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commbank.com.au | Phone: 1800 624 100 | Fax: 1300 852 094 | Mail: PO Box 320 Silverwater NSW 2128
Issued by The Colonial Mutual Life Assurance Society Limited ABN 12 004 021 809 AFSL 235035 (CMLA). CommInsure is a registered business name of CMLA.
Instruction sheet
Completing the identification form for Australian regulated trusts and trustees
(includingself-managed super funds)
Identification and Verification
All clients applying for a new policy must complete the identification
procedures for the purposes of Anti-Money Laundering and
Counter-Terrorism Financing laws. In addition, in order to comply
with the obligations of the Foreign Account Tax Compliance Act
(FATCA) and Common Reporting Standard (CRS) we are required
to collect further information.
To do this, you need to complete the attached form.
What do I need to complete?
The sections you complete of the attached form depend on
what type of trust you are. The table over the page provides
you with aguide onwhich mandatory sections you need
to complete as identified by a solid dot (
). For the other
sections a brief explanation is provided and will depend on
individual circumstances.
You need to identify what type of trust you are.
Are you a:
Regulated trust eg a Self Managed Superannuation Fund
(‘SMSF’) or a trust that is regulated by the Australian Securities
and Investments Commission (‘ASIC’), the Australian
Taxation Office (‘ATO’) or the Australian Prudential Regulation
Authority (‘APRA’)
registered managed investment scheme (ie managed investment
scheme that is registered by ASIC)
Australian Government superannuation fund (ie a government
superannuation fund established under Commonwealth or
State/Territory legislation), or
other regulated trust types?
Will documents in a language other than English
be accepted?
Documents that are written in a language that is not English
must be accompanied by an English translation prepared by
anaccredited translator. An accredited translator is any person
whois currently accredited by the National Accreditation Authority
for Translators and Interpreters Ltd (NAATI) at the levelof
Professional Translator or above.
How do I get a document certified?
To be correctly certified, we need the document(s) to be certified
as ‘True copy of the original document’ and signed by one of
the following:
A person who is enrolled on the roll of the Supreme Court
of a State or Territory or the High Court of Australia, as a
legal practitioner
A judge of a court
A magistrate
A chief executive officer of a Commonwealth court
A registrar or deputy registrar of a court
A justice of the Peace
A notary public (for the purposes of the Statutory Declaration
Regulations 1993)
A notary public in a foreign country
A police officer
(Postal Agent) An agent of the Australian Postal Corporation
who is in charge of an office supplying postal services to
the public
(post Office) A permanent employee of The Australian Postal
Corporation with two (2) or more years of continuous service
who is employed in an office supplying postal services to
the public
An Australian consular officer or an Australian diplomatic officer
(within the meaning of the Consular Fees Act 1955)
An officer with, 2 or more continuous years of service with
one or more respective financial institutions (eg: bank, building
society, credit union or finance company)
An officer with, or authorised representative of, a holder of an
Australian financial services licence, having two (2) or more
continuous years of service with one or more licensees
A member of the Institute of Chartered Accountants in Australia
CPA Australian or the National Institute of Accountants with two
(2) or more years of continuous membership
The party certifying the ID document(s) will also need to state
what position they hold and sign and date the document(s).
Ifthecertification does not appear on the document(s),
youmaybeasked to send in new certified documents.
21119/1115 005-737 120517
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commbank.com.au | Phone: 1800 624 100 | Fax: 1300 852 094 | Mail: PO Box 320 Silverwater NSW 2128
Issued by The Colonial Mutual Life Assurance Society Limited ABN 12 004 021 809 AFSL 235035 (CMLA). CommInsure is a registered business name of CMLA.
IDENTIFICATION AND VERIFICATION PROCEDURE FOR THE TRUST AND TRUSTEE
If the trust has one trustee, you need to complete either Section 2.1 (for trustees that are individuals) or Section 2.2 (for trustees that are
an Australian company or foreign company).
If the trust has more than one trustee, you need to provide us with information for ONLY ONE of the trustees.
The identity of the trust must be verified (not the trustee).
SECTION
1 Regulated trust identification procedure
1.1 General information
1.2 Type of regulated trust
2 Trustee identification procedure
2.1 Individual trustee To be completed if the trustee is an individual (ie natural person)
2.2 Company trustee To be completed if the trustee is an Australian company. If the selected trustee is a foreign
company, please complete the Foreign Company Identification Form in addition to this form.
2.2.1 Company details As above
2.2.2 Company type As above
2.2.3 Directors To be completed for proprietary companies only
3 Tax information
3.1 Tax status To be completed, except for regulated super funds (e.g. SMSFs and APRA regulated super funds)
4 Regulated trust verification procedure CommInsure will perform the trust verification procedure. However, if we cannot access the
information to complete this procedure we may ask you to provide us with further information.
5 Record of verification procedure To be completed by the adviser.
Please mail this form to: CommInsure, PO Box 320 Silverwater NSW 2128
IDENTIFICATION FORM
AUSTRALIAN REGULATED TRUSTS
(Including Self-Managed Super Funds)
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 1/3
GUIDE TO COMPLETING THIS FORM
o This form is for AUSTRALIAN REGULATED TRUSTS only. Australian Regulated Trusts include self-managed super funds, registered managed investment schemes, unregistered
managed investment schemes, government superannuation funds or other Trusts subject to the regulatory oversight of an Australian regulator.
o For Trusts that are not subject to the oversight an Australian regulator, complete the UNREGULATED AUSTRALIAN TRUSTS & FOREIGN TRUSTS IDENTIFICATION FORM.
o Collect information about the Trust and one Trustee. The identity of the Trust must be verified (not the Trustee).
o Tax information must be collected from an authorised representative of the Trust
o Complete all applicable sections of this form in BLOCK LETTERS.
SECTION 1: REGULATED TRUST IDENTIFICATION PROCEDURE
Section 1.1: General Information
Full name of Trust
Country where trust established
(only required if not Australia)
Full business name of trustee in
respect of the trust (if any)
Section 1.2: Type of Regulated Trust
Tick
Select one of the following type of Regulated Trust
Self-Managed Superannuation Fund
Provide the SMSF’s ABN
Registered managed investment scheme
Provide Australian Registered Scheme Number (ARSN)
Unregistered managed investment scheme (Where the scheme is not registered by ASIC, only has wholesale clients and does not
make small scale offerings to which section 1012E of the Corporations Act 2001 applies)
Provide the unregistered managed investment scheme’s ABN
Government superannuation fund
Provide name of the legislation establishing the fund
Other regulated Trust (A trust that is subject to the regulatory oversight of a Commonwealth, State or Territory statutory regulator such
as an approved deposit fund, a pooled superannuation trust or an APRA-regulated superannuation fund)
Provide name of the regulator (e.g. ASIC, APRA, ATO)
Provide the Trust’s ABN or registration/licensing details
Other types of Trusts (e.g. family, unit, charitable, estate) or Trusts regulated by a foreign regulatory body should complete the UNREGULATED
AUSTRALIAN TRUSTS & FOREIGN TRUSTS IDENTIFICATION FORM, rather than this form.
SECTION 2: TRUSTEE IDENTIFICATION PROCEDURE (Please complete EITHER section 2.1 OR section 2.2)
For Australian Regulated Trusts, identification information is required for one of the Trustees. This information is only required for one Trustee, even if the
Trust has a number of Trustees. Please provide identification information for either an individual Trustee (section 2.1) or a corporate Trustee (section 2.2).
Section 2.1: Individual Trustee (To be completed if the selected Trustee is an individual)
Full given name(s) Surname Date of Birth
(dd/mm/yyyy)
Residential Address (PO Box is not acceptable)
Street
Suburb State Postcode Country
OR
IDENTIFICATION FORM
AUSTRALIAN REGULATED TRUSTS
(Including Self-Managed Super Funds)
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 1/3
GUIDE TO COMPLETING THIS FORM
o This form is for AUSTRALIAN REGULATED TRUSTS only. Australian Regulated Trusts include self-managed super funds, registered managed investment schemes, unregistered
managed investment schemes, government superannuation funds or other Trusts subject to the regulatory oversight of an Australian regulator.
o For Trusts that are not subject to the oversight an Australian regulator, complete the UNREGULATED AUSTRALIAN TRUSTS & FOREIGN TRUSTS IDENTIFICATION FORM.
o Collect information about the Trust and one Trustee. The identity of the Trust must be verified (not the Trustee).
o Tax information must be collected from an authorised representative of the Trust
o Complete all applicable sections of this form in BLOCK LETTERS.
SECTION 1: REGULATED TRUST IDENTIFICATION PROCEDURE
Section 1.1: General Information
Full name of Trust
Country where trust established
(only required if not Australia)
Full business name of trustee in
respect of the trust (if any)
Section 1.2: Type of Regulated Trust
Tick
Select one of the following type of Regulated Trust
Self-Managed Superannuation Fund
Provide the SMSF’s ABN
Registered managed investment scheme
Provide Australian Registered Scheme Number (ARSN)
Unregistered managed investment scheme (Where the scheme is not registered by ASIC, only has wholesale clients and does not
make small scale offerings to which section 1012E of the Corporations Act 2001 applies)
Provide the unregistered managed investment scheme’s ABN
Government superannuation fund
Provide name of the legislation establishing the fund
Other regulated Trust (A trust that is subject to the regulatory oversight of a Commonwealth, State or Territory statutory regulator such
as an approved deposit fund, a pooled superannuation trust or an APRA-regulated superannuation fund)
Provide name of the regulator (e.g. ASIC, APRA, ATO)
Provide the Trust’s ABN or registration/licensing details
Other types of Trusts (e.g. family, unit, charitable, estate) or Trusts regulated by a foreign regulatory body should complete the UNREGULATED
AUSTRALIAN TRUSTS & FOREIGN TRUSTS IDENTIFICATION FORM, rather than this form.
SECTION 2: TRUSTEE IDENTIFICATION PROCEDURE (Please complete EITHER section 2.1 OR section 2.2)
For Australian Regulated Trusts, identification information is required for one of the Trustees. This information is only required for one Trustee, even if the
Trust has a number of Trustees. Please provide identification information for either an individual Trustee (section 2.1) or a corporate Trustee (section 2.2).
Section 2.1: Individual Trustee (To be completed if the selected Trustee is an individual)
Full given name(s) Surname Date of Birth
(dd/mm/yyyy)
Residential Address (PO Box is not acceptable)
Street
Suburb State Postcode Country
OR
IDENTIFICATION FORM AUSTRALIAN REGULATED TRUSTS
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
2/3
Section 2.2: Company Trustee (To be completed if the selected Trustee is an Australian Company. If the selected Trustee is a foreign company then
complete the FOREIGN COMPANY IDENTIFICATION FORM in addition to this form)
2.2.1 Company Details
A
CN
Registered
Office Address (PO Box is not acceptable)
Street
Suburb
State Postcode Country
Principal Place of Business (if any)
(PO Box is not acceptable)
Street
Suburb
State Postcode Country
2.2.2 Company Type (Select one of the following company types)
Public (companies whose name does NOT include the word Pty or proprietary; generally listed companies), proceed to section 3
Proprietary (companies whose name ends with Proprietary Ltd or Pty Ltd; also known as private companies), proceed to section 2.2.3
2.2.3 Directors (To be completed for proprietary companies, not required for public companies as per 2.2.2)
Provide the names of all directors.
Full given name(s) Surname
1
2
3
4
If there are more directors, provide details on a separate sheet and tick this box
.
SECTION 3: TAX INFORMATION
Collection of tax status in accordance with the United States Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS).
Regulated super funds (Self-Managed Superannuation Funds, APRA regulated super funds, government super funds or pooled superannuation trusts)
are not required to complete section 3 and can proceed to section 4.
3.1 Tax Status
Provide the Trust’s Global Intermediary Identification Number (GIIN), if applicable
If the Trust is a Financial Institution but does not have a GIIN, provide its FATCA status (select ONE of the following statuses)
Deemed Compliant Financial Institution
Excepted Financial Institution
Exempt Beneficial Owner
Non Reporting IGA Financial Institution
(If the Trust is a Trustee-Documented Trust, provide the Trustee’s GIIN)
Nonparticipating Financial Institution
Other (describe the Trust’s FATCA status in the box provided)
IDENTIFICATION FORM AUSTRALIAN REGULATED TRUSTS
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
2/3
Section 2.2: Company Trustee (To be completed if the selected Trustee is an Australian Company. If the selected Trustee is a foreign company then
complete the FOREIGN COMPANY IDENTIFICATION FORM in addition to this form)
2.2.1 Company Details
Full name as registered by ASIC
A
CN
Registered
Office Address (PO Box is not acceptable)
Street
Suburb
State Postcode Country
Principal Place of Business (if any)
(PO Box is not acceptable)
Street
Suburb
State Postcode Country
2.2.2 Company Type (Select one of the following company types)
Public (companies whose name does NOT include the word Pty or proprietary; generally listed companies), proceed to section 3
Proprietary (companies whose name ends with Proprietary Ltd or Pty Ltd; also known as private companies), proceed to section 2.2.3
2.2.3 Directors (To be completed for proprietary companies, not required for public companies as per 2.2.2)
Provide the names of all directors.
Full given name(s) Surname
1
2
3
4
If there are more directors, provide details on a separate sheet and tick this box
.
SECTION 3: TAX INFORMATION
Collection of tax status in accordance with the United States Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS).
Regulated super funds (Self-Managed Superannuation Funds, APRA regulated super funds, government super funds or pooled superannuation trusts)
are not required to complete section 3 and can proceed to section 4.
3.1 Tax Status
Provide the Trust’s Global Intermediary Identification Number (GIIN), if applicable
If the Trust is a Financial Institution but does not have a GIIN, provide its FATCA status (select ONE of the following statuses)
Deemed Compliant Financial Institution
Excepted Financial Institution
Exempt Beneficial Owner
Non Reporting IGA Financial Institution
(If the Trust is a Trustee-Documented Trust, provide the Trustee’s GIIN)
Nonparticipating Financial Institution
Other (describe the Trust’s FATCA status in the box provided)
IDENTIFICATION FORM AUSTRALIAN REGULATED TRUSTS
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
3/3
SECTION 4: REGULATED TRUST VERIFICATION PROCEDURE
Regulated Trust Verification procedure:
Information to be verified:
o Full name of the Trust
o That the Trust is a Self-Managed super fund; registered managed investment scheme, unregistered managed investment scheme, government superannuation fund or other
regulated Trust, as applicable
Tick Verification options (select one of the following options used to verify the Trust)
Perform a search of the ASIC, ATO or relevant regulator’s website (e.g. “Super Fund Lookup” at www.abn.business.gov.au).
A copy of an offer document of the managed investments scheme (e.g. a copy of a Product Disclosure Statement)
A copy or relevant extract of the legislation establishing the government superannuation fund sourced from a government website
IMPORTANT NOTE:
Attach a legible certified copy of the ID documentation used to verify the Trust 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 5: RECORD OF VERIFICATION PROCEDURE
ID DOCUMENT Document 1 Document 2
Verified From
Performed search Original Certified copy Performed search Original Certified copy
Document Issuer / Website
Document Type / Search
details
Issue date / Search date
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
Date
Verification
Completed
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