Stockbrokers. MarketMaster. Application forms. Your investments. Your way.

Transcription

1 Stockbrokers MarketMaster Application forms Your investments. Your way.

2 Application notes This pack contains all the forms you need to complete to open your account, but if you d prefer, you can open an account online or by telephone visit BarclaysStockbrokers.co.uk for step-by-step instructions online, or call our experts on or local dial number * to open an account by telephone. Easy steps to opening an account by post 1. Complete the MarketMaster Application Form 2. Complete the Direct Debit Instruction this allows you to pay your fees quickly and easily direct from your bank account; or to use if you need cash to settle a trade, or even set up a regular payment to fund your account. 3. Ensure you include relevant bank verification we need this to comply with Anti-Money Laundering regulations. Please send us: a bank or building society statement for your chosen account. The statement should be no more than six months old and should show your name and current address. The bank account should be a personal current account in your own name, or one held in joint names with you, that accepts debits and credits; savings and business accounts cannot be used. Please note that a statement is mandatory unless you are nominating a UK mainland Barclays Bank account, or sending a cheque with your application. 4. Funding your account once your account is open you will be able to fund your account by debit card, either online or by telephone. If you d like to, you can also fund your account now. You can do this in several ways: with existing shares use the Lodging Your Share Certificates form, and send us this with your share certificate(s), and transfer form(s) Please note: if you already have shares or an account with another broker that you would like to move to us, please complete the Transfer from your Current Broker form. We will aim to complete transfers as quickly as possible, although there may be delays if your current broker prolongs the transfer; with a cheque enclose a cheque from your chosen account, made payable to Barclays Bank PLC ; by regular payments please complete the Regular Payments section of the Direct Debit instruction. 5. Final check please check you have completed and signed the forms you need to send to us, and return them in the enclosed reply envelope along with your identity information. Important information about the next steps It s important we receive all these items with your application. If we do not receive these items we may not be able to open your account or it may cause delays. For most applications, we ll aim to open your account the next day after we receive your application. We will then send you confirmation of your new account details and welcome information, so you can begin trading. Please note that it may take slightly longer to open accounts during times of high volume. However, in a small number of applications, we may need to ask you for additional paperwork. If you receive a letter asking you to provide more information, please ensure that you send this to us as soon as you are able to, so that we can open your account and you can start trading. When your account is opened Of course, once your account is opened, we are here to help you get started: Go online at BarclaysStockbrokers.co.uk to find links to our free research trial, an archive of application forms to tailor your account, information on all our latest products and services including our tax efficient and derivative trading accounts, online seminars, and top tips to trade. Our investment experts are available on or local dial number * to discuss your investment opportunities or answer queries. There are many things you can also do to tailor your account to make it work for you, such as giving other people access to view your account. We ll send you more information on Tailoring Your Account with your welcome pack. 2 *Calls to 0800 numbers are free if made from a UK landline and calls to 0141 numbers are charged at local rate, mobile costs may vary please check with your telecoms provider. Calls may be recorded so that we can monitor the quality of our service and for security purposes. Our opening hours are 7.30am to 7pm Monday to Thursday, 7.30am to 6pm on Friday (excluding bank holidays) and 9.30am to 12.30pm on Saturday.

3 MarketMaster Account Application Form Please fill in the details we ask for. Please sign and date the form and return it to us. Section 1 Personal details 1st applicant Title Mr Mrs Miss Ms Dr Other Male Female First name(s) 2nd applicant Title Mr Mrs Miss Ms Dr Other Male Female First name(s) Surname Surname Date of birth D D / M M / Y Y Y Y Address Date of birth D D / M M / Y Y Y Y Address Post/Zip code Country Post/Zip code Country International code Area code International code Area code Daytime tel no. Daytime tel no. Evening tel no. (optional) Evening tel no. (optional) National Insurance Number (optional) National Insurance Number (optional) Do you pay tax? (please tick as appropriate) Yes No Which country are you resident in for tax purposes? Do you pay tax? (please tick as appropriate) Yes No Which country are you resident in for tax purposes? If outside UK mainland, which country do you live in? If outside UK mainland, which country do you live in? What nationality are you? What nationality are you? Current occupation? Current occupation? 3

4 Section 1a Compliance reporting Are you required to report trades to your employer? (please tick as appropriate) Yes No Company Address Section 1a Compliance reporting Are you required to report trades to your employer? (please tick as appropriate) Yes No Company Address Post code Post code Declaration and Authority By completing this Compliance Reporting section I confirm I am an employee of the named Company or a spouse/civil partner of that employee. I instruct Barclays Bank PLC to send any information held by Barclays Stockbrokers including but not limited to, transaction(s) and holding(s) in my Account(s) to the named Company. Barclays Bank PLC will send the information to the Company according to Barclays Data Privacy Policy, and I consent to that data transfer. I also understand and acknowledge that the Company will process the information received in accordance with their own policies. Section 2 Account options If you already have a Barclays Stockbrokers account, please provide your account number: / / Please tick if you are an existing Premier Banking client Section 3 Managing your income You will automatically be set up with a Cash Management Service ( CMS ) account for settling your deals. Please select how you would like to receive your income below. (Select one option only.) Automatic Dividend Reinvestment Please use income paid to my CMS account to buy shares using ADR Section 4 Your chosen account Please complete your bank/building society details below, so we know where to pay income. Name of account holder Branch/Sort code Account number Section 5 Funding your account I am enclosing existing share certificates I am enclosing a cheque for made payable to Barclays Bank PLC, from my chosen account. Shares Where dividends are received as shares, please add shares to my account I have completed the Direct Debit Instruction I will fund by debit card when my account is opened Cash Please pay cash dividends to my CMS account Cash Please pay cash dividends to my Chosen Account 4

5 Section 6 Account linking Account linking allows you to link accounts held by you and members of your family at the same address. Although each Account linking group can contain only one primary MarketMaster account, you can then link as many Investment ISAs as you would like to the primary account, so you reach lower dealing commissions faster. Please provide details of any Investment ISAs you wish to link below: Section 7 Account communication preferences We might be able to provide you with information relating to your account by . If you wish to receive information in this way tick the box. / / / / / / / / 5

6 Section 8 Authority and Signature Declaration By signing below, you agree: (a) to Barclays Bank PLC providing the accounts and services you have selected in this form in accordance with the Agreement (as defined in the Barclays Terms ( the Terms )) and subject to English law; (b) Barclays Bank PLC will hold your stock in safe custody within a nominee account; (c) that all details you have provided are true and complete; and (d) that we can use your personal information as set out below and as provided for in the Terms and our privacy notice. 6

7 Important Your Personal Information Credit reference agencies We may use credit reference and fraud prevention agencies to help us make business decisions about providing you with financial services. A short guide to what we do and how both we and they will use your information is set out in the Terms. Our full privacy notice is available on our website or from your usual contact. By confirming your agreement to proceed you are accepting that we may each use your information in this way. Using your personal information We will collect and use information about you as described in the Terms and our privacy notice. This will include: collecting and using information about how you use and manage your account, informing you about products and services, collecting and using biometric information to uniquely identify you, transferring your information within our group and to service providers located in the UK or worldwide; and using information relating to your medical, health, lifestyle and ethnic background and any criminal offences (alleged or otherwise), to administer your products and services and to identify products or services that may be of interest to you. Cookies that collect personal information may be used on our websites (further information is available in the cookies policy on our websites). Accessing your data You can request certain information we hold about you by writing to us. A fee may be charged for this service, as permitted by appropriate law or regulation. Telling you about products and services As part of our service, we will keep you informed about products and services (including those of third parties) that may be of interest to you. Barclays Wealth and Investment Management will not give your personal data to any third parties for their marketing purposes. You can choose NOT to receive marketing communications from Barclays Wealth and Investment Management and other members of the Barclays Group, by ticking the appropriate boxes below: Telephone Text message Mail You can choose to receive specific content from us which does not affect your choice above. For example, if you chose to receive a service which includes the provision of information from us, then you will continue to receive such communications until you end that service. We may also contact you from time to time to obtain your feedback on our service and for other research purposes. When we do so, you can inform us that you do not wish to receive future requests of this type. 7

8 Important Transfer of Funds There are changes taking place which affect investments in funds. The Retail Distribution Review (RDR) is an initiative of our financial services regulator, the Financial Conduct Authority, and means that we are changing the way that we charge you for administering your fund investments. Full details of RDR and what we are doing as a result of these rule changes can be found at; BarclaysStockbrokers.co.uk/rdr By proceeding with this application to transfer you are aware that it is a condition of the transfer that you accept: That any fund units to be transferred in that are in a bundled share class (i.e. one that pays trail commission), will be switched within the Barclays account to its equivalent clean share class (i.e. one which does not pay trail commission).this will apply only where the equivalent clean share class is available on our platform. Please note that a separate Fund Administration Fee will be charged by Barclays Stockbrokers You may be liable for any exit charges from your current provider The switch process involves us selling your bundled units and purchasing clean units. During the switch process you will not be invested in the fund for one day. You may miss out on any fund growth during that day The switch to clean share classes will happen as soon as the transfer is complete where a clean equivalent is available If there is no equivalent clean share class at the time the transfer request is received then we will contact you. You can either retain the fund with your current provider or you can sell the fund and transfer cash to your Barclays Stockbrokers account There may be a financial impact involved in the switch process where funds being transferred in have a lower sale price than purchase price, otherwise known as a Bid/Offer spread. This is because we will sell the bundled fund at the lower sell price and buy the clean share class at the higher buy price. A table of those funds and an illustrated impact is available on our website at BarclaysStockbrokers.co.uk/rdr You can see a list of clean fund share classes currently available at BarclaysStockbrokers.co.uk/rdr What this means for you? When bundled (trail commission-paying) units are transferred into Barclays Stockbrokers platform: You should consider the financial impact of the transfer on your fund holding before you transfer You will probably have a different number of units in the fund after you move as the prices of bundled and clean share classes are normally different When completing a switch there will be some instances where we have to buy into a different unit type (e.g. from an Accumulation share-class to an Income shareclass). This is only the case for a small number of funds and we have listed these funds on our website at BarclaysStockbrokers.co.uk/rdr For further explanation and definition of the terms used please refer to the following page on our website; BarclaysStockbrokers.co.uk/rdr 1st applicant Signature 2nd applicant Signature Print name Print name Date D D / M M / Y Y Y Y Date D D / M M / Y Y Y Y 8

9 Please check your Application Form and return with everything else detailed on the application notes, to: Barclays, New Business Department, Tay House, FREEPOST (KE2462), Glasgow G2 4BR. For office use only Date D D / M M / Y Y Y Y Outlet Sort code Staff name Staff no Premier Source Info code 9

10 Section 9 Your Direct Debit instruction As part of your application we need you to complete the Direct Debit form below to cover any potential fee shortfalls. You also have the option of making regular payments into your account. Please complete the relevant section below if you would like to do this. Originator s Identification no Instructions to your bank or building society to pay by Direct Debit Bank or building society details Signatures (Banks and Building Societies may not accept Direct Debit (For joint accounts both parties must sign.) instructions for some types of accounts.) First account holder signature Name of account holder(s) Print name Name and address of bank or building society Date D D / M M / Y Y Y Y Second account holder signature Print name Post/Zip code Country Branch/Sort code Account number Instruction to your bank or building society: Please pay Barclays Stockbrokers 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 Barclays Stockbrokers and if so, details will be passed electronically to my Bank or Building Society. Date D D / M M / Y Y Y Y Reference number for office use only: / / Regular payments Do you want to make regular payments from your bank account into your sharedealing account? (please tick as appropriate) Yes No Please indicate the monthly amount you want to deposit What is your preferred payment date? D D / M M / Y Y Y Y Please note: Payment will be collected around this date each month. 10

11 Section 10 Instructions for lodging your share certificates To transfer investments you hold as share certificates in your name(s) to your Barclays Stockbrokers account please follow the instructions below. Step 1 Complete the Stock Lodgement Form below. Step 2 Complete a CREST Transfer Form (Section 3) for each separate stock. Step 3 Valid share certificates. You need to have valid share certificates for each stock detailed on your Stock Lodgement Form. If you are in any doubt about the validity of your certificate please contact the company registrars, whose details can be found at the bottom of your share certificate. To transfer investments you hold with another broker, please complete the Transfer from your current broker form enclosed. 11

12 Section 11 Stock Lodgement Form Please complete this Stock Lodgement Form to transfer investments you hold as share certificates to your new account, completing a separate CREST Transfer Form for every separate stock you submit. To transfer investments you hold with an existing broker, please complete the Transfer from your current broker form enclosed. Account holder details Name(s) of account holder(s) Share certificates Number of shares or nominal Company name and description of Certificate Cost of purchase value of investment shares (e.g. Boots Ord 25p) Number (if known) Please continue on a separate sheet if necessary. Signatures 1st applicant Signature 2nd applicant Signature Print name Print name Date D D / M M / Y Y Y Y Date D D / M M / Y Y Y Y 12

13 Section 12 CREST Transfer Forms Please complete the CREST Transfer Form for each separate stock you hold. The form can be photocopied if you require more than one. Please complete the form in capital letters, referring to the example below for guidance. Filling out the CREST Transfer Form Name of company whose shares you are transferring Description of security e.g. preference 150 Total number of shares in words SAMPLE Full name and address of certificate holder this must be the name and address that the registrars have on their records S Smith Shareholder to sign where indicated 13

14 CREST Transfer Form Counter Location Stamp Barcode or reference Above this line is for Registrar s use. SDRN Above this line for completion by the depositing system-user only. Consideration Money Certificate(s) Lodged with Registrar (To be completed by Registrar) Name of Undertaking Description of Security Amount of shares or other security in words Figures Please complete Form in type or in block capitals. Name(s) of registered holder(s) should be given in full; the address should be given where there is only one holder. If the transfer is not made by the registered holder(s), insert also the name(s) and capacity (eg. executor(s)) of the persons making the transfer. Please sign here In the name(s) of I/We hereby transfer the above security out of the name(s) aforesaid into the name(s) of the system-member set out below and request that the necessary entries be made in the undertaking s own register of members. Signature(s) of transferor(s) Designation (if any) Balance certificate(s) required Stamp and depositing system-user Barclayshare 113 Member of the Stock Exchange A body corporate should execute this transfer under its common seal or otherwise in accordance with applicable statutory requirements. Date: Full name(s) of the person(s) to whom the security is transferred. Such person(s) must be a system-member. Barclayshare Nominees Limited 1 Churchill Place London E14 5HP Participant ID Member Account ID Reference to the Registrar in this Form means the registrar or registration agent of the undertaking, not the Registrar of Companies at Companies House. CREST Co Limited is delivering this transfer at the direction and on behalf of the depositing system-user whose stamp appears herein and does not in any manner or to any extent warrant or represent the validity, genuineness or correctness of the transfer instructions contained herein or the genuineness of the signature(s) of the transferor(s). The depositing system-user by delivering this transfer to CREST Co Limited authorises CREST Co Limited to deliver this transfer for registration and agrees to be deemed for all purposes to be the person(s) actually so delivering this transfer for registration. This Form should be used only for a transfer of a certificated unit of a security to a CREST member to be held by a CREST member in uncertificated form. It should not be used for conversion of a unit held by a CREST member into uncertificated form. The CREST rules require that this Form be used for the transfer of a unit of a certificated security to a CREST member to be held by that member in uncertificated form. Any such transfer on this Form is exempt from stamp duty.

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16 Services for disabled customers We are committed to providing equal access to our services for all customers with disabilities. Full details of Barclays services and facilities can be found in our brochure Disabled customers making our services available. All of our literature can be provided in Braille, large print or audio tape on request, within a reasonable timescale, by calling * or local dial number *. * Calls to 0800 numbers are free if made from a UK landline and calls to 0141 numbers are charged at local rate, mobile costs may vary please check with your telecoms provider. Calls may be recorded so that we can monitor the quality of our service and for security purposes. Our opening hours are 7.30am to 8.30pm Monday to Friday (excluding bank holidays) and 9.30am to 12.30pm on Saturday. Barclays offers wealth and investment management products and services to its clients through Barclays Bank PLC and its subsidiary companies. Barclays Stockbrokers is a trading name of Barclays Bank PLC (Registered No Registered VAT No ) which is a member of the London Stock Exchange and ISDX. Barclays Bank PLC is registered in England and authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. The registered address is 1 Churchill Place, London E14 5HP. A copy of the Barclays Terms (Wealth and Investment Management) can be accessed at Item Ref: BWL1183. July 2014.

17 Completing your Direct Debit Mandate To enable us to process your request without delay, please ensure the Direct Debit Mandate is fully completed. This checklist may help you. Checklist Provide bank verification* All bank details provided e.g. account name, number, sort code and bank s name and address Sign and date completed Direct Debit Mandate * Please ensure you provide bank verification where the bank account details provided are not from Barclays Bank PLC. Acceptable verification of your nominated bank account details To allow us to verify your nominated bank account, please send us: An original or certified copy of your bank statement dated from within the last six months which confirms your name as account holder, account type, sort code and account number of your nominated account. Please note: we can now accept an internet bank statement provided it confirms your name as account holder, account type, sort code and account number of your nominated account, and is dated within the last six months. OR A letter dated within the last six months from your bank on headed paper which confirms your name as account holder, account type, sort code and account number of your nominated account. Your nominated bank account must be a UK personal current account in your name and accept Sterling debits and credits and electronic payments. Business or Savings accounts cannot be used. Certified copies Certified copies are duplicates of documents which a person of professional standing has stated to be genuine copies of the original documents. The person certifying the document must: Sign, stamp and date the document and state in writing that it is a true copy of the original which they have seen confirm their position (in line with acceptable certifiers above) provide a contact telephone number or address People who can certify documents are: Employees of Barclays Group or Barclays Wealth, including Barclays Bank counter staff Post Office certification service A government department, member of staff or official A director, manager or bank counter staff of a bank or an authorised credit or financial institution A director, company secretary or manager of an Approved Fiduciary Services Provider An Embassy, consulate or high commission officer in the country of issue A qualified lawyer or attorney, registered with the relevant national professional body A qualified accountant, registered with the relevant national professional body A notary public, a member of the judiciary, a senior civil servant or a serving police officer Stockbrokers

18 Barclays offers wealth and investment management products and services to its clients through Barclays Bank PLC and its subsidiary companies. Barclays Stockbrokers is a trading name of Barclays Bank PLC (Registered No Registered VAT No ) which is a member of the London Stock Exchange and ISDX. Barclays Bank PLC is registered in England and authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. The registered address is 1 Churchill Place, London E14 5HP. Item Ref: IBIM4425. March 2015