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Disclosures & Compliance Information

As a Registered Tax Agent, our work for you is performed in accordance with the Tax Agent Services Act 2009. Under this Act, the Tax Agent Services (Code of Professional Conduct) Determination 2024 requires that we make the following disclosures to you:

1. Matters that could significantly influence your decision to engage us

We are required to disclose any matters that could significantly influence your decision to engage (or continue to engage) us for tax agent services.

Currently, there are no prescribed events to disclose.

If a relevant event occurs in the future, we will notify you promptly.

2. Tax Practitioners Board Register

The Tax Practitioners Board maintains a public register of Tax Agents. You can verify our registration and details here: https://www.tpb.gov.au/public-register

3. Complaints Process – How to make a complaint

We aim to resolve all concerns promptly and fairly. If you have a complaint concerning a tax agent service that we have provided, please follow the process below:

  1. Initial Complaint – Resolve Directly With Us
    If you have a complaint concerning a tax agent service we have provided, we encourage you to first raise it directly with us so we can work towards a prompt resolution. You can email your complaint to our Practice Manager, Ethan Chen, at [email protected].
  2. Internal Escalation – Director Review
    If you are not satisfied with our response, or we cannot resolve your complaint within 3 business days, escalate it to our Director, Sonia Ambwani, at [email protected]. Your complaint will be investigated by the Director or, where possible, a staff member who is not involved in the subject matter of the dispute where possible. We will provide you with email acknowledgement of receipt of your complaint and our understanding of the circumstances. The email will inform you that we will attempt to resolve your complaint with 14 days and will outline the dispute resolution process.
  3. Final Level – External Review by TPB
    If you are unhappy with the outcome that we propose to you, you can then make a complaint to the Tax Practitioners Board (TPB) using the link below:
    https://www.tpb.gov.au/complaints.
    The TPB will send you an email to acknowledge the receipt of your complaint and review and risk assess your complaint. If you are not satisfied with how the TPB has dealt with your complaint, the above link includes details about your review rights and who can further assist you.

4. Your Responsibilities as a Client

When you engage us as your registered tax agent, it’s important that you understand your responsibilities. These obligations ensure we can provide you with the right advice and help you stay compliant with Australian tax laws.

As our client, you are responsible for:

  1. Providing accurate and complete information to help us carry out our work.
  2. Keeping us informed of any changes to your circumstances that may affect your tax or compliance obligations.
  3. Meeting your legal obligations under the tax laws, including responding to our requests for information in a timely manner.
  4. Maintaining proper records for the time periods required by law.
  5. Co-operating with us and meeting agreed deadlines, so we can act in your best interests and meet your lodgement requirements.

If you do not meet your obligations, the Australian Taxation Office (ATO) may impose penalties, interest charges, or in serious cases, take legal action.

For more information on your rights and responsibilities, please see the TPB’s official factsheet:

Information for clients – Taxpayers

5. Proof of Identity Verification

  1. To protect you from identity crime and fraud, the Tax Practitioners Board (TPB) requires us to verify your identity before we can provide tax services.
  2. For individual clients, we must confirm your full name and either your date of birth or residential address. This usually means providing one primary photo ID (such as a driver licence or passport). If this is not available, you may need to provide a combination of other documents. For businesses, we must also verify the authorised representative (e.g. director, trustee, or partner) as well as the entity itself.
  3. We are required to verify your identity at engagement and may also request verification again if your circumstances change or for certain ongoing services.
  4. We take your privacy seriously. Your identity information will only be used for verification purposes and will not be stored or shared beyond what is legally required.

For more details, please see the TPB’s factsheet:
Information for clients – Proof of identity checks for client verification

6. Commitment to Confidentiality & Ethical Standards

We are committed to upholding the Code of Professional Conduct as regulated by the TPB, which requires us to:

  1. Maintain the confidentiality of your information, unless you give consent or we are legally required to disclose it.
  2. Act with honesty and integrity at all times.
  3. Provide services competently and in a timely manner.
  4. Avoid conflicts of interest, and manage them appropriately if they arise.
  5. Maintain our professional knowledge to ensure the advice and services we provide are accurate and compliant.

Your trust is important to us, and we take our professional and ethical obligations seriously to ensure your matters are handled with the highest standard of care.

7. No Financial Advice, Product Recommendations, or SMSF Suitability Advice

iComplySMSF does NOT hold an Australian Financial Services Licence (AFSL). Our company, its directors and employees are not authorised representatives of an AFSL and therefore cannot and are not authorised to provide financial product advice, recommend financial products, or advise on whether an SMSF is suitable for you.

We provide SMSF setup and administration services only. While we can setup an SMSF on your instructions, this does not involve providing you with any personal financial or investment advice in relation to establishing an SMSF or choosing its investments. We are not licensed to advise on the suitability of an SMSF for your circumstances. The decision to establish an SMSF and how it is invested is entirely your responsibility.

If you require advice about whether an SMSF is appropriate for you, or advice about particular investments or financial products, you should seek advice from a licensed financial adviser who holds an AFSL. We can provide a referral to a licensed adviser if requested

Any information provided by us, whether on our website, in documents, or during discussions, is factual in nature and general only. It should not be relied upon as financial advice and does not consider your personal objectives, financial situation, or needs, and should not be relied upon as financial advice. Any reference to financial products, platforms, or service providers is factual in nature and provided solely to explain how these services may interact with your SMSF or tax obligations. Such information is not intended to influence your decision to use, or not use, a particular product or service.

The choice of accounts, investments, and service providers is entirely yours. However, please note that these choices may impact the complexity of your SMSF administration and the fees payable for our services.