LFM Investment Portfolio CA (New)

15.1.5. Forwarding and monitoring
15.1.5.1. The Company will forward to the Client(s) all important communications
received from product providers in relation to relevant financial products
established by the Client(s).
15.1.5.2. The Company will monitor changes in relevant legislation and notify the
Client(s) in circumstances where these may affect the aims, objectives, attitude to
risk, or personal circumstances of the Client(s).
15.1.6. Periodic review
15.1.6.1. The Company will undertake annual reviews of the original advice covering
relevant changes in the following:
15.1.6.1.1. The Client(s) goals, objectives and needs.
15.1.6.1.2. The Client(s) personal circumstances.
15.1.6.1.3. The Client(s) financial situation.
15.1.6.1.4. The continued suitability of relevant financial planning and investment
strategies undertaken by the Client(s)
15.1.6.1.5. The continued suitability of financial product types held by the
Client(s)
15.1.6.1.6. The continued suitability of product providers with whom financial
product types have been established by the Client(s).
15.1.6.1.7. Relevant legislation and taxation matters.
15.1.6.2. Following the review, the Company will prepare and issue a report to the
Client(s) setting out the Company’s professional opinion regarding:
15.1.6.2.1. Those relevant areas of previous advice that should be updated.
15.1.6.2.2. The rationale on which the Company’s recommendation is based.
15.1.6.2.3. The charges paid by the Client to the Company and Product Provider
over the previous twelve months.
15.1.6.2.4. The risks to which the Client(s) may be exposed through following, or
not following the Company’s recommendations.
15.1.6.3. Following the receipt and consideration by the Client(s) of the report, the
Company will:
15.1.6.3.1. Meet with the Client(s) or make such other arrangements as are
reasonable to allow the Client(s) to consider the Company’s professional
recommendations and reach an informed and objective decision on how to
proceed.
Page 9 of 15 LFM Customer Agreement - Investment Portfolio Service 01/01/2022