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Paraplanning &
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Paraplanning & Admin Services
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Drawdown Case Submission
Drawdown case submission
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Drawdown Case Submission
Meeting Date
Client First Name
Client Last Name
SJP Partner Name
SJP Partner Code
Email Address
Drawdown Case Type (Including DD to DD transfer)
- Select your answer -
Drawdown (external funds to be crystallised within SJP RA)
Drawdown and Transfer (transfer of both uncrystallised and crystallised funds)
Drawdown Review - no changes
Drawdown Review - with changes
Drawdown to Drawdown Transfer (transfer of already crystallised funds)
New Drawdown (new crystallisation of funds within 12 months of transferring)
New Drawdown of SJP Funds (new crystallisation of funds within 12 months which include SJP funds)
SJP Drawdown (new crystallisation of SJP funds)
Would you like a Suitability Report or letter?
Report
Letter
No. of Regulars being redirected
Is there any New Business accompanying this Drawdown transfer?
Yes
No
Is CFR up to date & accurate
N/A
Yes
No
Do you have the ESS Details
N/A
Yes
No
Are you completing a Partial Transfer of the ESS Details?
Yes
No
Is the ESS a Final Salary?
N/A
Yes
No
Does ESS Allow Drawdown?
N/A
Yes
No
Client’s employment status
Employed
Self employed
Not working
Retirement Age
Will the client be reliant on unsecured sources to meet their expenditure within the next 5 Years
Yes
No
No. of Plans to Transfer
Plans to Transfer Details
Please add TFC amount required in next 12 Months & Reason
Please confirm income need for next 12 Months
Please confirm income need from 2nd Year onwards
What is the client’s capacity for Loss
- Select -
Low
Medium
High
Select all that apply (you must select at least one)
Your client has little net disposable income
Your client has a low scope to increase net disposable income due to high essential expenditure needs
Your client has minimal or no secure income
Your client has limited capital to invest
Your client is already significantly exposed to investment risk through other investments
Your client is primarily reliant on the income from these investments
Your clients existing emergency cash reserves will be rapidly exhausted if used to meet essential and discretionary expenditure
A fall in your clients investments will have a detrimental effect on their short term goals
Select all that apply (you must select at least one)
Your client has sufficient net disposable income providing with the ability to save
Your client has a well-diversified investment portfolio and is not exposed to stock market investments
Your client is not primarily reliant on the income from these investments
Your clients existing emergency cash reserves will not be rapidly exhausted if used to meet essential and discretionary expenditure
A significant fall in your clients investments would impact their short term financial goals but they have scope and are willing to adjust these accordingly
Select all that apply (you must select at least one)
Your client enjoys a substantial and secure income, providing them with the ability to save, improving their financial security
Your client demonstrates careful and thoughtful financial planning, and they have substantial disposable income
You client’s Financial reserves would not be exhausted for several years if used to meet their essential and discretionary expenditure
Your client has a well-diversified investment portfolio and is not exposed to stock market investments, and they have significant cash to invest
A significant fall in your clients’ investments would not impact their short term financial goals
Reason for above choice/s?
What is your clients current investment knowledge and experience?
- Select -
No Knowledge & Experience
Limited
Moderate
Extensive
Select all that apply (you must select at least one)
Your client has not previously held investment outside of a bank, building society cash deposits or National savings and investment products
Select all that apply (you must select at least one)
Your client has purchased self-selected individual shares and/or a packaged investment where no significant investment volatility has been experiences since acquiring the investments
Your client holds investments, however they have not made any active decisions, such as an inherited portfolio of shares etc
Your client has experience investing in small Stocks and Shares ISA etc
Your client holds investments in With-Profits funds only and have not therefore experienced investment volatility
Select all that apply (you must select at least one)
Your client has purchased self-selected individual shares, excluding employer company shares etc
Your client holds a workplace pension scheme and has chosen their own fund selection
Your client is invested in a pension scheme and has received advice to take some or all of their tax-free cash
Select all that apply (you must select at least one)
Your client regularly buys and sells shares or funds
Your client has purchased alternative types of investments rather than a packaged product
Your client has investment experience through their employment
Your client is classed as a professional client
Your client has purchased shares in young enterprise companies not yet registered on any stock exchange
Reason for above choice/s?
Fund Risk Choice
- Select -
Lower-medium
Medium
Upper-medium
High
Fund Choice/Portfolio Choice %
Standard IAF Terms
Yes
No
Max Credit
Yes
No
Max IAF
Yes
No
Case Submission Notes
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