Form of Appointment. Individual Client. First/Sole Client Name Primary address* (residential)

Transcription

1 Schroders Wealth Management Form of Appointment Form of Appointment Individual Client Words defined in the Schroders (C.I.) Limited Terms of Business shall have the same meanings when used in this Form of Appointment Client Details First/Sole Client Name Primary address* (residential) Send all mail: To this address To the Alternative Address Alternative Address (if applicable) Nationality Telephone (Home) Telephone (Mobile) Facsimile (Home) address (Home) Telephone (Work) Facsimile (Work) address (Work) *The primary address will be the address for service of legal notices Taxation Status To be completed by all European Union passport holders, European Union residents and U.S. Persons Taxation Identification Number (TIN) Tax Residence Address Country

2 Schroders Wealth Management Form of Appointment Client Details Second Client Name Primary address* (residential) Nationality Telephone (Home) Telephone (Mobile) Facsimile (Home) address (Home) Telephone (Work) Facsimile (Work) address (Work) *The primary address will be the address for service of legal notices Taxation Status To be completed by all European Union passport holders, European Union residents and U.S. Persons Taxation Identification Number (TIN) Tax Residence Address Country For any further parties to the account, please provide the details requested above on a separate sheet of paper

3 Schroders Wealth Management Form of Appointment Banking Services (if relevant) I/we wish to open the following bank account(s) with Schroders (C.I.) Limited (please specify) Call Account: Sterling Euros US Dollars Other [please specify] Fixed Deposit Account: Sterling Euros US Dollars Other [please specify] Charge Card: Sterling Euros US Dollars Other [please specify] Please supply a Sterling Cheque Book (Cheque book will be linked to Call Account) Income Requirements Interest received on bank accounts opened should be: Added to the existing balance Paid to a separate income account with Schroders (C.I.) Limited Paid to another account with Schroders (C.I.) Limited (please give details) Paid away to *: (please give details) *(Please note that an electronic payment fee will be levied) Cash Statement Reporting Statement Frequency: Monthly Quarterly Six Monthly Annually Statements will be sent to the address or alternative address of the principal contact Please indicate additional addresses and number of copies (if required) Name Address Number of copies Name Address Number of copies

4 Schroders Wealth Management Form of Appointment Custody Services (if relevant) I/we hereby appoint Schroders (C.I.) Limited to provide the following custody services. Fees and charges will be debited in line with the Schroders (C.I.) Limited standard Tariffs and Charges schedule. Portfolio Name and Currency Name* Currency Mandate Type Execution Only Advisory Discretionary Portfolio Name and Currency Name* Currency Portfolio Name and Currency Name* Currency Mandate Type Execution Only Advisory Discretionary Mandate Type Execution Only Advisory Discretionary *Please specify what you would like you portfolio to be called, e.g. Grandchildren s Income Portfolio Portfolio Income & Capital Requirements Schroders (C.I.) Limited will open a bank account in the portfolio currency indicated above; please state whether you wish income and capital to be kept separate: Yes No Income received on portfolios opened should be: Credited to the portfolio bank account with Schroders (C.I.) Limited Paid to another account with Schroders (C.I.) Limited (please give details) Paid away to *: (please give details) *(Please note that an electronic payment fee will be levied) If you wish to hold balances in currency(ies) other than the portfolio currency, please indicate additional currency(ies) required:

5 Schroders Wealth Management Form of Appointment Portfolio Statement Reporting Statement Frequency: Monthly Quarterly Six Monthly Annually Statements will be sent to the address or alternative address of the principal contact. Please indicate additional addresses and number of copies (if required) Name Address Number of copies Name Address Number of copies Internet Access (if required) Please indicate here if you would like to view your bank account(s) and /or portfolio(s) with the Schroders ebanking service. First/Sole Client Second Client View Buy/Sell Securities Move Money Please note that statements for users of the Schroders ebanking service will be mailed annually. Instructions You are authorised to accept instructions from: me (First/Sole Client) either of us both of us jointly Joint account holders who are using the Schroders ebanking service have authorised Schroders (C.I.) Limited to accept instructions from either holder.

6 Schroders Wealth Management Form of Appointment Security Details (any two of these may be requested to verify your identification) Sole/First Client Occupation: Date of Birth: Memorable Word: Employer s Name: Mother s Maiden Name: Spouse s Middle Name: Place of Birth: Second Client Occupation: Date of Birth: Memorable Word: Employer s Name: Mother s Maiden Name: Spouse s Middle Name: Place of Birth: Confirmations and Signature We accept and agree (for ourselves and for any successor(s) in title) to be bound by the Schroders (C.I.) Limited Terms of Business and this Form of Appointment (all of which may be amended from time to time). Schroders (C.I.) Limited, its representatives or employees may call upon me/us by telephone or visit or may otherwise communicate with me/us without express invitation. Yes No Schroders (C.I.) Limited and/or its associates may send me/us marketing literature Yes No I/we confirm that I am/we are over 18 years of age. First/Sole Client Signature: Second Client Signature: Date Date

7 Schroders Wealth Management Form of Appointment Acceptance We agree to provide services to you on the basis of the Schroders (C.I.) Limited Terms of Business and this Form of Appointment (all of which may be amended from time to time). Signed for and on behalf of Schroders (C.I.) Limited Name: Date: For internal use only: Sign off No. Date December 2008 Version 3

8 Schroders Wealth Management Individual ID List Personal Identification Requirements Words defined in the Schroders (C.I.) Limited Terms of Business shall have the same meanings when used in this Individual ID List Client Name: Name of Individual: (if different) Identification Details For joint account holders, we would require one item from List A and one item from List B for each individual of the joint account Please tick the boxes to indicate which documents are being provided List A Verification of name; one item required Signed passport (current) National Identity Card (current) Driving licence (current with photo) Armed Forces identity card List B Verification of residential address; one item required Most recent mortgage statement from a recognised lender Bank, building society or credit union statement issued within the last 3 months Utility bill issued in the last 3 months excluding those for mobile phones Income Tax bill or Coding Notice issued within the last year and showing residential address All Individuals are requested to complete a Bank Reference Authority form. Taxation Status To be completed by all clients who are resident in the European Union or who hold passports issued by a member of the European Union Please provide verification of Tax Residence Address (TRA) as disclosed in the Form of Appointment TRA verified by: Inclusion in passport provided under List A above or: Item provided under List B above

9 Schroders Wealth Management Individual ID Requirements Please provide verification of Tax Identification Number (TIN): TIN Verified by: Inclusion in Passport/ID Card provided under List A above Certificate of Residence for Tax (issued by tax authority) Clients who hold a passport issued by a member of the European Union but who are not currently resident in their home Member State must provide a Certificate of Residence for Tax (issued by the tax authority of their country of residence) All Clients who are US persons are requested to complete and return Form W-9. If you have any questions, please contact one of our Wealth Management Team on In order that Money Laundering avoidance requirements may be satisfied, it is necessary for us to obtain copies certified as true copies of the originals (one from each list above). Such certification can only be given by: an embassy, consulate or high commission of the country of issue of documentary evidence of identity; a member of the judiciary, a senior civil servant, or a serving police or customs officer; a lawyer or notary public; an actuary; an accountant holding a recognised professional qualification or; a director, officer or manager of a regulated financial services business operating in an equivalent jurisdiction. The certifier should certify that they have seen the original documentation and that the copy document provided, which they have certified, is a complete and accurate copy of that original. The certifier should sign and date the copy document, print their name underneath clearly in capitals and indicate their capacity or position. Originals of the items in List B may be provided for rentention on our files if preferred. If you are calling at Schroders (C.I.) Limited s offices, please bring the original documents with you. We shall copy them while you are here and hand them back to you. If sending documents by post, do not send originals of your passport or driving licence. Arrange to have a copy certified and send that to us instead.

10 Schroders Wealth Management Bank Reference Authority To Name and address of principal banker from whom we can obtain a reference The Manager From Please print name and residential address Date of birth Account Name Account Number Dear Sirs I/we authorise you to provide Schroders (C.I.) Limited with any information they may require concerning my/our account(s) held with you and to debit my/our account with your charges, if any. Yours faithfully Signed Print Name Date Schroders (C.I.) Limited 40 Esplanade St Helier Jersey JE2 3QB Telephone: +44 (0) Facsimile: +44 (0) scil@schroders.com Registered Office Regency Court Glategny Esplanade St Peter Port Guernsey GY1 3UF Registered number in Guernsey Authorised and regulated by the GFSC and JFSC For your security, communications may be taped or monitored

11 Schroders Wealth Management Fees, Channel Islands Discretionary Investment Service Our management fees are tiered to recognise scale and are available upon request. Advisory Service Up to 5 million 0.65% Next 5 million 0.40% Over 10 million 0.15% Dealing Commission Managed Funds 50 Stock Exchange Transactions Equities 0.50% Bonds 0.25% Subject to a minimum of 100 The Advisory Service fee will be charged quarterly in arrears* A minimum fee of 2,500 will be charged per annum Subject to the minimum, the above annual fee scale will not be applied to assets held in Schroder funds Execution Service Custody 0.25% Dealing Commission Managed Funds 0.50% reduced to 0.25% on Schroders funds Subject to a minimum of 100 Stock Exchange Transactions Equities 0.50% Bonds 0.25% Subject to a minimum of 100 The Custody fee will be charged quarterly in arrears* A minimum fee of 750 will be charged per annum Subject to the minimum, the above annual fee scale will not be applied to assets held in Schroder funds Additional information Any third party brokerage charges and other costs incurred, including transfer and registration fees, taxes and stamp duty will be charged. Details will be included in the relevant transaction advice. *Based on the value of the assets in the portfolio at the fee invoice date, excluding any assets which have been specifically identified and agreed by us.

12 Schroders Wealth Management Fees, Channel Islands Banking Services Service Cheques: New cheque book Cheques with a value of under 250 More than 20 cheques written per month Returned Cheque Stopped Cheque Payments: Bankers Draft Telegraphic Transfer (wire transfer) Standing Order Other transactions: Crediting Funds Cheque Collections Direct Debit Set Up Returned Direct Debits Fixed Deposit Breakage Other charges: Certificate for Interest Paid/Received Client Request Status Reference Standard Audit Request Copy Statement Hold Mail Charge taken in sterling or currency equivalent No charge 10 per cheque First 20 cheques - Nil (Above per cheque) No charge (plus interest penalty if applicable) Charge of a time spent basis Minimum fee per statement 250 p.a. Note: Other services are available. Please contact us for further details. Interest rates are available on request. Balances below certain minima may not accrue interest. Schroders Wealth Management is the trading name of Schroders (C.I.) Limited ( SCIL ), Schroder & Co. Limited, London and Schroder & Co. Bank AG, Switzerland. SCIL is licensed and regulated by the Guernsey Financial Services Commission under The Banking Supervision (Bailiwick of Guernsey) Law 1994 and the Protection of Investors (Bailiwick of Guernsey) Law, 1987, as amended. The registered office and principal place of business of SCIL in Guernsey is at Regency Court, Glategny Esplanade, St. Peter Port, Guernsey GY1 3UF Tel: +44 (0) Fax: +44 (0) scil@schroders.com The representative office of SCIL in Gibraltar is at 24 College Lane, Gibraltar Tel: Fax: The Gibraltar office is a representative office of SCIL and operates in accordance with the Financial Services (Banking) Act The paid up capital and reserves of SCIL exceed 35 million. Copies of the latest audited report and accounts of SCIL are available from the Guernsey and Gibraltar offices on request. SCIL is a wholly owned subsidiary of Schroders Plc, which is incorporated in the United Kingdom. For your security, communications may be taped or monitored. Updated in July 2010/w34056

13 The European Union Savings Tax Directive ( ESD ) Client Declaration* Section 1 To be completed by all account holders I hereby declare that my status concerning the ESD is as follows: My residence/tax status excludes me from the requirements of the ESD Please complete sections 4 and 5 My income collected by the bank is subject to the ESD Please complete sections 2, 3 and 5 Section 2 To be completed by all account holders who are subject to ESD I hereby authorise the bank to treat any income collected on my behalf as follows: Either Please deduct retention tax from any eligible income paid through my accounts Or Please make disclosure of information relating to my income (please complete section 3 below) Section 3 To be completed by all account holders who elect for disclosure IMPORTANT the personal information given below will be used by the Bank in any Disclosure given to the Guernsey tax authorities: if any of the details you have given below change, you must inform the Bank in writing immediately. Tax identification number (TIN): Normally quoted on your tax return or any correspondence from your tax authority Country of permanent residence: This is the country within the EU in which you are resident for tax purposes. Date of birth: Place of birth: Section 4 To be completed by account holders who are claiming exemption from ESD Either My permanent address is outside the EU Or My permanent address is in the EU but the income collected by you is not Subject to EU tax * If your accounts with the bank are held in more than one person s name, a declaration must be completed by each named person.

14 The European Union Savings Tax Directive ( ESD ) Client Declaration Section 5 To be completed by all account holders To the best of my knowledge and belief the information provided in this form is accurate and true Signature of the account holder (if joint account holder a separate declaration must be completed by each account holder) Name of the account holder: Date: Signature of account holder: UK Schroder & Co. Limited 12 Moorgate London EC2R 6DA United Kingdom Tel: +44 (0) Fax: +44 (0) privateclients@schroders.com wealthmanagement Cazenove Capital Management Limited Edinburgh Quay 133 Fountainbridge Edinburgh EH3 9QG United Kingdom Tel: +44 (0) Fax: +44 (0) Cazenove Capital Management Limited Bank House White Friars Chester CH1 1PW United Kingdom Tel: +44 (0) Fax: +44 (0) Cazenove Capital Management Limited 6 Worcester Street Oxford OX1 2BX United Kingdom Tel: +44 (0) Fax: +44 (0) Schroder & Co. Limited 2nd Floor Quayside Tower Broad Street Birmingham B1 2HF United Kingdom Tel: +44 (0) Fax: +44 (0) privateclients@schroders.com wealthmanagement CAYMAN ISLANDS Schroder Cayman Bank and Trust Company Limited PO Box 1040 GT 2nd Floor, Harbour Centre Grand Cayman Cayman Islands Tel: +1 (0) Fax: +1 (0) scbt@schroders.com CHANNEL ISLANDS Schroders (C.I.) Limited PO Box 334 Regency Court Glategny Esplanade St Peter Port Guernsey GY1 3UF Channel Islands Tel: +44 (0) Fax: +44 (0) scil@schroders.com Schroders (C.I.) Limited 40 Esplanade St Helier Jersey JE2 3QB Channel Islands Tel: +44 (0) Fax: +44 (0) scil@schroders.com GIBRALTAR Schroders (C.I.) Limited PO Box College Lane Gibraltar Tel: +35 (0) Fax: +35 (0) scil@schroders.com GERMANY Schroder & Co. Limited Frankfurt Branch Taunustor 2 D Frankfurt Germany Tel: +49 (0) Fax: +49 (0) privatkunden@schroders.com ITALY Schroders (Italy) SIM S.p.A. Via Della Spiga Milan Italy Tel: +39 (0) Fax: +39 (0) giuseppe.marsi@schroders.com Schroders Wealth Management Piazza della Maddalena, Rome Italy Tel: +39 (0) Fax: +39 (0) infopb@schroders.com Schroders Wealth Management Piazzetta Bettiol Padua Italy Tel: +39 (0) Fax: +39 (0) infopb@schroders.com SPAIN Schroder & Co Bank AG Calle Pinar, 7 4th floor Madrid Spain Tel: +34 (0) Fax: +34 (0) diego.cavero@schroders.com SWITZERLAND Schroder & Co. Bank AG Central 2, Postfach 1820 CH-8021 Zurich Switzerland Tel: +41 (0) Fax: +41 (0) contact@schroders.ch Schroder & Co. Banque SA 8, rue d Italie CH-1204 Genèva Switzerland Tel: +41 (0) Fax: +41 (0) contact@schroders.ch SINGAPORE Schroder & Co. (Asia) Limited 11 Beach Road #06-01 Singapore Tel: +65 (0) Fax: +65 (0) singaporeprivateclients@ schroders.com HONG KONG Cazenove Capital Management Asia Limited Level 33 Two Pacific Place 88 Queensway Hong Kong Tel: +(852) Fax: +(852) Schroders Wealth Management is the trading name of Schroders (C.I.) Limited ( SCIL ), Schroder & Co. Limited, London and Schroder & Co. Bank AG, Switzerland. SCIL is licensed and regulated by the Guernsey Financial Services Commission under The Banking Supervision (Bailiwick of Guernsey) Law 1994 and the Protection of Investors (Bailiwick of Guernsey) Law, 1987, as amended. The registered office and principal place of business of SCIL in Guernsey is at Regency Court, Glategny Esplanade, St. Peter Port, Guernsey GY1 3UF Tel: +44 (0) Fax: +44 (0) scil@schroders.com The representative office of SCIL in Gibraltar is at 24 College Lane, Gibraltar Tel: Fax: The Gibraltar office is a representative office of SCIL and operates in accordance with the Financial Services (Banking) Act The paid up capital and reserves of SCIL exceed 35 million. Copies of the latest audited report and accounts of SCIL are available from the Guernsey and Gibraltar offices on request. SCIL is a wholly owned subsidiary of Schroders Plc, which is incorporated in the United Kingdom. For your security, communications may be taped or monitored. Updated in July 2010/w44807