Distributor Reporting

Distributors are required under section 994B(5)(g) and (h) of the Corporations Act 2001 (Cth) (the Act) to report to Morningstar. If practicable, distributors should adopt the FSC data standards for reports to Morningstar.

For queries on the distributor reporting requirements, methods, and deadlines, please contact Morningstar at [email protected]

 

Complaints (as defined in section 994(1) of the Corporations Act 2001 (Cth) (the Act) relating to the product design, product availability and distribution.

Distributors should provide the details of any complaint received, having regard to privacy, within 10 business days following the end of each calendar quarter (March, June, September & December).

Please complete this Complaint Report Template and email to Morningstar at [email protected]

Section 994F(6) of the Corporations Act 2001 (Cth) (the Act) requires distributors to notify Morningstar if they become aware of a significant dealing in the product that is inconsistent with the Target Market Determination (TMD). Neither the Act nor ASIC defines when a dealing is ‘significant’ and distributors have discretion to apply its ordinary meaning.

Distributors should provide all the contents of this significant dealing outside of target market to Morningstar as soon as practicable but no later than 10 business days after they become aware of the significant dealing by completing the below form:

    To the extent a distributor is aware, dealings outside the target market, including reason why acquisition is outside of target market, and whether acquisition occurred under personal advice, should notify Morningstar within 10 business days following end of the calendar quarter (March, June, September & December) by completing the below form:


      Investment product in diversified portfolioDistributor assesses product as suitable for investor’s objectives, financial situation and needs, despite target market determinationInvestor was assessed to be outside target market after dealing occurredDistributor considers risk of investor harm to be lowOther

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