FundZone Data Capture Form

Transcription

1 with Declaration Notice Online new business 0118 Who this form is for This form is for financial advisers to gather details to submit online new business on FundZone Filling in this form Gather all the details required to submit your client s application Ensure your client has checked the data that is captured on this form Use the Declaration Notice section that makes up the last part of this document to capture the signature(s) required for the online application Send the completed Declaration Notice to Standard Life together with the cheque (if applicable) Only send the cheque once the application has been submitted Do not return the Data Capture section of this form to Standard Life A schedule confirming all the data that has been submitted to Standard Life will be issued directly to your client Please use BLOCK CAPITALS to fill in this form Do not use correction fluid if you make a mistake If you need to correct a mistake, please initial any changes you make A copy of this completed application form is available on request When we mention Standard Life, we mean Standard Life Savings Limited If you need any help completing this form, please contact us on Calls and electronic communications may be monitored and/or recorded to protect both you and us and help with our training Call charges will vary You can ask us for a copy of these records at any time We may charge a fee for providing this information Adviser details (if applicable) Important we use this code to pay adviser charges Please ensure you have completed this box Adviser Code Adviser to complete Client Type New Existing Existing account number (if applicable) S P Part 1 Your investment choice Stocks & Shares ISA Buy Transfer Investment Funds Buy Transfer Cash ISA to Stocks & Shares ISA Transfer January 2018 Page 01 of 20

2 Part 2 Client details First applicant Title (Mr/Mrs/Miss/Ms/ Other eg Dr/Rev) Surname First name(s) in full Date of birth National Insurance no Permanent UK residential address House number Street Male Female UK Resident? Yes No I do not have a National Insurance Number Please provide your National Insurance Number If you do not have one please put a cross in the box to declare this Please obtain your client s permanent address, care of addresses are not acceptable City/Town County Postcode Telephone (include area dialling code) Home Work Mobile Client access Yes No 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 (TIN) For example, in the UK it will be your National Insurance Number: Country Country TIN TIN Please cross Yes if you would like your client to be able to view their products on FundZone They will be sent a user ID and password Tax residency information You should speak to your adviser if you need more information about why we need to ask these questions Country Country Country TIN TIN TIN You can enter up to five countries If you are tax resident in more than five countries please photocopy this page Page 02 of 20 January 2018

3 Part 2 Client details (continued) Second applicant Title (Mr/Mrs/Miss/Ms/ Other eg Dr/Rev) Surname First name(s) in full Date of birth National Insurance no Permanent UK residential address House number Street Male Female UK Resident Yes No I do not have a National Insurance Number Please provide your National Insurance Number If you do not have one please put a cross in the box to declare this Please obtain your client s permanent address, care of addresses are not acceptable City/Town County Postcode Telephone (include area dialling code) Home Work Mobile Client access Yes No 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 (TIN) For example, in the UK it will be your National Insurance Number: Please cross Yes if you would like your client to be able to view their products on FundZone They will be sent a user ID and password Country Country Country Country Country TIN TIN TIN TIN TIN 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 January 2018 Page 03 of 20

4 Part 3 Transfer investment details Product Type Transfer Type Estimated total value Split Transfer Tax Year Subscriptions this tax year ISA Investment Funds Cash Re Registration Split Units Current As at Cash Previous Important: Your client will need to complete a separate letter of authority for each transfer request This will be generated by the Platform or you can access this from wwwadviserzonecom Account Number (with current investment manager) Fund CitiCode Fund name Number of units XX00 Standard Life Investments Managed (EXAMPLE) Current Manager Name Surname First name(s) in full Current Manager Address Building number Street City/Town County Postcode Current Manager s Contact Telephone Number (including STD) Number Page 04 of 20 January 2018

5 Part 3 Transfer investment details (continued) Product Type Transfer Type Estimated total value Split Transfer Tax Year Subscriptions this tax year ISA Investment Funds Cash Re Registration Split Units Current As at Cash Previous Important: Your client will need to complete a separate letter of authority for each transfer request This will be generated by the Platform or you can access this from wwwadviserzonecom Account Number (with current investment manager) Fund CitiCode Fund name Number of units XX00 Standard Life Investments Managed (EXAMPLE) Current Manager Name Surname First name(s) in full Current Manager Address Building number Street City/Town County Postcode Current Manager s Contact Telephone Number (including STD) Number January 2018 Page 05 of 20

6 Part 3 Transfer investment details (continued) Product Type Transfer Type Estimated total value Split Transfer Tax Year Subscriptions this tax year ISA Investment Funds Cash Re Registration Split Units Current As at Cash Previous Important: Your client will need to complete a separate letter of authority for each transfer request This will be generated by the Platform or you can access this from wwwadviserzonecom Account Number (with current investment manager) Fund CitiCode Fund name Number of units XX00 Standard Life Investments Managed (EXAMPLE) Current Manager Name Surname First name(s) in full Current Manager Address Building number Street City/Town County Postcode Current Manager s Contact Telephone Number (including STD) Number Page 06 of 20 January 2018

7 Part 3 Transfer investment details (continued) Product Type Transfer Type Estimated total value Split Transfer Tax Year Subscriptions this tax year ISA Investment Funds Cash Re Registration Split Units Current As at Cash Previous Important: Your client will need to complete a separate letter of authority for each transfer request This will be generated by the Platform or you can access this from wwwadviserzonecom Account Number (with current investment manager) Fund CitiCode Fund name Number of units XX00 Standard Life Investments Managed (EXAMPLE) Current Manager Name Surname First name(s) in full Current Manager Address Building number Street City/Town County Postcode Current Manager s Contact Telephone Number (including STD) Number January 2018 Page 07 of 20

8 Part 4 New payments Please complete Part 4 if your client(s) are making a new investment to Standard Life Investment amounts and the details of the payments Product Type ISA Investment Funds Single investment Regular investment Start date Cheque Direct Debit BACS/CHAPS ( Please select a start date between the 1st and 28th of the month) Direct Debit Cheques should be made payable to Standard Life Savings Limited and must be drawn from the client(s) personal account For Banker s Drafts or Building Society cheques, please ensure the Bank or Building Society has printed the client(s) name on the cheque to confirm the source of funds The minimum single investment amount is 500 and the minimum regular amount is 50 Frequency Monthly Quarterly Half Yearly Yearly Please note that if you do not select a frequency, a default of Monthly will be selected for you Fund CitiCode Fund name Single Investment units Regular Investment or % XX00 Standard Life Investments Managed (EXAMPLE) or % 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 EU legislation requires fund managers to produce investment documentation for most funds Please ensure you have read the relevant investment documentation before you select the fund Page 08 of 20 January 2018

9 Part 4 New payments (continued) Investment amounts and the details of the payments Product Type ISA Investment Funds Single investment Regular investment Start date Cheque Direct Debit BACS/CHAPS ( Please select a start date between the 1st and 28th of the month) Direct Debit Cheques should be made payable to Standard Life Savings Limited and must be drawn from the client(s) personal account For Banker s Drafts or Building Society cheques, please ensure the Bank or Building Society has printed the client(s) name on the cheque to confirm the source of funds The minimum single investment amount is 500 and the minimum regular amount is 50 Frequency Monthly Quarterly Half Yearly Yearly Please note that if you do not select a frequency, a default of Monthly will be selected for you Fund CitiCode Fund name Single Investment units Regular Investment or % XX00 Standard Life Investments Managed (EXAMPLE) or % 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 EU legislation requires fund managers to produce investment documentation for most funds Please ensure you have read the relevant investment documentation before you select the fund Part 5 Supermarket Cash account also used to pay charges Regular payments Single payment How much do you want to invest in the Supermarket Cash account? 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 Regular payments will be set up monthly and taken on the same day as your regular payment or the 1st of every month unless you have indicated otherwise January 2018 Page 09 of 20

10 Part 6 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 11 of this form, you are: agreeing to the payment of the Adviser Charges documented in Parts 6a, 6b or 6c, 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 6a, 6b or 6c 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 7 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 ISA allowance Adviser Charges are deducted from the Supermarket Cash account and therefore do not impact your ISA Allowance Please complete Part 5 Supermarket Cash account to deposit your money Part 6a Adviser Charge for regular payments Complete this section if you will be making regular payments to your plan and have agreed a charge for advice with your adviser We call this a Regular Initial Adviser Charge Spread payment of Regular Initial Adviser Charge (please complete one of the following options) a month for a year for a quarter for months years quarters Please note, depending on the amount and frequency you elect, the amount of the Adviser Charge actually paid may be slightly lower due to rounding a half year for half years Part 6b Adviser Charge for a single payment, transfer payment and re registration Complete this section if you will be making a single payment, transfer payment and/or a re registration payment to your product and you have agreed a charge for advice with your adviser We call this an Initial Adviser Charge Please state the amount of Initial Adviser Charge as either a monetary amount or percentage Single payment OR % Transfer payment OR % OR % OR % Re registration payment OR % Page 10 of 20 January 2018

11 Part 6c 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 1 Set amount We call this an Ongoing Adviser Charge 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 Monthly Quarterly Half-yearly Part 7 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 If you choose to receive an income, please ensure that you have completed Part 12 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 Minimum payment amount How often do you want income to be 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 January 2018 Page 11 of 20

12 Part 8 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 please indicate how much you want each amount to be For example, if you want to withdraw 100 each month (1,200 per year) cross the monthly box and write 1 00 in the amount 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 value of your investment when the withdrawal is made, which could be different from your initial investment % Start Date Please indicate the date you would like payments to start from (Please select a start date between the 1st and 28th of the month) Any withdrawal amount out of your investment will be made to the nominated bank account you have given in Part 12 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 Important This date must be no sooner than 30 days after you made your investment Please ensure you have completed Part 12 Please indicate how often you wish to Monthly Quarterly Half-yearly Yearly make withdrawals 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 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) % Page 12 of 20 January 2018

13 Part 9 Advice given and name of regulated firm (only applicable if you have a financial adviser) If you have not given advice in respect of this investment, please cross here Otherwise we will assume that advice has been given Where no advice has been given, you confirm you have ensured (and will continue to ensure) the product and the underlying investments are appropriate for your client Basis of Sale Whole of Market Other If other please specify Adviser FCA or Authorisation Number Part 9 to be completed by the adviser 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 Name of regulated firm Address of regulated firm Building number Street City/Town County Postcode Intermediary Reference Number We may need to contact you (the Business Writer) about this application, please provide your contact details below: Name of Business Writer Contact Number January 2018 Page 13 of 20

14 Declaration Notice Please ensure that these pages are completed and signed by your client(s), and returned to Standard Life (together with the completed Direct Debit mandate and/or payment remittance and cheque) I have supplied my clients with all relevant documentation, including the Key Information Document and relevant investment documentation, and instructed my clients to read all documents carefully before proceeding, and ask for further information if they do not understand any of the content Part 10 Important notes for applicants 1 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 2 Data Protection Notice important, please read All parties named on this form have a right to know that Standard Life holds personal data about them and the purposes for which it will be used Please give them an opportunity to read this notice Standard Life Savings Ltd will collect personal information about you in order to consider the application and, if the application is successful, to provide our services to you and manage our relationship and Standard Life s business and services If the application does not proceed, the information may be held on our records for up to seven years before it is deleted The information collected may be disclosed to other Standard Life Aberdeen group companies (Standard Life Aberdeen plc and its subsidiaries), to professional advisers, to third party service providers and, where appropriate and lawful to do so, to other organisations Your information may be held or disclosed in countries outside the European Economic Area which may not have the same standard of data protection laws Where this occurs, we will take appropriate steps to adequately protect it We and the other Standard Life Aberdeen group companies would like to contact you from time to time to keep you up to date with special offers, new products and services, newsletters and other promotions We will never pass your details to companies that are not subsidiaries of Standard Life Aberdeen group for marketing purposes If you do not want to be kept informed, please cross this box We would prefer to contact you electronically Please cross this box if you want to be contacted this way All parties named on this form have a right to know that Standard Life holds personal data about them and what purposes it will be used for Please give them an opportunity to read this notice If you would like to request a copy of the personal data we hold about you, please write to the Data Protection Co ordinator at Standard Life House, 30 Lothian Road, Edinburgh, EH1 2DH We may charge a fee for providing the information Page 14 of 20 January 2018

15 Part 11 Declaration Notice Important This Declaration Notice section is to be used to capture the signature(s) required for the online application Please ensure that the following pages are completed and signed by your client(s), and returned to Standard Life (together with the completed Direct Debit mandate and/or payment remittance and cheque) We must receive signed confirmation from your client(s) that they have read and understood the details of the Declaration Notice before the plan can be put in force Application Details to be completed by the financial adviser When you enter the application data online you will be given an SP number (eg SP ) Please write this number here: Please note that the payment remittance is printed from the platform S P Important Note This number is required to match the declaration with the data submitted online Not completing this section could result in a delay to the plan being put in force Applicant s Declaration and Consent for ISA Investments I have read through the completed Data Capture form and confirm the information contained in it is complete and correct My financial adviser has my authority to submit the information contained in the Data capture form to Standard Life on my behalf through adviserzone I understand that once this information has been submitted to Standard Life a confirmation schedule will be issued to me by Standard Life I also understand that I will have a period of 14 days from the date of Standard Life posting the confirmation schedule to check the information contained in it is correct I will advise Standard Life of any errors or omissions within the confirmation schedule within 14 days otherwise it will be deemed to be correct I understand that this application may be rejected if my financial adviser has not entered a valid SP number as required I declare that: All subscriptions made belong to me; I understand that I can access the relevant investment documentation for my chosen funds (where available) from the standardlifecouk website or by calling Standard Life 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 6 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 authorise Standard Life Savings Limited: To hold my cash subscriptions, ISA investments, interests, dividends and any other rights or proceeds in respect of those investments and any other cash; To make on my behalf any claims to relief from tax in respect of ISA investments; and On my written request to transfer or pay to me as the case may be, ISA investments, interest, dividends, rights or other proceeds in respect of such investments or any cash 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 relevant investment documentation for my chosen fund or funds January 2018 Page 15 of 20

16 Part 11 Declaration Notice (continued) Applicants Declaration and Consent for Investment Funds I/we have read through the completed Data Capture form and confirm the information contained in it is complete and correct My/our financial adviser has my/our authority to submit the information contained in the Data Capture form to Standard Life on my/our behalf through adviserzone I/we understand that once this information has been submitted to Standard Life a confirmation schedule will be issued by Standard Life to the first applicant I/we also understand that the first applicant will have a period of 14 days from the date of Standard Life posting the confirmation schedule to check the information contained in it is correct The first applicant will advise Standard Life of any errors or omissions within the confirmation schedule within 14 days otherwise it will be deemed to be correct I/we understand that this application may be rejected if my/our financial adviser has not entered a valid SP number as required I declare that: I am 18 years of age or over; 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) Before signing this Application Form, you should read the Key Features Document and Terms and Conditions carefully, as these are documents on which we will rely You should also read the relevant investment documentation for your chosen fund or funds If you have any questions, you should ask your financial adviser or contact the FundZone Customer Centre before signing This section must be completed by all applicants I authorise you to carry out electronic identification checks if required My financial advisers (as detailed at Part 9 of the Data Capture Form) have my authority to notify you, on my behalf, of any switches in investment funds My financial advisers also have 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 advisers (whether online, over the telephone or in writing) should be acted on as if it had been direct instruction from me My financial advisers 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 Person 1 Name Please note that only one signature is required for an ISA application Signature Date Please sign here Please state the capacity in which you are signing if you are not the bond owner Person 2 Name Signature Date Page 16 of 20 January 2018

17 Part 12 Nominated Account Details For Regular Payments Instruction to your Bank or Building Society to pay by Direct Debit Issued by: Standard Life Savings Limited, Standard Life House, 30 Lothian Road, Edinburgh EH1 2DH Please supply the following details: The Manager Name of your Bank or Building Society branch Full postal address of your Bank or Building Society branch 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 client s nominated account This must be your client s own personal account Any income, Direct Debit or payments in and out of your client s investment will be made to/from this bank account Building number Street City/Town County Postcode Name(s) of Account-holder(s) Bank or Building Society Account No Branch Sort Code Reference Number Building Society Roll Number 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 Date Please sign here Signature(s) Date Banks and Building Societies may not accept Direct Debit Instructions for some types of account January 2018 Page 17 of 20 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 Important, please tear off and keep safely

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20 Standard Life Savings Limited, is registered in Scotland (SC180203) at Standard Life House, 30 Lothian Road, Edinburgh EH1 2DH Standard Life Savings Limited is authorised and regulated in the UK by the Financial Conduct Authority wwwstandardlifecouk Standard Life Aberdeen, images reproduced under licence All rights reserved Page 20 of 20 January 2018