New City Investment Manager (NCIM) ISA Application Form

Transcription

1 New City Investment Manager (NCIM) ISA Application Form SECTION 1 Personal Details This application will relate to the Tax Year commencing 6 April 20 and to any subsequent consecutive tax years in which subscriptions are made. Please use a separate application for each individual investor. Surname Mr/Mrs/Miss/Ms/Title Full Forename(s) Permanent Residential (incl. house no) Occupation Time at Current years months. If less than three years, please give details of your previous Residential. Daytime Telephone No. (incl. area code) Account Code (for existing investors) D00 National Insurance No.* Nationality HSDL Security Details: Mother s Maiden Name Father s Initials Date of Birth* (DD,MM,YYYY) Country of Residence First Job/Employer Investment Split (must total 100%): City Natural Resources (CYN) % New City High Yield (NCHF) % Income Handling Option: Re-invest into Source Stock Pay to my nominated bank account Please note: 1. To ensure processing in the current tax year, this application must be received at least seven days prior to 5 April. 2. Dividends will be reinvested in your ISA or paid to your nominated bank account as applicable. 3. This Application shall be rejected and returned to you, if it is not fully completed. *The Government s ISA regulations stipulate that an individual must state his or her National Insurance Number (NINO) and Date of Birth. You should be able to find your NINO on a payslip, form P45, P60, a letter from HMRC or from DWP or pension order book. If you do not have a record of your National Insurance Number it can be obtained by contacting your tax office, employer or tax adviser. If you have never had a National Insurance Number and are not in receipt of a National Insurance Retirement Pension, please tick this box. SECTION 2 Payment Lump Sum Investment This application form should be accompanied by a cheque for either the minimum investment amount of 1000 or a higher amount up to the annual maximum subscription allowance, drawn on an account held in the name of the ISA investor, either solely or jointly and made payable to NCIM ISA. Each completed application should be covered by a separate cheque. If you already have an NCIM ISA, you may invest by Debit Card and dispense with the need to complete an Application Form. To do this you should telephone Halifax Share Dealing Limited (HSDL) on Monthly Investments This application form should be accompanied by a completed Direct Debit Instruction and where applicable a cheque for the top up amount made payable to NCIM ISA. Please note that the Direct Debit must be on an account held in the name of the ISA investor either solely or jointly.

2 SECTION 3 Declaration and Signature I am applying to subscribe a lump sum of 10,200 to the NCIM ISA for this tax year and for each subsequent tax year. I am applying to subscribe 12 equal monthly payments of 10,200 (minimum 100) to the NCIM ISA for this tax year and for each subsequent tax year. I am applying to subscribe a lump sum of 1,000 which is the minimum required, together with any top up amount as may be required for this tax year and for each subsequent tax year. * Please tick one of the above boxes. If you wish to restrict your investment to the current tax year only, please tick this box. This declaration records the terms of the declaration made by the applicant named below. Any amendments/deletions to the declaration will invalidate the verification. I declare that: a) I am 18 years of age or over; b) I have not subscribed and will not subscribe more than the overall subscription limit in total to a cash ISA and a stocks and shares ISA in the same tax year that I subscribe to this ISA; c) 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; d) 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 the 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 HSDL if I cease to be so resident and ordinarily resident or to perform such duties or be married to, or in a civil partnership with, a person who performs such duties; e) All subscriptions made, and to be made, belong to me. Declaration and Signature To: HSDL Nominees Limited This declaration records the terms of the declaration made by the applicant named below. Any amendments/deletions to the declaration will invalidate the verification. (a) I agree to the NCIM ISA Terms and Conditions. I confirm that the information provided on this form is true and correct to the best of my knowledge and belief. I agree to be an execution only client and will not seek investment advice from Halifax Share Dealing Limited (HSDL). I understand that I will be categorised as a retail client. (b) I acknowledge that this application is subject to the Terms and Conditions of the NCIM ISA. I acknowledge that I have read the Key Features as set out in the accompanying documentation. (c) I direct you to invest my payment in the purchase of ordinary shares in either CYN and/or NCHF and undertake that if any subscription is made by cheque, the cheque will be met on first presentation and declare that this subscription is made using my own funds. (d) I appoint HSDL Nominees Limited to hold CYN and/or NCHF shares purchased on my behalf and to my order. I direct HSDL Nominees Limited that in the event that I have not given instructions in writing to vote or not vote on my behalf any CYN and/or NCHF shares held by them on my behalf at any meeting of shareholders five days before the time of the relevant meeting, HSDL Nominees Limited will refrain from exercising any voting rights attaching to such shares. (e) I agree to accept CYN and/or NCHF shares up to the value applied for less the costs specified or provided for in the Terms and (f) Conditions. I acknowledge that all telephone conversations connected with investment may be recorded. Your information and how we use it NCIM delegates the administration of the NCIM ISA and Investment Plan to HSDL. In assessing your application and confirming your identity, we ll use credit reference agency files and fraud prevention agency records. It s important to read about how we handle your personal data which is detailed in our Terms and Conditions booklet which is enclosed. If false or inaccurate information is provided and fraud is identified, details will be passed to fraud prevention agencies to prevent fraud and money laundering. Further details explaining how the information held by fraud prevention agencies may be used can be obtained by contacting the Administrator: Compliance & Risk, Halifax Share Dealing Limited, Lovell Park Road, Leeds LS1 1NS. Any information you provide will be held by HSDL and will not be passed on to any other product or service companies. We ll use it mainly to look after your account or to provide services for you. Your details may be used by NCIM Investment Managers Limited to send you information on other products and services they offer. If you would prefer not to receive such information, please contact NCIM Investment Managers Limited in writing at: CQS Cayman Limited Partnership, 5th Floor, 33 Grosvenor Place, London, SW1X 7HY. By signing your application, you agree that we can use your information in the ways described. Contractual relationship I understand and agree that all instructions given by me via the internet have the effect of creating a contractual relationship which has legal consequences. Checklist Have you enclosed? 1. Your completed and signed NCIM ISA Application Form? 2. Your personal cheque for the lump sum, or the first month s instalment, payable to NCIM ISA? 3. A Direct Debit instruction (if applicable)? All of these should be returned to: NCIM, Halifax Share Dealing Limited, Lovell Park Road, Leeds LS1 1NS, Tel:

3 New City Investment Manager (NCIM) ISA Transfer Form Your personal details You should complete a separate instruction for each ISA manager from whom you wish to transfer an ISA. Further copies are available on request. Please complete all the details as each section of this form will be detached and forwarded to your current ISA manager(s). Your Personal details Full Name (incl Title) Daytime Telephone Evening Telephone National Insurance number* Date of Birth HSDL Account code (if known) D Current ISA Manager details Name Telephone Number ISA Account Number Details about your ISA to be transferred Which type of ISA do you want to transfer from (please only select 1) Stocks and Shares ISA (Complete section A) Cash ISA (Complete section B) A) Stocks & Shares ISA 1. How much of your ISA do you want to transfer? Current year ISA subscriptions and the qualifying* investments bought with those subscriptions in whole, and/or Previous years ISA subscriptions in whole or in part Entire ISA 2. How do you want the transfer to be made? NB: some ISA Managers will only offer one. (Please tick 1 box only) Cash only (holdings to be sold prior to transfer) Qualifying* Shares & Residual Cash 3. If previous year s ISA, how much would you like to transfer. B) Cash ISA 1. How much of your ISA do you want to transfer? Current year ISA subscriptions, and/or Previous years ISA subscriptions in whole or in part (continue to section 2) Entire ISA 2. If previous year s ISA, how much would you like to transfer? To existing ISA manager: If a transfer of Shares and Residual Cash has been selected but this cannot be effected by yourselves, please transfer all holdings as cash only * Please see important notes over Request and authorisation to existing ISA Manager I authorise my existing ISA Manager to transfer the above numbered ISA Accounts to the NCIM ISA. I authorise my existing ISA Manager to provide Halifax Share Dealing Limited with any information, written or non-written concerning my ISA and to accept any instructions from them relating to the ISA being transferred. I acknowledge that may ISA may have to be transferred in whole or partially as cash and authorise any sale of shares, if necessary.

4 New City Investment Manager (NCIM) ISA Transfer Form You should be able to find your NI number on a payslip, form P45 or P60, a letter from HM Revenue & Customs, a letter from the DWP, or pension order book. The transfer will be subject to the terms and conditions of both your current ISA and the NCIM ISA. Subject to these and your instructions the transfer can take place either by transferring investments to your NCIM ISA, in cash or a combination of qualifying investments (please refer to NCIM ISA terms and conditions for a definition of qualifying investments). The terms of the transfer should be agreed between you, your current ISA Manager(s) and us. It is important that you are aware exactly what is being transferred and how it will be managed as a NCIM ISA. No additional subscriptions may be made to your NCIM ISA until the transfer of your existing ISA has been completed. Your current ISA Manager may impose exit charges and other costs associated with the transfer and you should ascertain to what extent you would be required to pay prior to instructing any transfer. You are responsible for any exit charges or other costs imposed by your current ISA Manager(s). Before instructing a transfer you should examine all costs/charges in connection with the operation of your ISA. Certain elements of our products may be priced differently than those of your current ISA Manager. Your current ISA Manager may allow transfers to other managers but only in the form of cash. Prior to instructing any transfer you should ascertain whether or not this would apply as you may suffer losses as a result of buying back these shares, units etc. sold. Transfers of ISAs between ISA Managers may take several weeks to complete. You should be aware that you might be unable to deal for a period whilst the transfer is pending. There is the potential for a loss of income or growth following a rise in the markets whilst the transfer is in the course of being completed. We accept no liability for any loss of opportunity during a transfer. Your current ISA Manager will agree a transfer date with us. Within 30 calendar days after the transfer date he must give us a notice in writing containing essential information and a declaration. You are responsible for ensuring all information in the application form completed by you and all other information supplied from time to time to us by you is correct when supplied. The NCIM ISA is administered by: Halifax Share Dealing Limited, Registered in England No Registered Office: Trinity Road, Halifax, West Yorkshire, HX1 2RG. Authorised and regulated by the Financial Services Authority, 25 The North Colonade, Canary Wharf, London, E14 5HS. A Member of the London Stock Exchange, and HM Revenue & Customs Approved ISA Manager.

5 New City Investment Managers (NCIM) ISA Instruction to your Bank or Building Society to pay by Direct Debit Please fill in the whole form using a ball point pen and send it to: NCIM ISA, Halifax Share Dealing Limited, Lovell Park Road Leeds LS1 1NS Name(s) of Account Holder(s) Bank/Building Society Account Number Branch Sort Code Name and full postal address of your Bank or Building Society To: The Manager Bank/Building Society Originator s Identification Number Instruction to your Bank or Building Society Please pay HSDL Direct Debits from the account detailed on this instruction subject to the safeguards assured by the Direct Debit Guarantee. I understand that this instruction may remain with HSDL and if so, details may be passed electronically to my Bank/Building Society. Banks and Building Societies may not accept Direct Debit Instructions for some types of account $ This guarantee should be detached and retained by the Payer. The Direct Debit Guarantee This Guarantee is offered by all banks and building societies that accept instructions to pay Direct Debits. If there are any changes to the amount, date or frequency of your Direct Debit Halifax Share Dealing Limited will notify you three working days in advance of your account being debited or as otherwise agreed. If you request Halifax Share Dealing 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 Halifax Share Dealing Limited 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 Halifax Share Dealing 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.