Emirates NBD Asset Management Limited Investor Details Form Segregated Accounts

Transcription

1 Emirates NBD Asset Management Limited Investor Details Form Segregated Accounts Application form additions Please note that information required in this application form is mandatory for the operational, legal and regulatory purposes of opening an investment account with Emirates NBD Asset Management Limited ( ENBD AM ). The application may not be accepted and redemption proceeds will not be processed until ENBD AM is in receipt of the required information and requisite anti-money laundering documentation. Additional confirmation of identity or authority of the applicant may be required in certain circumstances. Please note that ENBD AM can only accept application forms from an entity that has a legal capacity to enter into contracts in its own right and may require the constitution document(s) to evidence legitimate status. Initial application must be completed and posted to: UAE: Tel ; Fax Emirates NBD Asset Management Limited UK: Tel P.O. Box , Singapore: Tel: th floor, East Wing, Main Gate Building, DIFC, Dubai, UAE assetmanagement@emiratesnbd.com Completed application forms must also be sent by fax with original forms and supporting documents to follow thereafter. Subsequent applications may be made in writing or by facsimile stating your registration details and the amount to be invested. New clients should complete section 1 and 2. Business introducer to compete section 3 and 4. Section 1 Existing account holders If you have an existing account with ENBD AM please tick here and provide the account number: If you have an existing account with ENBD AM but wish to open a new account please tick here: Client Details If an individual, go to 1A or if a corporate/company go to 1B. Section 1A Personal details Title (Mr, Mrs, Miss etc): Forename: Date of birth: Passport number: Family name: Forename(s) (other): Investment account number: Passport copy to be certified by a suitable person/entity, such a notary public, a police officer, an embassy/consular official, a chartered or certified public accountant or a practicing solicitor. Residential address (t P.O. Box): Correspondence address (if different from residential address): Home country address: Telephone number: P.O. Box number: City: Telephone number (home): Mobile number: address (home): Statement preference (please select): Telephone number (business): Fax number: address (business): Postal mail: Home Business Mode of account operation (please select): Single: Joint: Other (Please specify): Page 1 of 7

2 Section 1B Company/Corporate details Company name (As per Certificate of Incorporation/Trade Licence): Contact person: Position: Registered office address: Telephone number: Fax number: address: P.O. Box number: City: Trading name (if different from registered name): Trading address : Telephone number: Fax number: address: P.O. Box number: City: Date of incorporation: Place of incorporation: Director name (1): Specimen signature: Director name (2): Specimen signature: Director name (3): Specimen signature: Statement preference (please select): Postal mail: Mode of account operation (please select): Single: Joint: Other (Please specify): Page 2 of 7

3 Are you applying from an Emirates NBD Group Company? If yes, go to 2A, if no go to 2B Section 2A Investments from an Emirates NBD Group Company Client name (as in passport): Investor 1: Investor 2: Bank from which payment is to be made: Branch: Currency: Transfer date: Account holder name: Single Name 1: Account holders names: Joint Name 2: Please debit my Emirates NBD / EIB account Amount in figures: Amount in words: Authorised signatory: Investor name 1: Authorised signatory: Investor name 2: Emirates NBD Asset Management reserves the right to refuse to process any subscription request in accordance with the Terms and Conditions of the investment account. The prices of any underlying security or asset used in processing the subscriptions shall be the next available price as applicable, once cleared funds for investments are received. All transactions on the Investor s account shall be processed in accordance with the rules of the relevant products/investments applied for. ENBD AM use only Signature verified: Input by: Authorised: Page 3 of 7

4 Section 2B Investments from an external account Method of payment to purchase shares The serial number on the opposite page of this application and the Family/Company name of the first named holder must be quoted with all payments. Please note that if you have indicated the method of payment as Electronic Bank Transfer, you are not authorising the Administrator to initiate payment. You will have to instruct your bank directly to debit your account. Electronic Bank Transfer from bank account detailed below. See electronic bank transfer information for the relevant recipient bank details and information which must be quoted with your payment. Emirates NBD Asset Management Limited. The Administrator reserves the right to defer the acceptance of this application until cleared monies are received. Application payment bank details (Indicate below the source of the application monies. Please note the Administrator does not accept third party payments) SWIFT/Sort/branch code: Branch address: Section 3 Source of funds Mandatory information required for acceptance under anti-money laundering guidelines Section 3A Have the funds for the investment been raised from: i) savings? ii) income (Own business, salary, etc)? iii) liquidation of part of an existing investment portfolio? iv) investment income? v) disposal of property-based or other assets? vi) sale of business? vii) pension? viii) gift or inheritance from a third party? ix) another source? (Please specify) Description (Please provide a description of the source of funds invested) Further supporting documentation may be requested if deemed necessary to verify the above information. Section 3B Source of Funds: i) An existing Emirates NBD/EIB account/product (If so, Please state which source below current account, term deposit, etc.) ii) Funds from another bank account outside of Emirates NBD/EIB (Please state bank name and type of account below) iii) Another external source. (Please state as much information as possible in the space provided below) Section 3C Bank remitting the investment funds: How long has this account been held?: Page 4 of 7

5 Redemption payment bank details Indicate where you will require proceeds to be sent on redemption. Please note that proceeds will be sent by Electronic Bank Transfer and also that the Administrator does not make third party payments. SWIFT/Sort/branch code: Branch address: Settlement currency: Bank details The following bank details apply for payments by electronic bank transfer for investment into the share classes of ENBD AM account. Occasionally, bank details can change, please telephone ENBD AM to check the accuracy before transferring monies. Payment should be made to ENBD AM and remitted through the relevant Account Holding Bank depending on which currency you are remitting (see currency and bank details listed below). All bank transfer forms must include the following information: Application form number and/or deal reference number Applicants name (under which the investment is registered) Remitters name (name of the account from which monies have been paid) Name of the fund(s) into which monies are to be invested Your ENBD AM account number, if applicable ENBD AM bank account number pertaining to your currency of Correspondent bank account number, where relevant remittance (see below) Settlement instructions US Dollars (USD) Funds to be transferred to: J P Morgan Chase Bank, New York Swift code: CHASUS33XXX Beneficiary account name: Emirates NBD Bank PJSC Beneficiary account number: For further credit to: ENBD AM UAE Dirham (AED) Funds to be transferred to: UAE Central Bank Swift code: EBILAEAD Emirates NBD Bank PJSC Beneficiary account name: Daily Fund S/R ENBD AM Client A/C Beneficiary account number: AE Periodic payments Securities and assets held in the investment account may make periodic distributions of income. Please provide your account details where you would like these payments made. SWIFT/Sort/branch code: Branch address: Page 5 of 7

6 Declaration I/We hereby apply to open account(s) with Emirates NBD Asset Management Ltd (the Company ) or an associate. Emirates NBD Asset Management Ltd is regulated by the DFSA. I/We have received, read, understood and accepted all the terms and conditions in the Investment Management Agreement and any other related documents governing my account(s) with the Company. I/We expressly agree and accept to be bound by the same and agree that the Company or an associate may be acting as nominee for me/us as the beneficial owner(s) in relation to the investment. I/We understand that the above mentioned terms and conditions may be amended from time to time, at the Company s sole discretion, upon notice to us. I/We acknowledge and accept that the Investment Management Agreement, this Declaration and other related documents form part of the entire agreement with the Company. I/We hereby declare that the information given in this form is true and accurate, and, if the information changes, I/We will promptly notify the Company in writing. I/We acknowledge and accept that the Company shall be entitled to close all or any accounts if any information provided by me/us is subsequently found to be false, untrue, inaccurate or misleading. I/We hereby authorise the Company to make any enquiries from any persons or firm, it may deem necessary in connection with this application. I/We understand that the Company may decline our application without being required to provide a reason. I/We also understand and accept that the Company may record, use, analyse, assess and/or exchange any information held about me/us with any member of the Emirates NBD Group and may also be required to disclose information to external regulators or authorities for various reasons including anti money laundering, fraud prevention and audit purposes. I/we certify that I/we are allowed to contract directly with Emirates NBD Asset Management Ltd Investor signatures Primary applicant: Name: Second applicant: Name: Third applicant: Name: Section 4 Business introducer details Full name: Name of company: Contact number: Name of branch: I/we confirm that due diligence has been done on the source of funds. I/we also confirm that I/we have followed all KYC procedures before opening this account. I/we confirm that I/we have profiled the client and explained to the client the risks of investing in non-depositary products. Where the client s investment choices have deviated from the results of the investor financial assessment form, this has been documented and client s authorisation procured. The client has been given a copy of the Application/Terms and Conditions Form. The investors in this account is/(are) not US Persons. A copy of the investor financial assessment form is included with this application. I attach all KYC information with this application. Business introducer signature Signature: Page 6 of 7

7 Document checklist Individuals (For each investor) Bank Account Application Form included (if required): Term Sheet(s) attached and signed by client: Certified evidence of address i.e. Utility bill (not older than 3 months) (if applicable): Certified copy of Khulasat Al Khaid (for UAE Nationals only): Client name as per application matches that of the passport: Verify residence visa has not expired: Passport copy/id - certified as a true copy of original Personal information and residence visa page (if applicable) (Recent photograph, date of birth, nationality, residence status/visa and signature): Power of Attorney or other authorisation order (if applicable): Originals sighted and copies attested: Proof of remittance and KYC copy if funding from outside Emirates NBD / EIB: Client name as per originating external bank account matches Investor name: The business introducer certifying the copy as a true original must have seen the original I.D. and the individual that it relates to in person. The copy must also be a clear picture that shows a recognisable likeness of the individual. The clear picture must not be greater than 10 years old. Unclear/uncertified copies will result in a delay in the investment. Document checklist Corporates/Investor companies Certified copy of valid trade licence and commercial registration: Certified copies of Memorandum and Articles of Association: Certified copy of Board resolution and approval to invest: Power of Attorney or other authorization letter (if applicable): Term Sheet attached and signed by the client: Certified list of all directors/authorized signatories with specimen signature: Proof of remittance and KYC copy if funding is from outside Emirates NBD / EIB: Obtain the latest Annual Report and Financial Statements: Obtain a list of all shareholders owning 5% or more of the company: Certified copy of passport/id included for all directors/authorised signatories: Copy of SWIFT message: Page 7 of 7