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Anti-Money Laundering (AML) & Counter-Terrorism Financing (CTF) Act Obligations for advisers and their assistants

Under our AML/CTF Act obligations, CommSec Adviser Services is required to hold complete and accurate records for you.

Part of fulfilling our ‘Know Your Customer’ obligations means having confidence that the information we hold about you is up-to-date. As a result, we may need to periodically confirm and renew the information and identification we hold on file for you.

For us to verify the information we hold on you, please complete, sign and return the Adviser/Assistant Identification form found here.

Alongside your completed form, we also require you to provide a copy of your personal identification such as an Australian driver’s licence or passport.

We ask that you provide the completed form and personal identification to us via email at CommSecKYC@cba.com.au before 31 October 2021.

To assist with this, we've prepared some frequently asked questions. If you have any additional questions, or if you would like to discuss options around further support, please call us on 13 15 20 between 8:30am and 6:00pm (EST), Monday to Friday.

We ask that you provide us with the requested information by 31 October 2021. We understand it is an extremely challenging and busy time and will work with you as much as possible to achieve this.

 

The information we are requesting for you includes your name, date of birth, current residential address and other important information. We're also asking for you to provide a form of identification that we can use to verify the information you provide us.

You can locate the Adviser/Assistant Identification form here

In addition to the Adviser/Assistant Identification form we need you to send through a copy of personal identification which includes a copy of either an Australian Driver’s Licence or Australian Passport and a copy of your Authorised Representative Certificate or Employee Representative Certificate.

 

Return your completed Adviser/Assistant Identification form and copies of personal identification to email address CommSecKYC@cba.com.au. Please ensure you complete your details as per your ID and that your email is sent either from your email address or the email address of your office.

We are trying to provide you as much time as possible, however if you are unable to provide the information to us by 31 October 2021, we may need to temporarily suspend your access to manage your clients CommSec Adviser Services Investment Lending Account until we can complete the identification verification process. Your access will be reinstated once you complete and return the required forms and identification. If you have concerns around meeting the requested timeframe and want to discuss options around further support, please call your Relationship Manager on 13 15 20.

If your assistant requires access, they will also need to complete the Adviser/Assistant Identification form separately and turn the completed form with their supporting identification. You will need to sign your assistant’s form in the required field, in addition to their own signature.

There are a number of reasons why we might be holding incomplete details on file. For example, accounts opened prior to the implementation of the AML/CTF Act did not require the collection of certain information such as date of birth and residential address. Under the amended AML/CTF Rules, we are required to ensure this information is captured in our records.

If you have any concerns about your personal information in transit, we recommend that you password protect your documents before you send, using Microsoft encryption contained in the WinZip application or similar. So we can access the documents when we receive them please send us the password to open the documents in a separate email.