

Director 2 Any prior name/s?

Yes

Director 2 What was the prior name?*

Director 2 - SMSF Member?*

Yes

Director 2 Gender*

Male

Female

Director 2 Date of birth*

Director 2 Place of Birth*

Please include the Town & Country

City State / Province / Region Country

Director 2 Email Address*

Director 2 Mobile Phone Number*

Director 2 TFN*

Director 2 Director Identification Number*

Director 2 Is the address the same as Director 1?*

Yes

Director 2 Street Address

Street Address City State / Province / Region ZIP / Postal Code Country

Director 2 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require details about the Industry as well.

Director 2 - Is Director 2 a Company Secretary?*

At least one director must be a company secretary though there can be more than one.

Yes

Director 2 - Is Director 2 a Public Officer?*

At least one director must be a public officer though there can be more than one.

Yes

Director 2 - Is Director 2 a shareholder?*

At least one director MUST be a shareholder.

Yes

Director 2 - Number of ordinary shares @ $1.00 per share

Director 3 Name*

Prefix First Middle Last

Director 3 Any prior name/s?*

Yes

Director 3 What was the prior name?*

Director 3 Gender*

Male

Female

Director 3 Date of Birth*

Director 3 Place of Birth*

Please include Town & Country

City State / Province / Region Country

Director 3 Email*

Director 3 Mobile number*

Director 3 TFN*

Director 3 Director Identification Number*

Is Director 3 Address the same as Director 1?*

Yes

Director 3 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Director 3 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require details about the Industry as well.

Director 3 - Is Director 3 a Company Secretary?*

At least one director must be a company secretary though there can be more than one.

Yes

Director 3 - Is Director 3 a Public Officer?*

At least one director must be a public officer though there can be more than one.

Yes

Director 3 - Is Director 3 a shareholder?

At least one director MUST be a shareholder.

Yes

Director 3 - Number of ordinary shares @ $1.00 per share*

Director 4 Name*

Prefix First Middle Last

Director 4 Any prior name/s?*

Yes

Director 4 What was the prior name?*

Director 4 Gender*

Male

Female

Director 4 Date of Birth*

Director 4 Place of Birth*

Please include Town and Country

City State / Province / Region Country

Director 4 Email*

Director 4 Mobile Number*

Director 4 TFN*

Director 4 Director Identification Number*

Director 4 - Address the same as Director 1?*

Yes

Director 4 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Director 4 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require details about the Industry as well.

Director 4 - Is Director 4 a Company Secretary?*

At least one director must be a company secretary though there can be more than one.

Yes

Director 4 - Is Director 4 a Public Officer?*

At least one director must be a public officer though there can be more than one.

Yes

Director 4 - Is Director 4 a shareholder?*

At least one director MUST be a shareholder.

Yes

Director 4 - Number of ordinary shares @ $1.00 per share*

Director 5 Name*

Prefix First Middle Last

Director 5 Any prior name/s?*

Yes

Director 5 What was the prior name?*

Director 5 Gender*

Male

Female

Director 5 Date of Birth*

Director 5 Place of Birth*

Please include Town and Country

City State / Province / Region Country

Director 5 Email*

Director 5 Mobile Number*

Director 5 TFN*

Director 5 Director Identification Number*

Director 5 - Address the same as Director 1?*

Yes

Director 5 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Director 5 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require details about the Industry as well.

Director 5 - Is Director 5 a Company Secretary?*

At least one director must be a company secretary though there can be more than one.

Yes

Director 5 - Is Director 5 a Public Officer?*

At least one director must be a public officer though there can be more than one.

Yes

Director 5 - Is Director 5 a shareholder?*

At least one director MUST be a shareholder.

Yes

Director 5 - Number of ordinary shares @ $1.00 per share*

Director 6 Name*

Prefix First Middle Last

Director 6 Any prior name/s?*

Yes

Director 6 What was the prior name?*

Director 6 Gender*

Male

Female

Director 6 Date of Birth*

Director 6 Place of Birth*

Please include Town and Country

City State / Province / Region Country

Director 6 Email*

Director 6 Mobile Number*

Director 6 TFN*

Director 6 Director Identification Number*

Director 6 - Address the same as Director 1?*

Yes

Director 6 Street Address*

Street Address City State / Province / Region ZIP / Postal Code Country

Director 6 Specific Occupation*

Please be as detailed as possible. We cannot accept "Manager" we require details about the Industry as well.

Director 6 - Is Director 6 a Company Secretary?*

At least one director must be a company secretary though there can be more than one.

Yes

Director 6 - Is Director 6 a Public Officer?*

At least one director must be a public officer though there can be more than one.

Yes

Director 6 - Is Director 6 a shareholder?*

At least one director MUST be a shareholder.

Yes

Director 6 - Number of ordinary shares @ $1.00 per share*

Confirmation Check*

I realise that this application cannot be processed unless I have nominated at least one company secretary AND at least one shareholder.

At least 1 company secretary and at least 1 shareholder have been nominated.

Any additional information?

Choice of Document Recipient for the Documents Ordered*

The hard copy must be executed by the trustees and returned to us in full. Please indicate your preferred hard copy recipient:

The hard copy will be sent to your business address. You will liaise with the trustees and return the executed documents to us.

The hard copy will be sent directly to the trustees for them to sign and return directly to us. Our accompanying letter will request that they contact you with any queries. (Note that an electronic copy of the documents is accessible in the portal for your reference.)

Document Signing*

As the hard copy must be executed by the trustees, and returned to us in full, we include a reply-paid satchel. When we have received them back, and processed them, we will send them back to you for safe keeping.

Acknowledged

We have 3 alternative client communication scenarios available via our purpose-built portal. 1. All communication goes to you, and you deal with us on your client's behalf. We do not contact your clients. 2. All communication goes to you. You choose, on an individual query basis, whether you answer it or assign it to your client to answer via their portal access. They can respond directly to us, and we will communicate with them, via the portal, on this query. 3. We contact your clients directly by default, via the portal. You maintain complete visibility over all conversations and can join them at any time.

Communication Option Required for Ongoing Administration*

Irrespective of which option you choose, until this fund is fully established on our systems, you will be our default contact.

1. Our queries go to you for you to answer.

2. Our queries go to you. You answer them or assign them to the trustee to answer.

3. Our queries go directly to the trustee. You maintain complete visibility and can join the conversation at any time.

4. You will decide later. Until then, our queries will go to you fo you to answer.

Once the transition process is complete, we will be in touch to finalise your communication choice.

How would you like forms, requiring client signatures, to be sent? (Establishment Documents will be sent via hard copy, this is for ongoing administration documents only).*

E-Signature documents will be sent to your office, so informing you of their contents, for release by you to the client for electronic signature. This will be the case IRRESPECTIVE of the communication option you have selected above. Portal sign documents will be uploaded to the portal for you to print and present to your clients or, if communication options 2 has been selected, to onforward to your clients for printing and signature. Hard copy is if you wish the documents to be posted to your office. This election will stay in place for all documents for the client unless otherwise notified.

E-Signature

Portal Sign

Hard Copy

Payment Summary

SMSF Deed with Individual Trustee

Price:

SMSF Deed with Corporate Trustee

Price:

SMSF Deed with Existing Corporate Trustee

Price:

QROPS Establishment Fee

Price:

Fee (inclusive of GST)

How will you be paying?

By Invoice

Credit Card

How will you be paying?

By Invoice

Credit Card

How will you be paying?

Fee Authority for a fund we administer

Credit Card

How will you be paying?

Credit Card

How will you be paying?

Credit Card

Card Details

Cardholder Name

How would you like the Establishment Fee dealt with?

Once the fund receives rollovers/ contributions the Establishment Fee can be paid back to the paying member or taken up as a Contribution for the member/s if eligible. If a refund is chosen, please note this should be done by the Trustees as soon as possible once monies have been received by the Fund.

Refunded back to the member once funds are received

Eligible Member Contribution within the caps

I'll decide later

Member Contributions

Please provide information on how the member contribution should be processed. ie. 100% to member 1, 50/50 split between member 1 & 2 etc