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Client/Group Name
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Advisor Name
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Referral Source
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Client Manager (if known)
Select
Hamish
Matthew
Jenny
Janine
David
Megan
Karl
Richard
Diana Philips
Gael Hansby
Nick P
Hilton
Nicole
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What services are being provided? Please list services and any quote prices per service. For instance, 6 x GST prep @ $50 each
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Provisional Tax Basis
Select
Standard
AIM
Ratio
None
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Would the client like a Fixed Price Agreement per your quote above?
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For FPA, what deduction date would the client prefer?
Select
20th of the Month
30th of the Month
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Have you provided the client with a Direct Debit Form to sign?
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AML Risk Assessment Completed, please select relevant option below;
Select
Yes
N/A
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AML - A (Acting as a formation agent of company or Trust?)
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AML - B (Acting as Nominee Director/Shareholder/Trustee?)
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AML - C (Providing Registered Office or Business Address?)
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AML - D (Managing funds/linked to IRD?)
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AML - E (Giving instruction regarding Real Estate Transaction?)
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Length of Business Relationship
Select
Less than 12 months - Score 3
Between 1-3 years - Score 2
More than 3 years - Score 1
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Industry Risk Level
Select
High Risk - Score 3 eg. Cash intensive, importing/exporting, high value, construction, currency exchange,
Medium Risk - Score 2 eg. Automotive, Restaurant
Low Risk - Score 1 eg. Dairy Farm
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Any business dealing in these countries? Islamic Republic of Iran, North Korea, Afghanistan, Syria, Myanmar, Yemen, Mali, Somalia, South Sudan, Haiti, Libya, Turkey, Nicaragua, Russian Federation, Democratic Republic of Congo, Philippines, Iraq, Pakistan, Lebanon, Zimbabwe, Panama, West Bank (Palestinian Occupied Territory), Gaza Strip, Venezuela, Albania, Morocco, Burkina Faso, Uganda, Senegal, Jamaica, Jordan, Barbados, Cambodia, United Arab Emirates, Cayman Islands.
Select
Yes - Score 3
No - Score 1
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Any significant changes to the business?
Select
Yes - Score 3
No - Score 1
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Is client high-net worth? (Over $1mil liquidated assets)
Select
Yes - Score 3
No - Score 1
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AML - Risk Level (add all values together)
Select
LOW - Score 5-7 per Survey
MEDIUM - Score 8-10 per Survey
HIGH - Score 11+ per Survey
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AML - Nature & Purpose please complete all of the following questions
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Why has client decided to engage in services with Matley?
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What is the client’s occupation or industry type?
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What types of transactions does the client expect to conduct through Matley's trust account (if applicable)?
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What is the client’s expected value, volume and velocity of transactions?
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Does the client expect to send or receive transactions or funds from overseas?
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If you have recommended a Xero subscription to your client, what product have your recommended?
Select
No recommendation
Ledger
Non-GST Cashbook
GST Cashbook
Xero Starter
Xero Standard
Xero Premium
Other - See Comments
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Onboarding Charge - I have made the client aware of the Onboarding & AML Charge to meet AML, set up and basic Xero requirements. How much have you quoted for the onboarding & AML charge?
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General Notes
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Address
Send
Message Sent.
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