IDENTIFICATION FORM INDIVIDUALS & SOLE TRADERS
19 May 2017 version – Refer to FSC/FPA GUIDANCE - MANAGING AML/CTF AND FATCA/CRS CUSTOMER IDENTIFICATION OBLIGATIONS for conditions of use
Copyright © May 2017 Financial Services Council Limited and Financial Planning Association of Australia Limited
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SECTION 3: VERIFICATION PROCEDURE
Verify the
full name; and
their date of birth or residential address.
o Complete Part I (or if the individual does not own a document from Part I, then complete either Part II or III.)
o Contact your licensee if the individual is unable to provide the required documents.
PART I – ACCEPTABLE PRIMARY PHOTOGRAPHIC ID DOCUMENTS
Select ONE valid option from this section only
Australian State / Territory driver’s licence containing a photograph of the person
Australian passport (a passport that has expired within the preceding 2 years is acceptable)
Card issued under a State or Territory for the purpose of proving a person’s age containing a photograph of the person
Foreign passport or similar travel document containing a photograph and the signature of the person*
PART II – ACCEPTABLE SECONDARY ID DOCUMENTS –
should only be completed if the individual does not own a document from Part I
Select ONE valid option from this section
Australian birth certificate
Australian citizenship certificate
Pension card issued by Department of Human Services (previously known as Centrelink)
AND ONE valid option from this section
A document issued by the Commonwealth or a State or Territory within the preceding 12 months that records the provision of financial
benefits to the individual and which contains the individual’s name and residential address
A document issued by the Australian Taxation Office within the preceding 12 months that records a debt payable by the individual to the
Commonwealth (or by the Commonwealth to the individual), which contains the individual’s name and residential address. Block out the TFN
before scanning, copying or storing this document.
A document issued by a local government body or utilities provider within the preceding 3 months which records the provision of services to
that address or to that person (the document must contain the individual’s name and residential address)
If under the age of 18, a notice that: was issued to the individual by a school principal within the preceding 3 months; and contains the name
and residential address; and records the period of time that the individual attended that school
PART III – ACCEPTABLE FOREIGN PHOTOGRAPHIC ID DOCUMENTS – should only be completed if the individual does not own a document from Part I
Select ONE valid option from this section only
Foreign driver's licence that contains a photograph of the person in whose name it issued and the individual’s date of birth*
National ID card issued by a foreign government containing a photograph and a signature of the person in whose name the card was issued*
*Documents that are written in a language that is not English must be accompanied by an English translation prepared by an accredited translator.
IMPORTANT NOTE:
Either attach a legible certified copy of the ID documentation used to verify the individual (and any required translation) OR
Alternatively, if agreed between your licensee and the product issuer, complete the Record of Verification Procedure section below and
DO NOT attach copies of the ID Documents
SECTION 4: RECORD OF VERIFICATION PROCEDURE
ID DOCUMENT DETAILS Document 1 Document 2 (if required)
Verified From
Original Certified Copy Original Certified Copy
Document Issuer
Issue Date
Expiry Date
Document Number
Accredited English Translation
N/A
Sighted N/A Sighted
By completing and signing this Record of Verification Procedure I declare that:
• an identity verification procedure has been completed in accordance with the AML/CTF Rules, in the capacity of an AFSL holder or their authorised
representative and
• the tax information provided is reasonable considering the documentation provided.
AFS Licensee Name AFSL No.
Representative/ Employee Name Phone No.
Signature
Verification
