Re-registration application

Transcription

1 Adviser details Name of individual Name of firm Address and postcode of firm Financial Services Number Re-registration application for ISA or Collective Investment Account Individual and joint *APREG0200F* Form purpose ure-registration only, which involves transferring your investments (without selling them). All other investment types can be applied for online at This form is for individual and joint re-registration applicants only and should not be used by corporate, trust or pension scheme applicants, for which we have a separate form. For ISAs, re-registration can only be used when transferring investments from existing ISAs and cannot be used to make new subscriptions to an ISA. Please indicate below which product(s) you wish to apply for and the type of investment required. Individual Savings Account (ISA) New ISA top up this existing ISA number Collective Investment Account (CIA) New CIA top up this existing CIA number Important notes Please use BLOCK CAPITALS only and blue or black ink. All applicable sections in the form must be completed because if information is missing, the application could be delayed or returned. This form must be signed and sent to Old Mutual Wealth, Old Mutual House, Portland Terrace, Southampton SO14 7AY. Our platform gives you access to the ISA and Collective Investment Account provided by Old Mutual Wealth Limited, Collective Retirement Account and Collective Investment Bond provided by Old Mutual Wealth Life & Pensions Limited and an Offshore Collective Investment Bond distributed by Old Mutual Wealth Limited for Old Mutual International (Guernsey) Limited. 1 of 12

2 1 Applicant details Part 1 First applicant s details Please quote your existing client reference number, if known Title Mr Mrs Miss Surname Other u please specify Full forename(s) Date of birth u dd mm yyyy Permanent UK residential address National Insurance number u for ISA investments this is essential (3) Please tick here if you do not have a National Insurance number Crown employees (3) Please tick here if you are a Crown employee, or the spouse/civil partner* of a Crown employee (see Declaration point 1b in section 5). *as defined by the Civil Partnership Act 2004 Contact telephone number u in case of query Correspondence address u if different from residential address Previous address u if you have changed your residential address in the last three months Part 2 Joint applicant details (CIA only) Please quote your existing client reference number, if known Title Mr Mrs Miss Surname Other u please specify Full forename(s) Date of birth u dd mm yyyy National Insurance number (3) Please tick here if you do not have a National Insurance number Permanent UK residential address u for a joint CIA we will use the correspondence address of the first applicant for all correspondence Previous address u if you have changed your residential address in the last three months 2 of 12

3 2 investment details isa re-registration (estimated value) (minimum 2,500) u please complete the ISA re-registration authority at the end of this form CIA re-registration (estimated value) (minimum 2,500) uplease complete the CIA re-registration authority at the end of this form 3 Automatic income or withdrawal instruction Please use this section for NEW income/automatic withdrawal instructions only. For changes to existing instructions, please complete the change to account form. ISA Type u please choose one option only 1. Distribution of income generated by the funds u please tick 2. Fixed withdrawal each payment of u minimum payment 25 In addition I wish to increase the fixed withdrawal amount annually: by 5%; or by the percentage increase in the Retail Prices Index. 3. Withdrawals equivalent to % u whole % of account value each year. Minimum payment 25 Frequency u please tick Monthly Quarterly Half-yearly Annually The start date for these frequencies will be the next available following your application. Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec The start dates for these months will be the next available following your application, or the date you state here: Start date CIA Type u please choose one option only 1. Distribution of income generated by the funds u please tick 2. Fixed withdrawal each payment of u minimum payment 25 In addition I wish to increase the fixed withdrawal amount annually: by 5%; or by the percentage increase in the Retail Prices Index. 3. Withdrawals equivalent to % u whole % of account value each year. Minimum payment 25 Frequency u please tick Monthly Quarterly Half-yearly Annually The start date for these frequencies will be the next available following your application. Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec The start dates for these months will be the next available following your application, or the date you state here: Start date continued 3 of 12

4 3 Automatic income or withdrawal instruction (continued) Bank details for ISA and CIA withdrawals All automatic income and withdrawal payments will be made by direct credit and we CANNOT make withdrawal payments to third parties. Please note: some banks or building societies cannot accept direct credits. Name of bank/building society u this must be a UK bank/building society account Branch address Sort code Account number - - Building society reference number u if applicable Account name 4 Power of attorney Where there is more than one attorney, please attach the same information for each one on a separate sheet of paper. Where an attorney is signing the Declaration in section 5 on behalf of the applicant we will need: the attorney s details below the original power of attorney, or a copy certified as a true copy of the original in ink on each page by a solicitor, stockbroker, certified notary public or the donor (ie the person giving the power) the attorney s identity verified. Surname Full forename(s) Full postal address u if correspondence for this account is to be sent to this address, please enter it as the correspondence address in section 1 Date of birth u dd mm yyyy For ISA applications, please indicate the nature of the applicant s incapacity: These are the only circumstances in which we can accept an ISA application made by an attorney. Physical Mental I have read the Personal Data Statement in the Terms and Conditions and consent to my personal data being used in accordance with that statement. Attorney s signature u You must sign both here and in section 5 writing the words as attorney after your signature Date u dd mm yyyy of 12

5 5 Declaration, includes commission options and signature(s) Please read this section carefully before signing and dating the declaration. The total amount you subscribe in a tax year to a stocks and shares ISA must not exceed the maximum ISA allowance, ( 11,280 for the 2012/13 tax year) plus charges (you may only subscribe to one stocks and shares ISA in any one tax year). 1. Where I am applying for an ISA a) I apply to subscribe for a stocks and shares ISA for the 2012/2013 tax year and each subsequent year until further notice. b) I declare that: all subscriptions made, and to be made, belong to me; I am 18 years of age or over; except where I am transferring a current tax year ISA, I have not subscribed and will not subscribe to another stocks and shares ISA in the same tax year that I subscribe to this stocks and shares ISA, and I have not subscribed and will not subscribe more than the overall subscription limit to a cash ISA and a stocks and shares ISA in the same tax year. I am resident and ordinarily resident in the United Kingdom for tax purposes or, if not so resident, either perform duties, which by virtue of Section 28 of Income Tax (Earnings & Pensions) Act 2003 (Crown employees serving overseas), are treated as being performed in the United Kingdom, or I am married to, or in a civil partnership with, a person who performs such duties. I will inform Old Mutual Wealth Limited if I cease to be so resident and ordinarily resident to perform such duties or be married to, or in a civil partnership with, a person who performs such duties. 2. Where I am applying for a CIA a) I declare that: I am 18 years of age or over; I am resident and ordinarily resident in the United Kingdom, Isle of Man, Guernsey or Jersey and will inform Old Mutual Wealth Limited if this changes in the future. (This does not apply to top-ups); b) I understand that Old Mutual Wealth Limited will administer the CIA in accordance with UK tax legislation. 3. I authorise Old Mutual Wealth Limited a) to hold my cash subscription, ISA and/or CIA investments, interest distributions, dividends and any other rights or proceeds in respect of those investments and any other cash; and b) to make any claims to relief from tax in respect of ISA investments on my behalf; and c) to sell units or shares in investments within my account to meet any charges, in accordance with the Terms and Conditions; and d) to give effect to my instructions in accordance with the Terms and Conditions. 4. i understand that I will not receive contract notes relating to transactions involving the purchase or sale of investments which are carried out on a periodic basis in the manner agreed to in this application. Details of these transactions will be shown in the half-yearly statement which will be sent to me. In particular, such transactions include: regular investments payable by direct debit; phased investments; portfolio rebalances; automatic withdrawals; dividend reinvestments; and sales of units to meet Old Mutual Wealth Limited charges. 5. I agree to the current Terms and Conditions and have kept a copy, together with a copy of the Key Features document. 6. I consent to my personal data being used in accordance with the Personal Data Statement in the Terms and Conditions. 7. I declare that this application has been completed correctly and to the best of my knowledge and belief. continued 5 of 12

6 5 Declaration, includes commission options and signature(s) (continued) Commission options to be completed by your financial adviser: Trail commission option u please tick one option only. If neither option is ticked fund-based trail will apply. Fund-based trail up to 0.5% depending on the funds selected Nominated trail of % ISA minimum 0.5% - maximum 1.5% CIA minimum 0% - maximum 1.5% You must enter nominated trail in multiples of 0.10% or 0.25%. This will be treated as an additional charge on your client s account, and will be taken on a monthly basis by us selling units/shares from the investment. Any fund-based trail commission due to be paid to you will contribute towards the nominated trail commission payment, so fewer units/shares will need to be sold. Nominated trail will apply to the amount being invested on this application form only. If you would like nominated trail on additional investments, please remember to complete this section each time. Initial commission is not available for re-registration Switch commission If your client agrees to pay you an amount each time funds are switched within the investment, please enter the percentage amount here. You may select between 0-3%, using multiples of 0.10% or 0.25%. This will be treated as an additional charge on your client s account and will apply to all switch instructions received, even those where you have not given advice to your client. % The instructions given above will apply to all investments selected in this application, if you wish to apply different commission options to different investments or products, please use a new form for each one. Alternatively, you can submit an online application where multiple commission options can be applied. For more information visit our website I confirm I have read and agree to points 1-7 of the Declaration in section 5. Where my financial adviser has completed the nominated trail commission box and/or the switch commission box above, I understand and accept that these will be treated as additional charges on my account. Applicant s signature u all applicants must sign Applicant s signature Date u dd mm yyyy 2 0 Date u dd mm yyyy 2 0 *APREG0200X* Checklist for your financial adviser u please ensure all necessary information is on each re-registration authority. Fund details Is the fund shown in our Funds List as eligible for re-registration? Does the fund have the same share class and Inc/Acc type as shown in our Funds List? Will the current manager or product provider also allow the fund to be re-registered? Is each fund name shown in full on the re-registration authority? Has the share class been completed for each fund (or N/A if not applicable)? Is the type of units shown for each fund (ie income or accumulation)? Client details Does the current manager have the up-to-date name and address for the client? Is the applicant(s) in section 1 the beneficial owner(s) of the fund(s) being re-registered? Are any account/reference numbers shown correct for the client and product? Signature Is the re-registration authority signed by each current registered holder? If the answer to any of these questions is no, we will be unable to carry out the re-registration. The funds must be re-registered exactly as they are now, which is why the current details and correct signatures are essential. 6 of 12

7 6 Money laundering regulations 2007: applicant introduction certificate (to be completed by your financial adviser) I/We certify that in accordance with the provisions of the UK Money Laundering Regulations 2007 and the Guidance Notes for the Financial Sector (as amended from time to time), I/we have verified the identity, address and source of funds of the applicant(s), and confirm having inspected the originals of the following documents. Evidence of name(s) Type of document(s) Applicant 1 Applicant 2 Reference(s)/Account number(s) Applicant 1 Applicant 2 Date of Issue of document u dd mm yyyy Applicant 1 Date of Issue of document u dd mm yyyy Applicant 2 Evidence of address(es) Type of document(s) Applicant 1 Applicant 2 Date of Issue of document u dd mm yyyy Applicant 1 Date of Issue of document u dd mm yyyy Applicant 2 Reference(s)/Account number(s) Applicant 1 Applicant 2 The applicant(s) name(s) and address(es) as shown on this Application Form correspond to my/our records, and the applicant is applying on his/her own behalf and not as a nominee, trustee, or in a fiduciary capacity for any other person. Note: Old Mutual Wealth Limited can accept as an alternative to the requirements above, an appropriate introduction certificate in accordance with the JMLSG Guidance Notes (as amended from time to time). Financial adviser s name Financial adviser s signature Date u dd mm yyyy of 12

8 Calls may be monitored and recorded for training purposes and to avoid misunderstandings. Old Mutual Wealth is the trading name of Old Mutual Wealth Limited which provides an Individual Savings Account (ISA) and Collective Investment Account (CIA) and Old Mutual Wealth Life & Pensions Limited which provides a Collective Retirement Account (CRA) and Collective Investment Bond (CIB). Old Mutual Wealth Limited and Old Mutual Wealth Life & Pensions Limited are registered in England and Wales under numbers and respectively. Registered Office at Old Mutual House, Portland Terrace, Southampton SO14 7EJ, United Kingdom. Old Mutual Wealth Limited is authorised and regulated by the Financial Conduct Authority. Old Mutual Wealth Life & Pensions Limited is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Their Financial Services register numbers are and respectively. VAT number When printed by Old Mutual this item is produced on a mixed grade material, which uses a combination of recycled wood or paper fibre from controlled sources and virgin fibre sourced from well managed, sustainable forests. PDF6543/ R/April of 12

9 Re-registration authority form for Individual Savings Accounts (ISAs) ALL SECTIONS OF THIS AUTHITY MUST BE COMPLETED; IF ANY INFMATION IS MISSING WE WILL NOT BE ABLE TO PROCESS THIS APPLICATION. Please note: Re-registration involves transferring your existing ISA, without selling the investments. A separate authority form must be completed for each ISA Manager. The form should be completed using BLOCK CAPITALS and blue or black ink. Please quote your existing Old Mutual Wealth client reference number u if known Application number u if applicable 1. Registered holder s details Registered holder s name Permanent UK residential address 2. Current ISA Manager s details Manager s name Manager s address Reference number u as registered with the current ISA Manager continued *APRER0600F* 9 of 12

10 3. Fund details u Please check with the current ISA Manager and our Funds List to ensure that the funds are eligible for re-registration. Full names of all funds to be re-registered Share class Income or Accumulation (Inc or Acc) All units/shares in the fund(s) above will be re-registered. 4. Current tax year If you are re-registering funds purchased with an ISA subscription for the current tax year then all of the funds bought with those subscriptions must be re-registered. Funds purchased with previous years ISA subscriptions can be re-registered in whole or in part, if permitted by the current ISA manager. The following must also be completed: Please state the total subscription you have made to this stocks and shares ISA in the current tax year with the current ISA Manager. stocks and shares ISA subscription 5. Declaration I hereby authorise the ISA Manager (detailed in this form) to provide Old Mutual Wealth Limited with any information that it may require, and to re-register the funds as detailed to Old Mutual Wealth Nominees Limited Designation: SIS with immediate effect. I confirm that the re-registration of the funds listed will not change the beneficial ownership from the current holder. I confirm that this transaction is exempt from Stamp Duty Reserve Tax (SDRT) by virtue of Paragraph 6 of Schedule 19 of the Finance Act The funds above are to be re-registered in specie (ie without selling the investments) to Old Mutual Wealth Nominees Limited Designation: SIS, Old Mutual House, Portland Terrace, Southampton SO14 7EJ. 1. Registered holder s signature Date dd mm yyyy 2 0 *APRER0600X* Calls may be monitored and recorded for training purposes and to avoid misunderstandings. Old Mutual Wealth is the trading name of Old Mutual Wealth Limited which provides an Individual Savings Account (ISA) and Collective Investment Account (CIA) and Old Mutual Wealth Life & Pensions Limited which provides a Collective Retirement Account (CRA) and Collective Investment Bond (CIB). Old Mutual Wealth Limited and Old Mutual Wealth Life & Pensions Limited are registered in England and Wales under numbers and respectively. Registered Office at Old Mutual House, Portland Terrace, Southampton SO14 7EJ, United Kingdom. Old Mutual Wealth Limited is authorised and regulated by the Financial Conduct Authority. Old Mutual Wealth Life & Pensions Limited is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Their Financial Services register numbers are and respectively. VAT number When printed by Old Mutual this item is produced on a mixed grade material, which uses a combination of recycled wood or paper fibre from controlled sources and virgin fibre sourced from well managed, sustainable forests. PDF6543/ R/April of 12

11 Re-registration authority form for the Collective Investment Account (CIA) ALL SECTIONS OF THIS AUTHITY MUST BE COMPLETED; IF ANY INFMATION IS MISSING WE WILL NOT BE ABLE TO PROCESS THIS APPLICATION. Please note: Re-registration involves transferring your existing investments, without selling them. A separate authority form must be completed for each Fund Manager or product provider. The form should be completed using BLOCK CAPITALS and blue or black ink. You can only re-register units/shares that are held in your name(s) (or held on your behalf by a Nominee). Do not use this form for trust or corporate investments, for which we have a separate form. Please quote your existing client reference number u if known Application number u if applicable 1. Registered holder s details Registered holder s name Permanent UK residential address 2. Additional registered holder s name u if applicable 3. Current Fund Manager s or product provider s details Manager s or product provider s name Manager s or product provider s address Reference number u as registered with the current Fund Manager or product provider. continued *APRER0600F* 11 of 12

12 4. Fund details u Please check with the current Fund Manager or product provider and our Funds List to ensure that the funds are eligible for re-registration. Full names of all funds to be re-registered Share class Income or Accumulation (Inc or Acc) All units/shares in the fund(s) above will be re-registered. 5. Declaration I/We hereby authorise the Fund Manager or product provider (detailed in this form) to provide Old Mutual Wealth Limited with any information that it may require, and to re-register the funds as detailed to Old Mutual Wealth Nominees Limited Designation: SIS with immediate effect. I/We confirm that the re-registration of the funds listed will not change the beneficial ownership from (or among) the current holder(s). I/We confirm that this transaction is exempt from Stamp Duty Reserve Tax (SDRT) by virtue of Paragraph 6 of Schedule 19 of the Finance Act The funds above are to be re-registered in specie (ie without selling the investments) to Old Mutual Wealth Nominees Limited Designation: SIS, Old Mutual House, Portland Terrace, Southampton SO14 7EJ. 1. Registered holder s signature 2. Additional registered holder s signature u if applicable Date u dd mm yyyy 2 0 Date u dd mm yyyy 2 0 *APRER0600X* Calls may be monitored and recorded for training purposes and to avoid misunderstandings. Old Mutual Wealth is the trading name of Old Mutual Wealth Limited which provides an Individual Savings Account (ISA) and Collective Investment Account (CIA) and Old Mutual Wealth Life & Pensions Limited which provides a Collective Retirement Account (CRA) and Collective Investment Bond (CIB). Old Mutual Wealth Limited and Old Mutual Wealth Life & Pensions Limited are registered in England and Wales under numbers and respectively. Registered Office at Old Mutual House, Portland Terrace, Southampton SO14 7EJ, United Kingdom. Old Mutual Wealth Limited is authorised and regulated by the Financial Conduct Authority. Old Mutual Wealth Life & Pensions Limited is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Their Financial Services register numbers are and respectively. VAT number When printed by Old Mutual this item is produced on a mixed grade material, which uses a combination of recycled wood or paper fibre from controlled sources and virgin fibre sourced from well managed, sustainable forests. PDF6543/ R/April of 12