ࡱ> M ^bjbj== .WW/elXXXXDDDX,V,V,V8dVW|X;N\pm(mmmu IL$ DtuGXXmm}۸$GGGbXmDmGG GWФV Dmt\ xa.XF,V.<;,3%" 3GXXXXXXConfidential Financial Review Corporate  FORMTEXT         FORMTEXT         FORMTEXT         FORMTEXT           FORMTEXT        FORMTEXT        FORMTEXT        1. FORMTEXT        FORMTEXT       2. FORMTEXT        FORMTEXT       3. FORMTEXT        FORMTEXT        FORMTEXT       4. FORMTEXT       5. FORMTEXT        FORMTEXT       6. FORMTEXT        FORMTEXT        FORMTEXT       7. FORMTEXT       8. FORMTEXT        FORMTEXT         FORMTEXT       1. FORMTEXT        FORMTEXT        FORMTEXT       2. FORMTEXT        FORMTEXT        FORMTEXT        FORMTEXT       3. FORMTEXT        FORMTEXT        FORMTEXT        FORMTEXT       4. FORMTEXT        FORMTEXT        FORMTEXT        FORMTEXT       5. FORMTEXT        FORMTEXT        FORMTEXT        FORMTEXT       6. FORMTEXT        FORMTEXT        FORMTEXT        FORMTEXT       7. FORMTEXT        FORMTEXT        FORMTEXT        FORMTEXT       8. FORMTEXT        FORMTEXT        FORMTEXT        FORMTEXT        Business Name:BASIS OF ADVICE SHAPE \* MERGEFORMAT Date: Basis of AdviceI / We recommend our full review service covering all of the financial planning need areas described below. Are you happy for us to do this? FORMDROPDOWN If Yes, review all of the areas below with the exception of those not relevant.If No, I / We understand that you would prefer us to limit our advice to one or more of the following areas. The notes section should be used to provide further specific details of the objectives / needs and why any objectives have been deferred declined or are not relevant. Client Objectives / Financial GoalsNow / Future / Declined / Not RelevantA Supplementary Questionnaire must be completed for each client objective selected as now. SHAPE \* MERGEFORMAT 1. Business Protection Benefits (CSQ1)Client Priority 1-12 To review the amount of cash the business will receive in the event of the death of key persons/partners/Sholders  FORMDROPDOWN           FORMDROPDOWN To review the amount of cash the business will receive in the event of a critical illness of key personnel) FORMDROPDOWN  FORMDROPDOWN 2. Directors, Partners & Key Personnel Benefits (CSQ2) To review the amount of cash family will receive in the event of death/critical illness/accident/sickness (CSQ2A)  FORMDROPDOWN           FORMDROPDOWN To review the amount of private medical insurance provided for directors, partners & key personnel (CSQ2A) FORMDROPDOWN  FORMDROPDOWN To review the retirement provision for directors, partners & key personnel (CSQ2B) FORMDROPDOWN  FORMDROPDOWN 3. Employee Benefits (CSQ3)To review the amount of cash family will receive in the event of death/critical illness/accident/sickness (CSQ3A) FORMDROPDOWN  FORMDROPDOWN To review the amount of private medical insurance provided for employees (CSQ3A) FORMDROPDOWN  FORMDROPDOWN To review the retirement provision for employees (CSQ3B)  FORMDROPDOWN           FORMDROPDOWN 4. Investment Advice (CSQ4)To review the business investment portfolio FORMDROPDOWN  FORMDROPDOWN 5. Mortgage/Loan Provision (CSQ5)To review the situation regarding repayment of the mortgage/loan plus protection in the event of death or critical illness FORMDROPDOWN  FORMDROPDOWN To review a mortgage, re-mortgage or loan FORMDROPDOWN  FORMDROPDOWN 6. OtherTo review other objectives / goals (please provide full details in the notes section). FORMDROPDOWN  FORMDROPDOWN Notes:  FORMTEXT       BUSINESS DETAILSName & Title of Main Business Contact FORMTEXT      Name & Registered Address of Business  FORMTEXT      Telephone Number/Fax Number FORMTEXT      Company Registration Number FORMTEXT      Current Trading Address (if different)  FORMTEXT      What is the principal activity of the Business? FORMTEXT      How did you start the business? (e.g. self financed, Acquisition, Mgmt Buyout etc) FORMTEXT      How long has the Business being running? FORMTEXT      Do you intend to sell the business in the next 5 years If yes, give details FORMDROPDOWN  FORMTEXT      Do you intend to acquire any other businesses in the next 5 years? If yes give details FORMDROPDOWN  FORMTEXT      What is the Business structure today? (e.g. part of a group) FORMTEXT      Is your business a: FORMDROPDOWN Is there a layer of Management below the board? (if Yes, please describe) FORMDROPDOWN  FORMTEXT      How many employees are there? (exclude directors)Full Time  FORMTEXT      Part Time  FORMTEXT      Self Employed  FORMTEXT      Do you intend to reduce staff numbers in the near future If yes, give details FORMDROPDOWN  FORMTEXT      What is the previous trading style/name of the Business? (if applicable) FORMTEXT      Do the Directors/Shareholders have any financial interest in any other business? If Yes, give details FORMDROPDOWN  FORMTEXT      Are there any associated employers? If Yes, give details FORMDROPDOWN  FORMTEXT       DIRECTORS, PRINCIPALS & SHAREHOLDERS12Name FORMTEXT       FORMTEXT      Role in Business (e.g. Manager, Shareholder etc) FORMTEXT       FORMTEXT      Date commenced FORMTEXT       FORMTEXT      Address including postcode  FORMTEXT       FORMTEXT      Telephone Number FORMTEXT       FORMTEXT       34Name FORMTEXT       FORMTEXT      Role in Business (e.g. Manager, Shareholder etc) FORMTEXT       FORMTEXT      Date commenced FORMTEXT       FORMTEXT      Address including postcode  FORMTEXT       FORMTEXT      Telephone Number FORMTEXT       FORMTEXT       56Name FORMTEXT       FORMTEXT      Role in Business (e.g. Manager, Shareholder etc) FORMTEXT       FORMTEXT      Date commenced FORMTEXT       FORMTEXT      Address including postcode  FORMTEXT       FORMTEXT      Telephone Number FORMTEXT       FORMTEXT       DIRECTORS, PRINCIPALS & SHAREHOLDERS HOLDING AT LEAST 5% 12Name FORMTEXT       FORMTEXT      Sex FORMDROPDOWN  FORMDROPDOWN Age/Date of Birth FORMTEXT       FORMTEXT       Smoker FORMDROPDOWN  FORMDROPDOWN Salary FORMTEXT       FORMTEXT      Bonus FORMTEXT       FORMTEXT      Benefits FORMTEXT       FORMTEXT      Dividends FORMTEXT       FORMTEXT      Total Remuneration FORMTEXT       FORMTEXT       34Name FORMTEXT       FORMTEXT      Sex FORMDROPDOWN  FORMDROPDOWN Age/Date of Birth FORMTEXT       FORMTEXT       Smoker FORMDROPDOWN  FORMDROPDOWN Salary FORMTEXT       FORMTEXT      Bonus FORMTEXT       FORMTEXT      Benefits FORMTEXT       FORMTEXT      Dividends FORMTEXT       FORMTEXT      Total Remuneration FORMTEXT       FORMTEXT       56Name FORMTEXT       FORMTEXT      Sex FORMDROPDOWN  FORMDROPDOWN Age/Date of Birth FORMTEXT       FORMTEXT       Smoker FORMDROPDOWN  FORMDROPDOWN Salary FORMTEXT       FORMTEXT      Bonus FORMTEXT       FORMTEXT      Benefits FORMTEXT       FORMTEXT      Dividends FORMTEXT       FORMTEXT      Total Remuneration FORMTEXT       FORMTEXT       REPORT & ACCOUNTSCan you supply copies of latest published and/or management accounts? FORMDROPDOWN  (If Yes, you do not need to complete the remainder of this section)Issued share capital  FORMTEXT      Authorised share capital  FORMTEXT      Business Trading Year End FORMTEXT      Value of BusinessCurrent  FORMTEXT      Projected  FORMTEXT      Business TurnoverCurrent  FORMTEXT      Projected  FORMTEXT      Net Business ProfitsLast Year  FORMTEXT      Current  FORMTEXT      Projected  FORMTEXT      What % Corporation tax did the business payThis Year  FORMTEXT      %Previous Year  FORMTEXT      %Employer Corporate Tax / PAYE District & Reference  FORMTEXT       FORMTEXT       PROFESSIONAL ADVISERSName & Address of Accountant and details of the services they provide to the business FORMTEXT      Name & Address of Principal Bankers and details of the services they provide to the business FORMTEXT      Name & Address of Solicitor and details of the services they provide to the business FORMTEXT      Name & Address of any other professional advisers and details of the services they provide to the business FORMTEXT       ASSETSMain assets of business Owned or LeasedIf leased  date lease expires1.  FORMTEXT       FORMDROPDOWN  FORMTEXT      2.  FORMTEXT       FORMDROPDOWN  FORMTEXT      3.  FORMTEXT       FORMDROPDOWN  FORMTEXT      4.  FORMTEXT       FORMDROPDOWN  FORMTEXT      5.  FORMTEXT       FORMDROPDOWN  FORMTEXT      6.  FORMTEXT       FORMDROPDOWN  FORMTEXT       LOAN PROVISIONIs there a mortgage on the business premises? If Yes, give name & address of lender  FORMDROPDOWN  FORMTEXT      Date mortgage started & repayment method FORMTEXT       FORMTEXT      Current interest rate & monthly payment FORMTEXT      % FORMTEXT      Mortgage end date/term & amount outstanding FORMTEXT       FORMTEXT      Is there any other loans connected to the business? If Yes, give name & address of lender  FORMDROPDOWN  FORMTEXT      Purpose of loan & amount outstanding FORMTEXT       FORMTEXT      Current interest rate & monthly payment FORMTEXT      % FORMTEXT      Is there any other loans connected to the business? If Yes, give name & address of lender  FORMDROPDOWN  FORMTEXT       EXISTING PLANSIf the answer is yes to any of the following questions and it is relevant to the advice being given please complete the appropriate CEP questionnairePROTECTION (CEP1)Yes/NoDo you have any existing life assurance plans? FORMDROPDOWN Do you have any existing income protection? FORMDROPDOWN Do you have any existing private medical insurance plans? FORMDROPDOWN RETIREMENT (CEP2)Do you have any existing retirement plans for Directors, Shareholders or Key Persons? FORMDROPDOWN Do you have any existing retirement plans for Employees? FORMDROPDOWN INVESTMENTS (CEP3)Do you have any existing retirement plans for Directors, Shareholders or Key Persons? FORMDROPDOWN  COMMITMENT TO AMOUNTLump SumRegular ContributionWhat amount are you prepared to commit towards reaching your financial goals? FORMTEXT       FORMTEXT      How long are you prepared to invest your monies for? FORMTEXT      Years FORMTEXT      YearsNotes  FORMTEXT        NOTES" If client(s) aims & objectives have changed during fact-finding, detail why. " Does your opinion of your client s needs differ from that of your client? If Yes, please give details:  FORMTEXT        INITIAL ADVICE IDEAS" Briefly summarise agreed course of action. FORMTEXT        NON-DISCLOSURE DETAILSHas any information not been disclosed?  FORMDROPDOWN If yes, provide details of the areas and the reasons why. FORMTEXT        DISCONTINUED PLANSWhether recommended or not, to your knowledge will any plan be lapsed, surrendered, cancelled or converted to enable the prospective plan to be effected? (If yes, complete discontinued plans form). FORMDROPDOWN  ( 2003 Sesame Group Ltd ALL RIGHTS RESERVED Page  PAGE 1 of  NUMPAGES 6 Corporate Factfind v1.0 Aug 2003 This questionnaire is designed to provide a financial adviser with information required by the Financial Services and Markets Act 2000. Periodically your adviser may need to confirm the information is correct. To ensure that suitable advice is provided and recommendations are based on sound information, it is important that the questions are answered as fully as possible, where relevant. 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