Stock Transfer of Investment Funds (in the event of a death)

Transcription

1 Stock Transfer of Investment Funds (in the event of a death) Internal Ref: Fm D How to fill in this fm: This should be completed by all Execut(s) Administrat(s) and be sent to us with a sealed Grant of Representation. If you are reinvesting offshe holdings iginally held in the Investment Funds Account, please complete the Fidelity Funds/Fidelity Funds II (SICAV) application fm and submit with this fm. Please use black ink and write clearly inside the boxes provided using capital letters. Mark your answers with a cross in the appropriate box like this: If you make a mistake, please crect it but don t use crection fluid. Any applications received that are not completed crectly may incur delays could be returned to you. If you have any queries about this fm, please call our Customer Services Team on Applications can only be accepted using iginal fms. Photocopies faxed copies cannot be accepted. What s next? Please send your completed application fm to: Fidelity PO Box 80 Tonbridge TN11 9YA 1 About the late account holder Investment Funds Account number Date of death 2 Estate infmation I/We the Execut(s)/Administrat(s) of the Estate of DECEASED request that the above mentioned Investment Funds account is sold and the proceeds released in accdance with Fidelity s redemption policy. 3 Execut(s) Administrat(s) Execut Administrat 1 Mr Mrs Ms Other Address 1 of 7 M

2 3 Execut(s) Administrat(s) (continued) Signature Execut Administrat 2 Mr Mrs Ms Other Address Signature Execut Administrat 3 Mr Mrs Ms Other 2 of 7 M

3 3 Execut(s) Administrat(s) (continued) Address Signature Execut Administrat 4 Mr Mrs Ms Other Address Signature 3 of 7 M

4 4 Stock Transfer instructions In the boxes below, please enter the details of the fund(s) that you wish to transfer. Note that we will use the fund code (not the fund name) to identify the fund(s) you wish to transfer. The relevant fund code can be identified on the Statement and Valuation at the date of death. Enter the number of shares/units that you wish to transfer opt to transfer the entire fund holding. You cannot specify a monetary amount to transfer. Fund code Fund name Entire holding (please mark X in the box) OR Number of shares/ units 5 Execut/Administrat declaration and signature(s) I/We understand that the infmation I/we provide on this application fm will be processed in accdance with Fidelity s data protection statement contained in the Client Terms. I/We hereby transfer the above shares/units out of the name(s) afesaid to the person(s) named below and request that such entries be made in the register as are necessary to give effect to this transfer. Signatures of all Executs/Administrats Authised Signature Execut/Administrat 1 Authised Signature Execut/Administrat 3 Authised Signature Execut/Administrat 4 Authised Signature Execut/Administrat 2 Stamp of the institution lodging this fm (if any), f queries etc. concerning the transfer: All Executs/Administrats must sign. Cpate bodies should execute under their common seal, otherwise as determined by their Memandum and Articles of Association. 4 of 7 M

5 6 Transferee details (new holder) Note, as soon as the transfer into the beneficiary account is complete we may need to switch the investment into an alternative share class of the same fund. F guidance on how to confirm which funds are eligible f stock transfers and which will be switched to an alternative share class, please refer to our suppting document Stock Transfers: What you need to know. Mr Mrs Ms Other: Date of birth National Insurance Number (This can be found on a payslip a letter from HMRC) No National Insurance Number? If you have never been issued with a National Insurance Number please mark an X in the box. Existing client only account number This must be the account number you wish to transfer to. Account Designation If you hold an existing Investment Funds Account this Stock Transfer will be treated as a top up. If you would like the holdings to go into a new Investment Funds Account, please enter a designation of your choice below to differentiate the holdings. The maximum no. of characters is 18, please note we are unable to use the wd trust. If transferring into a new investment account, complete section 7 if an intermediary/adviser is to be linked to the account. Your address - Care of and PO Box are not acceptable. Only UK addresses are eligible unless you are a Crown Employee the spouse/civil partner of a Crown Employee. Are you a resident in the UK f tax purposes? If yes please mark this box Are you also a resident in any other countries f tax purposes? If so please complete the following fields First country First country tax identifier Additional country Additional country tax identifier 5 of 7 M

6 6 Transferee details (new holder) (continued) Would you like Joint Holders on this account? If yes, please mark this box All holders must sign Section 8 (Declaration and signature(s). The Joint Holder Supplement Fm must also be completed and returned with this application fm. 7 Intermediary details (recipient account) Company stamp Unique Adviser Number FCA number I confirm that I am registered with the FCA to conduct business and my authisation number is: Remuneration details Office Use Only Please igne An Adviser Ongoing Fee cannot be applied to this type of investment using an application fm. If you would like to setup an Adviser Ongoing Fee this must be done online once the assets have been received. Verification of identity I/We confirm and consent to your reliance upon the fact, that I/we have verified the identity of the client named in section 6 in accdance with the Money Laundering Regulations and standards set in Guidance issued by the JMLSG. Please mark an X in this box. This confirmation must carry an iginal signature electronic equivalent. I/We confirm that I/we have provided the client with the appropriate documentation f their investment: The Key Features Document - Doing Business with FundsNetwk. The key infmation document applicable to the client s investment. The FundsNetwk Client Terms. Your signature Intermediary signature 6 of 7 M

7 8 Declaration and signature(s) I/We understand that the infmation I/we provide on this application fm will be processed in accdance with Fidelity s data protection statement contained in the FundsNetwk Client Terms. I/We hereby accept the transfer of the shares, detailed in Section 4, into my/our account. I/We declare that: By signing this fm I/we confirm that I am not/ we are not a US citizen, that I am not/we are not resident in the US, and that I do not/we do not have an obligation to pay tax to the US tax authities on my/our wldwide income. My adviser has provided me with the following documents either as an electronic version, which I/we have saved printed, as a paper copy and I/we have read: Key Features Document (Doing Business with FundsNetwk) the key infmation document and accept the FundsNetwk Client Terms. F your own benefit and protection you should read the FundsNetwk Client Terms carefully befe signing them. If you do not understand any point have not received one all of the documents above please contact your adviser. I/We have read the Stock Transfer document Stock Transfers: What you need to know Imptant Notice: If you have not received one all of the documents listed above relating to the fund(s) you wish to invest in, please go to fidelity.co.uk Where I/we have elected to move the holdings into an alternate share class, I/We understand that the charges (and possibly income options) of the new share class may differ from the existing share class and that f a dual priced fund, a bid offer spread may be charged. All subscriptions made, and to be made, belong to me/us, and that I am/we are 18 years of age over. I authise Financial Administration Services Limited to switch my holdings into a different share class of the same fund, if applicable. The infmation given by me/us is crect to the best of my/our knowledge, and I will infm Fidelity immediately of any changes to the infmation contained therein. (NOTE: In respect to this fm, Fax Authity does NOT apply - Fidelity can only act on iginal Stock Transfer Fms.) Signatures of all applicants Primary account signature Second account signature Third account signature Fourth account signature Note: F applications with joint holders the Joint Holder Supplement Fm must also be completed and returned with this application fm. Issued by Financial Administration Services Limited, authised and regulated by the Financial Conduct Authity. Fidelity, Fidelity International, the Fidelity International logo and F symbol are trademarks of FIL Limited. 7 of 7 M

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