IDENTIFICATION FORM AUSTRALIAN REGULATED TRUST (Including Self-Managed Super Funds)

Transcription

1 AUSTRALIAN REGULATED TRUST (Including Self-Managed Super Funds) GUIDE TO COMPLETING THIS FORM This frm is fr nly. Australian Regulated Trusts include self-managed super funds, registered managed investment schemes, unregistered managed investment schemes, gvernment superannuatin funds r ther Trusts subject t the regulatry versight f an Australian regulatr. Fr Trusts that are nt subject t the versight an Australian regulatr, cmplete the UNREGULATED AUSTRALIAN TRUST & FOREIGN TRUST IDENTIFICATION FORM. Tax infrmatin must be cllected frm an authrised representative f the Trust SECTION 1: REGULATED TRUST IDENTIFICATION PROCEDURE Sectin 1.1: General Infrmatin Full name f Trust (nt Trustee) (e.g. ABC Superannuatin Fund) where trust established (nly required if nt Australia) Full business name f trustee in respect f the trust (if any) Sectin 1.2: Type f Regulated Trust Tick Select ne f the fllwing type f Regulated Trust Self-Managed Superannuatin Fund Prvide the SMSF s ABN Registered managed investment scheme Prvide Australian Registered Scheme Number (ARSN) Unregistered managed investment scheme (Where the scheme is nt registered by ASIC, nly has whlesale clients and des nt make small scale fferings t which sectin 1012E f the Crpratins Act 2001 applies) Prvide the unregistered managed investment scheme s ABN Gvernment superannuatin fund Prvide name f the legislatin establishing the fund Other regulated Trust (A trust that is subject t the regulatry versight f a Cmmnwealth, r Territry statutry regulatr such as an apprved depsit fund, a pled superannuatin trust r an APRA-regulated superannuatin fund) Prvide name f the regulatr (e.g. ASIC, APRA, ATO) Prvide the Trust s ABN r registratin/licensing details Fr ther types f Trusts (e.g. family, charitable, estate) r Trusts regulated by a freign regulatry bdy, d nt use this frm but rather cmplete the AUSTRALIAN UNREGULATED TRUST & FOREIGN TRUST IDENTIFICATION FORM. Street Glbal Advisrs, Australia, Limited (ACN: ) and Street Glbal Advisrs, Australia Services Limited (ACN: )

2 SECTION 2: TRUSTEE IDENTIFICATION PROCEDURE (Please cmplete EITHER sectin 2.1 OR sectin 2.2) Please prvide identificatin infrmatin fr each individual Trustee(s) (sectin 2.1) r a crprate Trustee (sectin 2.2). Cmplete all fields belw and prvide a legible certified cpy f ID fr each individual trustee. Sectin 2.1: Individual Trustee (T be cmpleted if the selected Trustee(s) is an individual) Individual Trustee 1 Individual Trustee 2 Individual Trustee 3 If there are mre individual trustees, prvide details n a separate sheet and tick this bx. OR Sectin 2.2: Cmpany Trustee (T be cmpleted if the selected Trustee is an Australian Cmpany. If the selected Trustee is a freign cmpany then cmplete the FOREIGN COMPANY IDENTIFICATION FORM in additin t this frm) Cmplete all fields belw and prvide an ASIC extract r ASIC statement fr the cmpany : Cmpany Details Full name as registered by ASIC ACN Registered Office Address (PO Bx is nt acceptable) Street Principal Place f Business (if any) (PO Bx is nt acceptable) Street 2.2.2: Cmpany Type (Select ne f the fllwing cmpany types) Public (includes public listed cmpany, a majrity wned subsidiary f a public listed cmpany r a licensed cmpany subject t federal, state r territry gvernment regulatry supervisin), prceed t sectin Prprietary (cmpanies whse name ends with Prprietary Ltd r Pty Ltd; als knwn as private cmpanies), prvide the names f the directrs belw and prceed t If Prprietary, prvide the names f all directrs. 1 Street Glbal Advisrs, Australia, Limited (ACN: ) and Street Glbal Advisrs, Australia Services Limited (ACN: )

3 2 3 4 If there are mre directrs, prvide details n a separate sheet and tick this bx : Listing and Regulatry Details - if applicable (select any f the fllwing categries if applicable) Australian Public Listed cmpany (cmpanies that are listed n an Australian financial market such as the ASX) Prceed t Sectin 3 Name f market / exchange Majrity Owned Subsidiary f an Australian Public Listed cmpany (cmpanies that are majrity wned by an Australian cmpany that is listed n an Australian financial market such as the ASX) Prceed t Sectin 3 Australian listed cmpany name Name f market / exchange Regulated cmpany (subject t the supervisin f a Cmmnwealth, r Territry statutry regulatr beynd that prvided by ASIC as a cmpany registratin bdy. Examples include Australian Financial Services Licensees (AFSL); Australian Credit Licensees (ACL); r Registrable Superannuatin Entity (RSE) Licensees). Regulatr name Licence details (e.g. AFSL, ACL, RSE) Prceed t Sectin : Beneficial Owners (Cmplete if the cmpany is NOT ne f the 3 types f cmpanies defined in sectin abve) Prvide the names f the individuals wh ultimately wn 25% r mre f the cmpany s issued share capital (thrugh direct r indirect sharehldings) r any ther individuals wh directly r indirectly cntrl* the cmpany. * includes exercising cntrl thrugh the capacity t determine decisins abut financial r perating plicies; r by means f trusts, agreements, arrangements, understanding & practices; vting rights f 25% r mre, including vet pwer. Beneficial Owner 1 Beneficial Owner 2 Beneficial Owner 3 If there are mre Beneficial Owners, prvide details n a separate sheet and tick this bx. SECTION 3: TAX INFORMATION Cllectin f tax status in accrdance with the United s Freign Accunt Tax Cmpliance Act (FATCA) and Cmmn Reprting Standard (CRS). Regulated super funds (Self-Managed Superannuatin Funds, APRA regulated super funds, gvernment super funds r pled superannuatin trusts) are nt required t cmplete sectin 3 and can prceed t sectin 4. Street Glbal Advisrs, Australia, Limited (ACN: ) and Street Glbal Advisrs, Australia Services Limited (ACN: )

4 3.1: Tax Status Prvide the Trust s Glbal Intermediary Identificatin Number (GIIN), if applicable If the Trust is a Financial Institutin but des nt have a GIIN, prvide its FATCA status (select ONE f the fllwing statuses) Deemed Cmpliant Financial Institutin Excepted Financial Institutin Exempt Beneficial Owner Nn Reprting IGA Financial Institutin (If the Trust is a Trustee-Dcumented Trust, prvide the Trustee s GIIN) Nnparticipating Financial Institutin Other (describe the Trust s FATCA status in the bx prvided) SECTION 4: REGULATED TRUST & TRUSTEE VERIFICATION This sectin utlines the identificatin dcuments that we must cllect frm yu and it differs depending n regulated trust type. If yu d nt prvide the dcuments we may nt be able t prcess yur applicatin. Sectin 4.1: Dcumentatin Requirements fr Trust Verificatin Crss X Please mark with a X ne f the fllwing ptins which yu are prviding accrding t yur type f trust. Yu must select ne ptin and attach it t yur applicatin frm. Fr SMSFs, an riginally certified cpy f the trust deed; OR an riginally certified cpy f an extract f the trust deed cntaining at least the fllwing infrmatin: the name f the trust the name(s) f the trustee(s) Fr Managed Investment Schemes: a cpy f an ffer dcument f the managed investment scheme (e.g. a cpy f a Prduct Disclsure ment (PDS)) if yu are acting as the custdian f a managed investment scheme r ther regulated trust prvide an extract f the custdy Fr Gvernment Superannuatin Funds: a cpy r relevant extract f the legislatin establishing the gvernment superannuatin fund surced frm a gvernment website. Fr ther regulated trusts (excluding SMSFs): a cpy f the search f the relevant regulatrs database; a cpy f the PDS if yu are acting as the custdian f a managed investment scheme r ther regulated trust prvide an extract f the custdy Fr Unregistered managed investment scheme (Where the scheme is nt registered by ASIC, nly has whlesale clients and des nt make small scale fferings t which sectin 1012E f the Crpratins Act 2001 applies): An riginal certified cpy f the full trust deed; A certified cpy f an ffer dcument f the whlesale unregistered managed investment scheme (e.g. a cpy f a Prduct Disclsure ment); if yu are acting as the custdian f a managed investment scheme r ther regulated trust prvide an extract f the custdy Sectin 4.2: Dcumentatin Requirements fr Trustee Verificatin Crss X Please mark with a X ne f the fllwing ptins which yu are prviding accrding t yur type f trustee. Please attach each identificatin cpy t yur applicatin frm. Street Glbal Advisrs, Australia, Limited (ACN: ) and Street Glbal Advisrs, Australia Services Limited (ACN: )

5 Fr all individual trustee(s) listed in sectin 2.1, yu must prvide a certified cpy f ne f the fllwing types f identificatin dcuments fr each individual trustee*: Australian passprt (a passprt that has expired within the preceding 2 years is acceptable) Card issued under a r Territry fr the purpse f prving a persn s age cntaining a phtgraph f the persn Freign passprt r similar travel dcument cntaining a phtgraph and the signature f the persn Australian / Territry driver s licence cntaining a phtgraph f the persn If the trust has a crprate trustee as listed in sectin 2.2 yu must prvide a cpy f the cmpany extract taken frm the ASIC database r a cpy f the latest cmpany annual statement issued by ASIC. * Fr ther identificatin dcumentatin ptins, instructins n hw t certify a dcument, and wh can certify cpies f identificatin dcuments please refer t the Custmer ID frm fr individuals which is available n ur website at ssga.cm Street Glbal Advisrs, Australia, Limited (ACN: ) and Street Glbal Advisrs, Australia Services Limited (ACN: )