FundZone Investment Funds Re registration

Transcription

1 FundZone Investment Funds Re registration Application form Who this form is for This form (FZMF33c) is for existing customers who wish to re register an Investment Fund(s) from another Investment Fund Manager or Fund Supermarket to their Standard Life FundZone account You must also complete the letter of authority (FZMF41) Filling in this form Before completing this form, please read the Key Features (FZMF17) and Terms and Conditions (FZMF62) and the KIID or Fund Factsheet for the fund or funds you are re registering All sections must be completed; missing information will prevent us from accepting your application If you are receiving advice from a financial adviser, you should remember that the financial adviser is acting on your behalf not only by giving you advice, but also regarding completing this form Please fill in this form in black ink and BLOCK CAPITALS Don t use correction fluid if you make a mistake If you need to fix a mistake, please initial any changes you make A copy of this completed application form is available on request Adviser Details Important we use this code to pay adviser charges Please ensure you have completed this box Adviser Code Adviser to complete Existing account number (if applicable) S P Part 1 Client details First account holder National Insurance Number Title (Mr/Mrs/Miss/Ms/ Other eg Dr/Rev) Client Type New Existing I do not have a National Insurance Number Male Female 0918 Consultant Code For Standard Life use only This application form is for applicants who are resident in the UK for tax purposes When we say Standard Life, we or us we mean Standard Life Savings Limited If you need any help completing this form, please contact us on (Call charges will vary) A European Union directive requires fund managers to produce a Key Investor Information Document (KIID) for most funds This document sets out key information about the fund including the objectives and risks of the fund, what it invests in and its charges It is important that you read the KIID before selecting the fund Please provide your National Insurance Number If you do not have one please put a cross in the box to declare this Surname First name(s) in full Date of birth (DD/MM/YYYY) UK Resident? Yes No Permanent UK residential address House number Street City/Town County Postcode September 2018 Page 01 of 12

2 Part 1 Client details (Continued) First account holder (Continued) Telephone (include area dialling code) Home IMPORTANT NOTE FOR ADVISERS If you want your client(s) to receive online access to FundZone, please provide your client(s) address(es) opposite Work If you are a Court Deputy, you don t need to answer the following question Where are you tax resident? Please provide the relevant Taxpayer Identification Number () For example, in the UK it will be your National Insurance Number: Tax residency information You should speak to your adviser if you need more information about why we need to ask these questions You can enter up to five countries If you are tax resident in more than five countries please photocopy this page Second account holder National Insurance Number Title (Mr/Mrs/Miss/Ms/ Other eg Dr/Rev) Surname First name(s) in full Date of birth (DD/MM/YYYY) Permanent UK residential address House number Street I do not have a National Insurance Number Male Female UK Resident? Yes No Please provide your National Insurance Number If you do not have one please put a cross in the box to declare this City/Town County Postcode Page 02 of 12 September 2018

3 Part 1 Client details (Continued) Second account holder (Continued) Telephone (include area dialling code) Home Work If you are a Court Deputy, you don t need to answer the following question Where are you tax resident? Please provide the relevant Taxpayer Identification Number () For example, in the UK it will be your National Insurance Number: Tax residency information You should speak to your adviser if you need more information about why we need to ask these questions You can enter up to five countries If you are tax resident in more than five countries please photocopy this page September 2018 Page 03 of 12

4 Part 2 Nominated account details Instruction to your Bank or Building Society to pay by Direct Debit Issued by: Standard Life, Standard Life House, 30 Lothian Road, Edinburgh EH1 2DH Please supply the following details: The Manager Name and full postal address of your Bank or Building Society branch Name Building number Originator s identification no For Standard Life official use only This is not part of the Instruction to your Bank or Building Society The bank details entered here will be your nominated account This must be your own personal account Any income, Direct Debit or payments in and out of your investment will be made to/from this bank account You do not need to complete this section if you are not making regular payments or receiving income payments Important: If you have decided to make regular payments through Direct Debit, it takes us about 8 working days to set the Direct Debit up Street City/Town County Postcode Name(s) of Account holder(s) Bank or Building Society Account No Reference Number Branch Sort Code Please refer to the top right hand corner of your cheque book Your instruction to the Bank/Building Society, and signature Please pay Standard Life Direct Debits from the account detailed in this instruction subject to the safeguards assured by the Direct Debit Guarantee I understand that this Instruction may remain with Standard Life and, if so, details will be passed electronically to my Bank/Building Society Signature(s) Signature(s) required Date (DD/MM/YYYY) Bank and Building Societies may not accept Direct Debit Instructions for some types of account Page 04 of 12 September 2018

5 Adviser declaration I/We confirm that the sort code, account number and account name contained in Part 2 of the application was obtained and verified by me/us in relation to the applicant(s) Standard Life reserves the right to request evidence of your client s account at any time Signature Date (DD/MM/YYYY) Part 3 Income share classes and managing income Have you chosen to invest in Income Units? Yes No If you have chosen to invest in income units, the distribution income can be reinvested to buy more of the units in the fund from which the income was received Please cross this box to instruct us to reinvest your income to buy more units in the same fund Alternatively, you can elect for this income to be paid to your nominated account In this case, we can either pay all income automatically as soon as it is received or pay distribution income only once it has reached a minimum payment amount You can also choose how often to take this income If you wish to be paid the full distribution income as soon as it is received, please indicate the minimum payment amount as 000 Minimum payment amount How often do you want the withdrawal paid? Monthly Quarterly Half-Yearly Yearly Please leave frequency blank if you would like a payment to be made when your minimum payment amount is reached Alternatively, you can elect for this income to remain in your Investment Funds cash account or to be transferred to the Supermarket Cash account If you wish to do this, you must contact us on Otherwise, the distribution income will be automatically reinvested for you to buy more units Please note that your contract note will still be for an income share class Signature By signing this declaration your adviser is confirming they have seen evidence of your bank account details For any bank account nominated in Part 2, acceptable forms of evidence are: original bank statement, cheque, pay in slip or a letter from your bank confirming your account details If you choose to receive an income, please ensure that you have completed Part 2 An income share class is one which pays an income from dividends and distributions from the fund These can be paid to your nominated account, or can be reinvested, to purchase more units in the fund September 2018 Page 05 of 12

6 Part 4 Regular withdrawal facility Complete this section if you want to make a regular withdrawal from your investment If you wish to withdraw a fixed amount for each payment, please indicate how much you want each payment to be For example, if you want to withdraw 100 each month ( 1,200 per year) cross the monthly box and write 100 in the payment box OR If you wish to withdraw a percentage of the current value of your holding, indicate the annual percentage amount For example, if you want to withdraw 6% per year paid at quarterly intervals, cross the quarterly box and write 6% in the percentage box Note, the percentage you specify will be a percentage of the current value of your investment holding and could be different from your initial investment amount Please indicate the date you would like payments to start from (please select a start date between the 1 st and 28 th of the month) (DD/MM/YYYY) Important This date must be no sooner than 30 days after you made your investment Please ensure you have completed Part 2 Please indicate how often you wish to make withdrawals Monthly Quarterly Half-Yearly Yearly Please note that if you do not select a frequency, a default of Monthly will be selected for you Please indicate where you wish to make withdrawals from: Withdrawal to be taken from Supermarket Cash account Withdrawal to be taken across Investment Funds Withdrawal to be taken across specific funds within the product % Any withdrawal payment out of your investment will be made to the nominated bank account you have given in Part 2 of the application If no bank details have been provided in this application, you will need to provide us with the details of your own personal nominated account prior to making any withdrawals The minimum regular withdrawal is 25 or 05% of the value of your Investment Funds (provided this percentage equates to a minimum of 25) There must be a minimum of 500 within an investment fund to allow regular withdrawals to be paid We may close your Investment Funds if the combined value of the cash and investments in it drop below 250 Please indicate which funds you wish to make your withdrawals from You can choose to withdraw a monetary amount, or a percentage of the fund Fund Citicode Fund name Amount Percentage % XXOO Standard Life Investments Managed EXAMPLE eg 5000 eg 5% Important: Please note that the fund CitiCode and the full fund name must be included on this form, as shown in the example opposite, in order for us to process your application The fund CitiCode is unique to each fund and each share class within a fund It is used to identify the fund and is available on wwwadviserzonecom Page 06 of 12 September 2018

7 Part 5 Supermarket Cash account also used to pay charges Regular payments How much do you want to invest in the Supermarket Cash account? Single payment Regular payments will be set up monthly and taken on the same day as your regular payment or the 1 st of every month unless you have indicated otherwise It is important that you put enough money in the Supermarket Cash account to pay any product charges and adviser charges you want paid from it We suggest keeping enough money in the Supermarket Cash account to cover 12 months of charges Part 6 Advice given and name of regulated firm This section to be completed by the adviser If you have not given advice in respect of this investment, please put a cross in the box on the left Otherwise we will assume that advice has been given Basis of Sale Whole of Market Other If other please specify Adviser FCA or Authorisation Number Name of regulated firm Address of regulated firm Building number Street Please enter Name and Address of regulated firm These are the financial advisers City/Town County Postcode Do you wish your client to receive access to the FundZone online platform? We may need to contact you (the Business Writer) about this application, please provide your contact details below: Name of Business Writer Contact number Yes No September 2018 Page 07 of 12

8 Part 7 How you want to pay your adviser Please tell us what you want to pay from your account to your financial adviser We will use the information you provide in this section to pay your financial adviser By signing the declaration in Part 10 of this form, you are: agreeing to the payment of the Adviser Charges documented in Parts 7a or 7b, and authorising Standard Life to accept all future instructions from your adviser for payment of Adviser Charges that you have agreed to pay them from your product You do not need to complete the information in Parts 7a or 7b if: your financial adviser is billing you directly for their services, or your financial adviser is not charging you for their services If either of these options apply, cross this box and then go to Part 8 It is important that you put enough money in the Supermarket Cash account to pay any product charges and adviser charges you want paid from it We suggest keeping enough money in the Supermarket Cash account to cover 12 months of charges Important note Adviser Charges are deducted from the Supermarket Cash account Please complete Part 5 Supermarket Cash account to deposit your money Part 7a Adviser Charge for re registration Complete this section if you will be making a re registration payment to your product and you have agreed a charge for advice with your adviser Please state the amount of Initial Adviser Charge as either a monetary amount or percentage We call this an Initial Adviser Charge Re Registration payment OR % Part 7b Ongoing Adviser Charge Complete this section if you have agreed to pay your adviser for ongoing advice The Ongoing Adviser Charge can either be a set amount or a percentage of your product We call this an Ongoing Adviser Charge 1 Set amount every month every year every quarter every half-year OR 2 Percentage % of your product a year This percentage can be taken once a year or split across a different time period: Yearly Quarterly Monthly Half-yearly Page 08 of 12 September 2018

9 Part 8 Data Protection Notice and Communication Preferences - Important, please read Data Protection Notice Using your Personal Information We will collect and use personal information about you and any other named individual on your application such as your name, date of birth and national insurance number in order to provide this product or service and manage our relationship with you It may be necessary as part of this product or service to collect and use personal information which is defined as special category data by data protection law eg Health related Any such special category data will only be collected and used where it s needed to provide the product or service you have requested or to comply with our legal and regulatory obligations and where we have obtained your explicit consent to process such information To provide this product or service and meet our legal and regulatory obligations, we will keep your personal information and copies of records we create (eg calls with us) while you are a customer of ours If this application does not proceed or when you no longer have a relationship with us, we are required to keep information for different legal and regulatory reasons The length of time will vary and we regularly review our retention periods to make sure they comply with all laws and regulations The information collected may be shared with other parts of Standard Life Aberdeen Plc and other companies we work with to support us in the provision of the product or service you have with us We may also share your information with our regulators, HM Revenue & Customs and your adviser where necessary and lawful to do so Whenever we share your personal information, we will do so in line with our obligations to keep your information safe and secure The majority of your information is processed in the UK and European Economic Area (EEA) However, some of your information may be processed by us or the third parties we work with outside of the EEA, including countries such as the United States Where your information is being processed outside of the EEA, we take additional steps to ensure that your information is protected to at least an equivalent level as would be applied by UK / EEA data privacy laws eg we will put in place legal agreements with our third party suppliers and do regular checks to ensure they meet these obligations For more information on how Standard Life Aberdeen processes your personal information and what your rights are, please read our Privacy Policy at wwwstandardlifecom/privacy or write to the Data Protection Officer at Standard Life Aberdeen, 1 George Street, Edinburgh, EH2 2LL or SLA_DPOffice@aberdeenstandardcom Communication Preferences Your essential updates We ll share important information on your plan and your choices, products and services, plus financial tips from our experts We also want to help you plan for the future by keeping you updated on: Latest news and offers from Standard Life Aberdeen PLC No Yes For information about Standard Life Aberdeen companies visit StandardLifeAberdeencom Offers of interest from our preferred partners No Yes To understand how, where and why we use your information, read our Privacy Policy Part 9 Money Laundering To comply with Money Laundering Regulations, we may verify your identity, by carrying out an online check with a reference agency Where an online check is carried out, the agency will verify your identity against public records and it will also check whether you have a credit history (but it will not disclose any information about your actual borrowings) The agency will add a note to show that an identity check was made to your credit file, but this information will not be available to any third parties If the online check does not confirm your identity, we will carry out a manual check and we may need to contact you for further information We regret we cannot offer any alternative process Acceptance of this application is subject to satisfactory completion of identity verification checks within 30 days of the application date September 2018 Page 09 of 12

10 Part 10 Client declaration and important information I declare that: I am 18 years of age or over; I am resident in the UK for tax purposes or, if not so resident, I am a Crown employee serving overseas and perform duties that are treated as being performed in the UK or I am married to, or in a civil partnership with, a person who performs such duties I will inform Standard Life if I cease to be so resident or perform such duties or be married to, in a civil partnership with such a person performing these duties I understand that Standard Life Savings Limited can accept no responsibility for any losses incurred as a result of a delay in the submission of this application; and I agree to my financial adviser receiving the adviser charge(s) described in Part 7 and authorise Standard Life to accept all future instructions from my adviser to pay the charges that I have agreed with my adviser I have read the Data Protection Notice and I agree that my personal data may be used for the purposes described (subject to me exercising my right not to be contacted with details of other products and services) I confirm that I have read the Key Features Documents and have read and agree to the Terms and Conditions of this investment I confirm that I have received the Fund Factsheet(s) for my chosen fund or funds I authorise you to carry out electronic identification checks if required My financial adviser (as detailed at Part 6 of this application form) has my authority to notify you, on my behalf, of any switches in investment funds My financial adviser also has my authority to notify you, on my behalf, of partial encashments of my investment, full encashment of my investment or to set up a regular withdrawal from my investment The proceeds of these are to be paid into my nominated account Any notification received from my financial adviser (whether online, over the telephone or in writing) should be acted on as if it had been direct instruction from me My financial adviser will continue to have this authority until I have notified you in writing that this authority has ended I declare that the information given is correct to the best of my knowledge and belief and that I will inform Standard Life Savings Limited of any change in the information given Read the declaration and important information above Check that you have completed ALL sections of the application form Sign that you agree to the declaration and important information In the case of joint applications all parties must sign First account holder signature Second account holder signature Date (DD/MM/YYYY) Signature Please ensure you sign here or we will have to return your application Very important The adviser must send in a verification of identity form along with this application to ensure no delays are encountered when carrying out future transactions on this account You must also complete and return the letter of authority (FZMF41) included at the end of this form Without this we will not be able to arrange your fund re registration(s) Page 10 of 12 September 2018

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12 Standard Life Savings Limited, provider of the FundZone Platform, is registered in Scotland (SC180203) at 1 George Street, Edinburgh, EH2 2LL Standard Life Savings Limited is authorised and regulated by the Financial Conduct Authority wwwstandardlifecouk Standard Life Aberdeen, reproduced under licence All rights reserved September 2018 Page 12 of 12 The Direct Debit Guarantee This Guarantee is offered by all banks and building societies that accept instruction to pay Direct Debits If there are any changes to the amount, date or frequency of your Direct Debit, Standard Life will notify you three working days in advance of your account being debited or as otherwise agreed If you request Standard Life to collect a payment, confirmation of the amount and date will be given to you at the time of the request If an error is made in the payment of your Direct Debit, by Standard Life or your bank or building society, you are entitled to a full and immediate refund of the amount paid from your bank or building society If you receive a refund you are not entitled to, you must pay it back when Standard Life asks you to You can cancel a Direct Debit at any time by simply contacting your bank or building society Written confirmation may be required Please also notify us Please tear off and keep safely