Sunsuper National Advice Panel (NAP) Expression of Interest

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Sunsuper National Advice Panel (NAP)
Expression of Interest
Sunsuper Pty Ltd
30 Little Cribb Street Milton QLD 4064
ABN 88 010 720 840 AFSL No.228975
GPO Box 2924 Brisbane QLD 4001
13 11 84
sunsuper.com.au
twitter.com/sunsuper
Sunsuper - National Advice Panel (NAP)
| Panel Selection Document 1
linkedin.com/company/sunsuper
Introducing Sunsuper
Sunsuper is a public offer super fund based in Brisbane,
Queensland. It was established in 1987 as a multi-industry
fund and currently looks after the super needs of over
85,000 employers and more than 1 million members.
Sunsuper is one of the top 10 super funds in Australia.
As a profit for members fund we have no shareholders to
pay, so profits are shared directly with our members through
lower fees and improved services.
Sunsuper’s size and year-on-year growth is testament to
the fact that we continue to deliver outstanding results
for both employers and members. We currently have
approximately $30bn in Funds Under Management.
We’re Australia’s most awarded fund
Sunsuper was voted SuperRatings Fund of the Year and
Money magazine’s Best of the Best Super Fund Manager
for both 2012 and 2013. Funds were assessed across 400
different criteria including member services, investment
performance, financial advice and fees and Sunsuper was
confirmed as the benchmark for other funds to aspire to.
In addition, Sunsuper also regularly receives the highest
ratings possible from a number of other respected
superannuation ratings agencies:
Sunsuper products
Sunsuper offers a range of products designed to suit the
various stages of members’ lives:
Super-savings account
Our standard account, available with standard or tailored
insurance cover, if the member is eligible. Our default
offering, the Lifecycle Investment Strategy, is a MySuper
approved product. We were the first super fund in Australia
to secure approval for a MySuper product.
Income account – Transition to retirement
Available for members aged between 55 and 65 who have
reached their preservation age and wish to boost their
income before retirement.
Income account – Retirement
Provides a regular income for members over 55 years of
age who have reached their preservation age and who are
permanently retired.
Sunsuper standards
As one of Australia’s most awarded super funds, we
expect all our employees and partners to work to the
highest professional standards. We pride ourselves in
providing open, informative and trustworthy services our
members can rely on.
Financial practices appointed to the Sunsuper National
Advice Panel (NAP) will play a key role in delivering a high
level of quality services to members.
See for yourself how Sunsuper compares
To see for yourself what makes Sunsuper so successful,
take a look at a super funds rating house comparison tool
such as the Chant West Super Apple Check.
2 Expression of Interest | Sunsuper - National Advice Panel (NAP)
National Advice Panel Introduction
What is the Sunsuper National Advice Panel?
Ongoing requirements.
The arrangement will comprise an exclusive panel of expert
financial services professionals who Sunsuper will partner
with to refer our members for advice services.
Sunsuper will require ongoing reporting around compliance
obligations and advice provided to our members. This will
include regular compliance declarations and annual reporting
on members we have referred to you.
Panel members may also be required to provide education
and seminar services to our large corporate clients.
Member’s best interest.
Why should I apply?
Whilst Sunsuper is a strong, market leading fund, we
recognise that serving each of our member’s best
interest is paramount. Where you believe a member’s best
interests can only be met by partial or full closure of their
Sunsuper account, you must notify Sunsuper prior. Sunsuper
will respect your professionalism in this regard.
Sunsuper has more than 1 million members. If successfully
appointed to our National Advice Panel, you will have the
opportunity to provide advice to our members via a formal
referral arrangement.
Many external financial planners already deal with
Sunsuper, however practices appointed to our panel will
benefit from having a preferential relationship including
specialised product training packages, dedicated contacts
within Sunsuper and the ability to deduct advice fees
from a member’s account.
Next steps.
To proceed, please complete the online application process.
We will review, conduct our own due diligence and let you
know the outcome and next steps. If you have any queries in
relation to your application or the advice panel, please don’t
hesitate to contact us on 1800 074 808.
What would the member referral arrangement
look like?
We look forward to receiving your completed application.
While our member balances range from the very small to the
very large, we would typically refer members to you where
their advice needs are identified as being beyond the scope
of our in-house advice capability and/or our members are
located in areas where Sunsuper does not currently have
face-to-face presence.
As we only have a limited number of panel positions
across Australia, we recommend you complete the
application process as soon as possible.
Education and seminar services.
Panel members may be invited to provide on-site education
and seminar services to employees of our corporate plans.
What conditions will apply to advice provided?
Sunsuper’s basic expectation is that our referrals will receive
your prompt and professional attention, with practices
operating a fee-for-service payment model for our members.
The advice fees may be deducted from member accounts
where the Sunsuper trustee is satisfied that the sole
purpose test has been met.
Our Sunsuper Financial Advice Services Agreement will
specify full conditions, including fee bands for initial and
ongoing advice.
Sunsuper - National Advice Panel (NAP) | Expression of Interest 3
Commercial-In-Confidence
Sunsuper National Advice
Panel Application Form
This form should be used to provide your expression
of interest for appointment to the Sunsuper National
Advice Panel.
This form has two parts:
Part A: Practice Application
Part B: Planner Application(s)
If your practice has more than one planner who wishes
to receive Sunsuper referrals, please ensure that a part B
proforma is completed by each planner.
If you have any queries in relation to your application,
please contact us on 1800 074 808.
4 Expression of Interest | Sunsuper - National Advice Panel (NAP)
Part A: Practice Application
Business (Practice) Details
Practice Business Name:
Practice key contact / Practice Manager:
Trading Name:
ABN:
Business address first line:
Business address suburb:
Business address postcode:
Postal address first line:
Postal address suburb:
Postal address postcode:
Website address:
Business telephone:
Business admin email:
Practice Principal Contact Details
Practice Principal name:
Practice Principal name:
Preferred name:
Preferred name:
telephone:
telephone:
email:
email:
mobile:
mobile:
AFSL Details*
AFSL holder name:
AFSL number:
Licensee contact name:
Licensee contact telephone:
Licensee contact email:
*Please also attach a copy of your current AFSL Financial Services Guide and license conditions
Sunsuper - National Advice Panel (NAP) | Expression of Interest 5
Business Description
Short business description.
(To introduce your practice to our
Sunsuper staff in not more than
35 words.)
How many years has your business
been operating?
Practice specialisations?
The ability to provide advice about
super & non-super investments,
personal insurance and wealth
creation is assumed.
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Aged Care & Centrelink Advice
Business Insurance
Debt Management & Borrowing
Direct Equities Advice
Investments (Super and non-Super)
Overseas Pensions
Salary Packaging
SMSF Advice
Taxation & Accounting Services

Other ___________________________________
Service Capability
Total financial planning staff
(Principal/planners & support staff)?
Full-time equivalent Planners:
Full-time equivalent Support:
Number of existing financial
planning clients?
Typical existing client profile.
(Outline the relevant features of the
typical new or existing client served
by your practice.)
6 Expression of Interest | Sunsuper - National Advice Panel (NAP)
Fee for Service
Does your practice operate under a
fee-for-service model?
No
Do you receive commissions from any
financial products?
No
 Yes
 Yes. Please explain:
Sunsuper - National Advice Panel (NAP) | Expression of Interest 7
Part B: Principal/Planner Application
Please complete additional copies for additional planners.
Section 1. Experience and Qualifications
Full name and current ARN?
Name:
ARN:
Number of years relevant experience as a
financial planner?
Description of your existing personal
client demographic and current
strategies and products typically
recommended.
Please list your academic and other
relevant qualifications.
Please list current memberships of
relevant professional bodies.
8 Expression of Interest | Sunsuper - National Advice Panel (NAP)
Section 2. Service Capability
Planner specialisations?
In terms of the ‘best interest’ safe harbour step
of assessing expertise to provide the advice
required (Corporations Act section 961B(2)
(d)) please indicate whether you have the
expertise to provide the client advice in each
advice specialisation.

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Super & non-super investments
Personal insurance
Wealth creation
Aged Care & Centrelink Advice
Business Insurance
Debt Management & Borrowing
Direct Equities Advice
Investments (Super and non-Super)
Overseas Pensions
Salary Packaging
SMSF Advice
Taxation & Accounting Services
 Other ___________________________________
I am appropriately authorised by my AFSL to
provide the advice indicated above.
No
 Yes
If yes, you will be required to provide a copy of your
representative FSG at a later date.
Complaints history.
No
Has any complaint about your advice or
conduct ever been dealt with by an External
Dispute Resolution Body in the last five years?
 Yes
Compliance history.
No
Has a material compliance issue about your
advice or conduct ever arisen?
 Yes
Section 3. Supporting documents
The following supporting documents will need to be provided at a later date:
Current professional body memberships
AFSL Adviser Profile if available
AFSL or Practice Complaints Register if available
Sunsuper - National Advice Panel (NAP) | Expression of Interest 9
Part B: Principal/Planner Application
Please complete additional copies for additional planners.
Section 4. Principal/Planner Personal Declaration
(If answering yes to any question please attach a note outlining the circumstance.)
Yes No
In the past 10 years I have been (please tick):
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Refused an ASIC Dealers License or Australian Financial Services License or had one varied,
suspended or revoked.
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Convicted of an offence in relation to dishonesty, misappropriation or fraud.
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Convicted of an offence for which the maximum penalty is imprisonment for a term exceeding six
months.
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A director of a company that has gone into voluntary liquidation, or to which a Receiver, a
Provisional Liquidator, a Liquidator, a Scheme Manager or an Official Manager has been appointed
while I was a Director.

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A defendant or respondent in a regulatory agency or self-regulatory organisation proceeding
or the subject of a regulatory or self-regulatory organisation inquiry or investigation.
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An undischarged bankrupt or ever declared bankrupt.
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Refused professional indemnity insurance cover.
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A defendant or respondent in a civil action, which includes but is not limited to, any lawsuit,
arbitration, conciliation or mediation, relating to my professional business, or personal conduct.
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The subject of a claim in relation to professional indemnity insurance or any complaint made
to an external complaints resolution scheme.
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The subject of disciplinary proceedings or investigations by any professional body or association.
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Engaged in unethical conduct prejudicial to the interests of the FPA.
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Dismissed or had a proper authority / Authorised Representative or life insurance agency
withdrawn on ethical or legal grounds.
10 Expression of Interest | Sunsuper - National Advice Panel (NAP)
Section 5. Referees
Please provide contact details for business referees and existing clients as follows:
Business Referee 1:
Business Referee 2:
Client Referee 1:
Client Referee 2:
Section 6. Privacy Statement
Sunsuper collects and stores your personal information for the purpose of assessing your application to the Sunsuper
NAP and this will not be used for any other purpose without your consent.
Disclaimer and disclosure:
This document has been prepared and issued by Sunsuper Pty Ltd, ABN: 88 010 720 840 AFSL No: 228975, referred to as ‘Sunsuper’.
Sunsuper - National Advice Panel (NAP) | Expression of Interest 11

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