Investment Application

Transcription

1 Stanbic Investments anagement Services (EA) Limited Registration number C9522 CfC House, Nyerere Road, Nairobi, Kenya PO Box 30550, Nairobi, Kenya Telephone Facsimile Investment Application Checklist Please confirm that the appropriate sections have been completed by ticking (3) the relevant boxes: Individuals Entities Section A Investor details Section B Joint applications Section C Investor bank account details Section Corporate applicant Section E Investment details Section F Investments Section G Source of funds Section H Cash flow plan (withdrawal option) Section I Income distribution Section J Statement and other correspondence Section K Statutory disclosure and general terms and conditions Section L General details Section Investor declaration Section N Authority to Act Section O eclaration by financial adviser Section P Kenya identification and business rules 1 of 9

2 A. Investor s details (This section must be completed by all applicants) Gender ale Female Identification medium I ocument Passport Nature of business arital status Telephone (home) ate 2 0 B. Joint applications (To be filled out by applicants who would like to be joint holders to the above account. A maximum of three people may be joined to the applicant.) Transaction to be signed by Either holder All holders Others NB. To change any of the information provided in this form ALL joint holders must sign. Joint applicant 1 Gender ale Female Identification medium I ocument Passport arital status (Please attach a photocopy.) Nature of business Telephone (home) ate of 9

3 Joint applicant 2 Gender ale Female Identification medium I ocument Passport (Please attach a photocopy.) Nature of business arital status Telephone (home) ate 2 0 Joint applicant 3 Gender ale Female Identification medium I ocument Passport (Please attach a photocopy.) Nature of business arital status Telephone (home) ate 2 0 C. Investor bank account details (used for repurchase, cash flow plans and distribution payments) Account holder s name Bank Name Branch name Branch code Accountnumber Account type Current account Savings account (s) of applicant/authorised signatories according to mandate provided ate 2 0 ate 2 0 ate 2 0 Any change of bank details above must be provided in writing with adequate proof 3 of 9

4 . Corporate applicant (To be filled out by Companies, NGOs, Associations, Societies, Partnerships and Trust Funds. In case of more than three directors/authorised signatories, please attach details on a separate sheet.) Company/organisation name Registration number Contact person Position in organisation (Please attach a certified copy of incorporation/registration certificate.) Telephone (of contact person) irectors/authorised signatories signing mandate ate 2 0 irectors/authorised signatories signing mandate ate 2 0 irectors/authorised signatories signing mandate ate 2 0 E. Investment details Name of fund inimum amount aximum upfront management fees Ongoing management fees Amount in s CFC Simba Fund s 100, %* 2% Stanbic oney arket Fund s 100, % 1.75% Stanbic Equity Fund s 100, %* 2% Other Total additional investment *Fees are charged on a sliding scale; details may be obtained from our office. Please tick payment method Cheque irect transfer International transfer Stanbic Investments accepts personal/corporate and bankers cheques payable to the ACCOUNT NAE of the Fund in which you intend to invest in. NO THIR PART CHEQUES OR CASH will be accepted. The bank account details are as listed below. Payments can be made directly into the inflow accounts in which case the transfer confirmation details must be attached to the application form. Please note that the bank deposit slip will be deemed as a receipt but not as value by Stanbic. 4 of 9

5 Broker etails Broker User I Brokerage/Company Name Full Name Telephone Facsimile ate 2 0 F. Investments Investments in Stanbic oney arket Fund Investments in CfC Simba Fund Investments in Stanbic Equity Fund Account name Stanbic oney arket Fund Inflow Account CfC Simba Fund Inflow Account Stanbic Equity Fund Inflow Account Bank Standard Chartered Bank Kenya Limited Standard Chartered Bank Kenya Limited Standard Chartered Bank Kenya Limited Branch CSC Head Office CSC Head Office CSC Head Office Branch no Clearing code Account no Swift code SCBLKENXSSU SCBLKENXSSU SCBLKENXSSU G. Source of funds Stanbic Investments anagement Services (EA) Ltd reserve the right to seek further information/documentation on the source of funds to be invested. The funds from this investment are from Please tick the source Sale of an investment portfolio Gift or inheritance isposal of property Savings Other (please state) Confirm the nature of business H. Cash flow plan (Withdrawal option) The Cash flow plan allows you to invest money in a specific portfolio and then draw cash from that portfolio (or from an existing portfolio) on a regular basis (usually monthly) to supplement your income. The choice of portfolios should be limited to the fixedinterest range, which generate regular income. The payments you will receive are repurchases from the portfolio and not income distributions. This could result in a capital gain or loss. These withdrawals will therefore be over and above any income distributions you may receive. See statutory disclosure and general terms and conditions for minimums. amounts Please tick the source CfC Simba Fund Stanbic oney arket Fund Stanbic Equity Fund Other Fixed regular repurchase amount on the of the month Repurchase frequency onthly Quarterly Halfyearly early Commencement date 2 0 Please note: Should a withdrawal option be selected, the first payment will only occur after the end of any applicable clearance period. 5 of 9

6 I. Income distribution Interest/ividends will be reinvested monthly for the Stanbic oney arket Fund and biannually for CfC Simba Fund, unless you tick the box below, in which case the amount distributed will be sent to your bank account on file. Please note that automatic reinvestment will provide you with maximum compound growth. Please send income distribution amounts to my bank account on file. Stanbic oney arket Fund (monthly) CfC Simba Fund (biannually) Stanbic Equity Fund (biannually) J. Statement and other correspondence All statements, reports and notices will be sent by default through . Please ensure your address is correctly entered. If no address is provided, you will incur postal charges for all posted correspondence. Prefered mode of receiving monthly correspondence (free) Post (s ) K. Statutory disclosure and general terms and conditions Unit trust Investments are generally medium to longterm investments. The value of units may go down as well as up and past performance is not necessarily a guide to the future. Valuations of the assets of the funds are conducted in accordance with the provisions of the Trust eed and the applicable laws, rules and regulations that incorporate a valuation process of valuing enlisted securities. Stanbic Investments anagement Services (EA) Ltd employees, agents, consultants or associates do not accept the liability howsoever arising from or in connection of valuations so conducted. An investment in the unit trust is not the same as a deposit with a banking institution. A schedule of fees and charges and maximum commissions is available on request from Stanbic Investments anagement Services (EA) Ltd ( the anager ). ore details are available from the anager. The anager undertakes to repurchase units at the price calculated in accordance with the terms and conditions of the relevant eed. No cash should be paid out to the Financial Advisor and any such payment is made at the risk of the client. Trustees: Kenya Commercial Bank Ltd Kencom House Kenya Nairobi Tel: /684 L. General details Please tick where applicable. How did you hear about our Funds? Press Radio Television Internet Word of mouth Other. Investor declaration I/we hereby apply for units in the above selected unit portfolio (s) and understand that this investment will be subject to the Trust eeds governing the scheme (s) administered by Stanbic Investments anagement Services (EA) Ltd. I/we have received the following information from my/our advisor, or from Stanbic Investments anagement Services (EA) Ltd before completing the application form; Investment objective Information on Pricing Charges Risk Factors Income Accruals Additional information ate 2 0 ate 2 0 ate of 9

7 N. Authority to act 1. Resolution: Entities At the meeting of the Trustees/irectors/embers/Partners/Executors (if more than one appointed)/committee: (insert name of business, company, close corporation, trust, partnership, etc.) held at (place) ate 2 0 it was resolved that the trust/company/partnership/deceased estate/other entities e.g. club, opens and investment account with Stanbic Investments anagement Services Ltd. The person/s specified under authorised signatories are authorised in terms of this resolution to act as signatories in respect of the aforesaid account in accordance with the instructions under point 2 below. and signatories of all directors/members/trustees/partners. 2. Authorised signatories (acting on behalf of individuals/entities) Capacity A/B (if applicable) The above signatories are authorised to sign as follows: (e.g. any two to sign jointly; any one to sign alone: A Alone, Two B s) 7 of 9

8 O. eclaration by financial adviser I hereby confirm that I have satisfied myself as to the identity of the investor, and I have verified the identity and undertake to keep records, in accordance with the requirements set out in the CA CIS Regulation, 2001 related legislations, regulations or guidelines. of Financial Adviser ate 2 0 Intermediary name Adviser s name Broker code Licence no. CSB lead generator name P. Kenya identification and business requirements Unless previously provided to Stanbic Investments anagement Services (EA) Limited, please send verified/certified copies of the documents set out below. These are used to verify the identity of the investor. Strictly, only clear, legible copies of identity and other documents will be accepted. Individuals/Sole Proprietor Kenyans Identity document, OR; Valid passport Proof of physical residential address Authority to act (if applicable): power of attorney/letter of appointment from the court and authorised signatories resolution (if more than one) (If applicable) Identity document, physical residential address and contact details of persons authorised to act Unabridged birth certificate for minors (under 18 years) Foreign Valid passport Proof of physical residential address Authority to act (if applicable) : power of attorney / letter of appointment from the court and authorised signatories resolution (if more than one) (If applicable) Identity document, physical residential address and contact details of persons authorised to act Unabridged birth certificate for minors (under 18 years) Proof of physical residential address One of the following documents reflecting name and physical residential address (must be less than 3 months old, unless otherwise specified) is required for proof of address: Utility bill Current lease or rental agreement Bank statement unicipal rates and taxes invoice ortgage statement Telephone account Tax return (less than 1 year old) Letter from bank manager, medical practitioner, accountant, or attorney, on a formal letterhead, stating that they know the client for three years, and confirming physical address Letter on letterhead, signed by board of trustees, directors etc. confirming physical business address. Correspondence from a body corporate or shareblock association Payslip or salary advice Spouse/partner Any of above documents for spouse, together with marriage certificate or if not available; Affidavit from person cohabiting with client, providing: Name, identity number and physical residential address of client and cohabitant Relationship between client and cohabitant Confirmation that residential address is shared Or if not available Visit to physical address by a Stanbic Investments anagement Services (EA) Limited employee, or as a last resort: Affidavit from client, providing: Name, identity number and physical residential address Confirmation that client resides at physical residential address Companies Kenyans Certificate of Incorporation Authority to act : irectors resolution irectors resolution giving names of authorised signatories Identity document, physical residential address and contact details of principal executive officer of company, of persons authorised to act and of persons holding more than 25% of voting rights in company Proof of physical business address Foreign Official document of Incorporation If trading in Kenya, documents for Kenya unlisted companies Authority to act : irectors resolution Identity document/passport, details of physical residential address and contact numbers of related parties and persons authorised to act Proof of physical business address Certificate of compliance 8 of 9

9 Trusts Trust deed or other founding document (e.g. will for Will Trust) Authority to act : Trustees resolution Identity document, physical residential address and contact details of each trustee, each beneficiary, the founder and the persons authorised to act Proof of registered address of Trustees eceased estates Letter of Executorship/Letter of Authority Authority to act: Special power of attorney (if applicable)/executors /authorised signatories resolution Identity document, details of physical residential address and contact numbers of persons authorised to act Partnerships Partnership agreement Authority to act: Partners resolution Identity document, physical residential address and contact details of partners and persons authorised to act Other entities Founding document/registration Certificate Authority to act:authorised signatories resolution Identity document, physical address and contact details of person authorized to act. Pin Certificate 9 of 9