Diageo plc. Postal Share Dealing Service

Transcription

1 Diageo plc Postal Share Dealing Service In Association with STOCKTRADE A Division of Brewin Dolphin Securities Ltd Authorised and Regulated by the Financial Services Authority Please note that the share price may vary between the time at which you post your instruction and the time at which we deal. Stocktrade can not advise clients on the merits or suitability of any transactions or upon the suitability of any service. If you are unsure about the suitability of an investment or service you should contact an appropriate financial adviser. The value of your investments and any income from them may fall and you may not receive back the amount invested. Stocktrade's services may not be available in countries where they are prohibited by local securities law. If in doubt you should contact your usual legal or financial advisor

2 DIAGEO PLC SHARE DEALING SERVICE Please complete parts 1, 2, and 3 as appropriate. The details provided will be used for the registration of the shares, the forwarding of contract notes and any subsequent correspondence. PART (1) FULL NAME AND ADDRESS OF 1 ST NAMED HOLDER Full Name Address Postcode x Signature Daytime Tel Dated PART (2A) SHARE PURCHASE 1. Return your completed form to Stocktrade with your cheque for the sum which you wish to invest, subject to a minimum sum of 500. Stocktrade will calculate the number of shares to be purchased and will refund any residual cash balance to you. 2. The commission payable is 0.5% up o 10,000 with 0.2% on any excess (subject to a minimum fee of 15.00). Stamp duty is charged at the current rate of 0.5%. Deals over 10,000 will be subject to PTM (Panel for Take-over & Mergers) Levy of Please be aware that shares can only be bought in the name of the person lodging this form (although joint holders are allowable and should be listed as additional holders in the box below) 3. Certificates will be sent to you as soon as practicable after Stocktrade receive it from the Registrars. Please allow 2-3 weeks from the date of dealing. Please invest the enclosed cheque for the sum in the ordinary p shares of Diageo Plc. FULL NAMES OF ADDITIONAL HOLDERS SIGNATURE DATED 1. X 2. X 3. X PART (2B) SHARE SALE 1. Before you can sell your shares you MUST ensure that you hold the necessary share certificate(s). If you are in any unsure please call STOCKTRADE COMPANY SCHEMES TEAM on who will assist you. 2. Complete the sale transfer form on the following page. You are only required to complete the areas shaded in grey. If there is more than one shareholder then all must sign the sale form. 3. Send this page and the completed sale transfer form together with your share certificate(s) to:- Diageo plc Share Dealing Service, STOCKTRADE, 81 George Street, Edinburgh, EH2 3ES. 4. Yours shares will be sold on the day of receipt and the proceeds sent directly to your bank account ten working days after the sale date. A contract note detailing the transaction will be sent to your home address. 5. Stocktrade will sell all shares on the day of receipt. The commission payable is 0.5% up to 10,000 and 0.2% on any excess subject to a minimum of Deals over 10,000 will be subject to PTM (Panel for Take-over & Mergers) Levy of To enable the proceeds to be paid directly to your bank account you MUST complete the following boxes: Name of Bank Account Number Sort Code - - Ref/Roll Number (if applicable)

3 DIAGEO PLC ORD. GB BREWIN DOLPHIN SECURITIES LTD 12 SMITHFIELD STREET LONDON EC1A 9BD 092 A Member of the London Stock Exchange Authorised & Regulated by The Financial Services Authority. BREWIN NOMINEES LIMITED 092 SOLDCERT

4 PART (3) IDENTITY VERIFICATION As part of the UK Money Laundering Regulations 2003 we are required to verify your identity. In order to comply with these regulations the following steps deal with our anti money laundering requirements. In order for us to progress with your sale we must verify the full name and permanent residential address of all shareholders. We can do this by undertaking an electronic anti-money laundering check of the information you have supplied us. The check will be undertaken via a reputable referencing agency, who will retain a record of this check. If you consent to this check being undertaken, please print and sign your name below, indicating your date of birth in the box provided. FULL NAME SIGNATURE DATE OF BIRTH If you are a Non UK resident or you have not consented to an electronic anti-money laundering check then in order for us to progress with your application we must verify the full name and the full permanent residential address of all applicants as part of the Money Laundering Regulations The documentation you supply should either be the original or a certified copy. (Please do not send originals of passports/driving licences/identity cards, these must be certified copies). 1. Documents which will verify identity. Please send a certified copy of ONE of the following to verify your name: Current signed passport Current UK or EEA photocard driving licence Firearms certificate or shotgun licence National Identity card ( non-uk nationals) Identity card issued by the Electoral Office of Northern Ireland If you do not possess either of the above a certified copy of one of the following will be accepted: Valid full UK driving licence (old style) Recent evidence of state or local benefit entitlement, student grant, pension etc. Current council tax demand letter or statement. Court appointment such as Grant of Probate or notice of liquidator. 2. Documents which will verify address. Please send either an original or a certified copy of ONE of the following to verify your address (Two for overseas clients): Recent Utility Bill (dated within the last three months) (mobile phone bill or internet copies not acceptable) Recent Bank Statement or Building Society passbook (dated within the last three months) Local Authority tax bill (valid for the current tax year) Valid photo-card driving licence (only if not used as evidence of name must be certified copy ) Valid full UK driving licence - old style (only if not used as evidence of name - must be certified copy) Council rent book or tenancy agreement Recent evidence of state or local benefit, student grant, pension etc (only if not used as evidence of name) Solicitors letter confirming a recent house purchase. Systems generated or signed document from a Regulated Financial Sector firm. Please ensure all certified copies are certified as a TRUE COPY OF THE ORIGINAL DOCUMENT, in addition all photographic documentation must also be certified as TRUE LIKENESS OF THE APPLICANT Documents must be certified or notarised by one of the following:- A qualified banker. A solicitor or lawyer. A chartered or certified accountant. The person certifying the documents MUST supply the following information full name (please print), position/job title, work address, work telephone number. The certified documentation MUST also be dated and signed by the certifier. N.B. If you have any difficulty obtaining copies of documents certified by any of the above persons, please contact for assistance. Please note, applicants cannot certify their own documents and family members cannot certify documents on behalf of each other. Disclaimer Stocktrade, a division of Brewin Dolphin Securities Ltd, cannot be held liable for any loss or inconvenience that occurs as a result of them sending back to the initial sender any original documentation.

5 1. This service is provided by Stocktrade, 81 George Street, Edinburgh EH2 3ES, by arrangement with Diageo PLC. Stocktrade is a division of Brewin Dolphin Securities Ltd, 12 Smithfield Street, London, EC1A 9BD a member of the London Stock Exchange, Authorised & Regulated by the Financial Services Authority. Registration Number It is an execution-only service and neither Diageo PLC nor Stocktrade can advise you on the suitability or otherwise of these transactions to your personal circumstances. If you are in any doubt you should consult an appropriate financial adviser. How to use the service 3. To sell all / part of the Diageo PLC shares, please complete the Sale Request Form, CREST transfer form and forward it to our office with your share certificate. 4. If, after we have sold the shares for you, a dividend is payable or other rights are given to which you are not entitled, you will forward these to us promptly on demand. Dealing 5. Orders will be carried out at the best price reasonably obtainable in the market at the time of dealing in accordance with the best execution rules of the Financial Services Authority. Transactions may be aggregated; aggregation may produce a higher or a lower price than the price which might have been obtained if each order was transacted separately. You should be aware that in the circumstances where there is an illiquid market for some stocks, it may be necessary to execute transactions in a number of tranches over more than one dealing day. In such circumstances, you will obtain a volume weighted average price for the total deal. Stocktrade will only act in this way if it believes it to be in the interest of each participating customer, but this may on occasion work to the disadvantage of one or more customers. 6. Deals will be carried out on receipt of your duly completed documentation. 7. Please note that share prices can change materially between the time when you decide to sell and the time when Stocktrade are able to deal. Please also bear in mind that newspaper prices are middle prices. Charges 8. The commission charge for this facility will be 0.5% to 10K, subject to a 15 minimum. What you will receive 9. You will be sent a contract note setting out the price, the charges, the total amount due and the settlement date not later than the business day following the day of the deal being finalised. If, subject to market conditions, the deal takes place over several days, you will not receive a contract note until all deals have been completed. You should retain this for tax purposes. 10. The net proceeds will be credited to your bank account 10 business days after the sale is completed. If you purchase shares, a certificate will be sent to you as soon as practicable after Stocktrade receive it from the Registrars. Please allow 2-3 weeks from the date of dealing. Other Information 11. If settlement of any transaction fails, is incomplete or is delayed, because of faulty documents or some other reason, Stocktrade are entitled to reverse any transaction, to obtain reimbursement of any costs or expenses which they incur, to offset monies due to you against monies due to them and to sell any securities which they or their agents may be holding on your behalf. 12. Stocktrade are authorised to make enquiries of credit reference agencies (who will keep a record of that search) and any other enquiries which they may consider necessary to comply with the Money Laundering Regulations. Phone calls may be recorded and monitored. 13. Please remember that share prices can fall and you may not receive back the full amount you invested. Our Liability 14. We shall not be responsible for any loss whether arising through changes in market conditions or from error of judgement made in good faith on our part or on the part of any broker, analyst, adviser or agent used by us, or otherwise howsoever caused, unless such loss shall have been caused by our negligence, fraud or wilful default. However, we will not avoid any liability we may have under The Financial Services and Markets Act 2000 and the regulatory system. We shall not have any responsibility for money being paid to you once the money has left our bank account. Any correspondence and/or documents of title that are dispatched to you by post or courier to the latest address as notified to us by you are sent at TERMS AND CONDITIONS your sole risk. We shall have no responsibility for any failure in delivery to you on the part of the postal system or any courier company. We shall not be responsible if there is a delay or change in market conditions after we have received your Instructions and before the contract is effected. We shall in no circumstances, be liable to you for indirect or consequential loss of any nature whatsoever whether for loss of profit, loss of business or otherwise. Client Protection 15. We are covered by the Financial Services Compensation Scheme (which may include any successor thereto). You may be entitled to compensation from the scheme if we cannot meet our obligations. This depends on the type of business and the circumstances of the claim. Most types of investment business are covered for 100% of the first 30,000 and 90% of the next 20,000, so the maximum compensation is 48,000. Further information about compensation arrangements is available from the Financial Services Compensation Scheme, 7th floor Lloyds Chambers, Portsoken Street, London, E18BN. Complaints 16. If you have a complaint about any aspect of our service please contact the Company Schemes Team at Stocktrade or write to our Compliance Officer at 5 Giltspur Street, London, EC1A 9BD. Our complaints procedure is available on request. You can subsequently direct your complaint to the Financial Ombudsman Service Limited, South Quay Plaza, 183 Marsh Wall, London E14 9SR. Death of a Client 17. Upon receipt of written notification of your death this agreement will terminate automatically and our administration of your Portfolio will be suspended. Unless otherwise agreed with us, no Instructions over any Portfolio in your name can be accepted until the title of your Personal Representative(s) to the Portfolio has been satisfactorily established. Termination 18. This agreement will only last for the period defined in the description of service documents. 19. We retain the right to refuse to accept instructions from any individual. Amendments 20 No amendments to this Agreement shall be binding unless in writing and signed by the duly authorised representative of the Parties. Data Protection 21 The Data Protection Act 1998 governs how we may use your personal information and provides you with certain rights in respect of this data. In order to carry out our duties under this Agreement we will need to process personal information about you, which will always be in accordance with the Data Protection Act Records of your personal information will be held in accordance with the Data Protection Act 1998 and shall not be kept for longer than is necessary for the purpose to which this Agreement relates. 23 From time to time we may be required to share your personal information with Regulatory Authorities and Statutory Bodies. 24 The Data Protection Act 1998 provides you with certain rights in respect of your personal information and certain remedies may be available to you as a result of any breach by us of the Data Protection Act Further details are available on request. Governing Law 25. This Agreement shall be governed and construed in accordance with the laws of England and Wales. Each party submits to the exclusive jurisdiction of the English Courts. Glossary Personal A person appointed under the law of the relevant jurisdiction to Representative Portfolio administer the estate of a deceased person. Your account with us including any Investment and currency accounts or cash deposit accounts held with us (whether held by us, one of our Nominee Companies or a product provider).