ANZ Share and Bond Trading Joint Application

Transcription

1 ANZ Share and Bond Trading Joint Application Please use this application form to apply for an ANZ Share and Bond Trading account. This service is supplied by ANZ (part of ANZ Bank New Zealand Limited), together with ANZ New Zealand Securities Limited ( ANZ Securities ), a subsidiary of ANZ Bank New Zealand Limited. You ll need to have an ANZ account to have access to this service. If you aren t currently an ANZ account holder, simply visit anz.co.nz or any ANZ branch to join up. INSTRUCTIONS This application form gathers information required under statute and NZX Participant Rules, and assists ANZ Securities in providing this service to you. If you require any assistance, please call us on Please provide all the information requested in this Application Form and once you are satisfied it is accurate and complete, please: Attach a certified copy of any one of the following in the name of each Account Holder and for any Authorised Representatives: passport; New Zealand Firearms Licence; New Zealand Driver s Licence PLUS bank-generated statement; or another combination of identification as agreed to by ANZ Share and Bond Trading. Attach a certified copy of any one of the following in the joint names of both Account Holders: bank statement (as delivered by mail, not via internet banking); a bank-generated deposit slip; or a cheque. Attach an original or a certified copy of any one of the following in the name of each Account Holder and for any Authorised Representatives: bank statement (as delivered by mail, not via internet banking); Utility or Rates bill; IRD tax notice/certificate; Insurance policy document; or another combination of identification as agreed to by ANZ Share and Bond Trading. CERTIFICATION OF SUPPORTING DOCUMENTATION Certified documents must be signed and include the name of the certifier, their occupation and the date. The certifier must be at least 16 years of age and cannot be related to the person, the spouse or partner of the person or living at the same address as the person. The document being certified and the signature of the certifier must not be dated more than three months before the date this application form is signed. We must receive the original signature on the certification; we cannot accept a photocopy of the certification and the signature. Acceptable certifiers are: ANZ employee; Justice of the Peace; Lawyer (must be from a Financial Action Task Force (FATF) member country (including NZ); Chartered Accountant (must be member of Chartered Accountants Australia and New Zealand); A sworn employee of the NZ Police who holds the office of constable (any rank); tary Public; New Zealand Honorary Consul; Member of Parliament; or Commonwealth representative; includes Ambassador, High Commissioner, Commissioner, Minister, Counsellor, Charge d Affaires, Head of Mission, Consular Officer, Pro-Consul, Trade Commission or Tourist Commissioner of a Commonwealth country. 1 December 2014

2 FOR OFFICE USE ONLY Authorised by Signature Account Number Account Type SECTION 1. APPLICANT DETAILS If this application is for a Share Club, you must notify ANZ Share and Bond Trading whenever a new member is added to the Share Club. Primary Account Holder Details (please ensure you provide your full legal name) ANZ Customer Number Secondary Account Holder Details (please ensure you provide your full legal name) ANZ Customer Number Title Surname Title Surname Given Name(s) Given Name(s) Phone (Business) ( ) Phone (Home) ( ) Mobile ( ) Fax ( ) (compulsory) IRD Number (compulsory) Tax Rate Employment full-time student retired part-time unemployed of birth (compulsory) Country of birth (compulsory) Occupation (compulsory) Employer (compulsory) Is the applicant named above a US resident for tax purposes? (compulsory) Phone (Business) ( ) Phone (Home) ( ) Mobile ( ) Fax ( ) (compulsory) IRD Number (compulsory) Tax Rate Employment full-time student retired part-time unemployed of birth (compulsory) Country of birth (compulsory) Occupation (compulsory) Employer (compulsory) Is the applicant named above a US resident for tax purposes? (compulsory) Is the applicant named above a US citizen? (compulsory) Is the applicant named above a US citizen? (compulsory) If the answer to one or both of the questions above is Yes, please refer to the FAQs page on the ANZ Share and Bond Trading website. If the answer to one or both of the questions above is Yes, please refer to the FAQs page on the ANZ Share and Bond Trading website. 2 December 2014

3 SECTION 2. ADDRES DETAILS Residential Address for Joint Account Holders (compulsory) Correspondence Address for Joint Account Holders All correspondence from the share registries about your shareholdings will be sent to your Correspondence Address. Postcode Postal Address for Joint Account Holders Tick if your postal address is the same as your residential address. Postcode All shareholdings will be registered to your Correspondence Address. The Correspondence Address is the: Residential Address Postal Address It is important that you keep your address details up to date with ANZ Share and Bond Trading and the applicable share registries. If a discrepancy is noted, ANZ Share and Bond Trading is obliged to withhold the distribution of proceeds from the sale of securities. SECTION 3. PAYMENT DETAILS All sale proceeds and distributions, less all brokerage and fees will be credited to your nominated ANZ account. For all purchase proceeds please complete the direct debit form contained after Section Nine of this application. SECTION 4. FINANCIAL DETAILS The information you provide will give us an insight into your financial profile. Source of funds (compulsory) What are the types of financial assets that you are likely to invest in? (compulsory) Shares in NZ, AU, US or UK New Issues Fixed Interest securities (bond, notes, preference shares etc) Unknown How often do you intend to place buy/sell orders? (compulsory) Once Weekly Annually Daily Monthly Unknown How much do you intend to spend per trade? (compulsory) $0 - $2,500 $2,500 - $5,000 $5,000 - $20,000 $20,000 - $50,000 Over $50,000 Unknown SECTION 5. SECURITY QUESTIONS Account Holders and any Authorised Representatives may be asked to verify their identity by correctly answering one or more security questions. Please complete the following: Mother s maiden name Keyword Place of birth SECTION 6. YOUR NEW ZEALAND SHAREHOLDINGS Trading in New Zealand (NZX) To submit orders into the markets provided by NZX, your security holdings must be registered to a Common Shareholder Number (CSN). CSNs are nine digits long and begin 33XXXXXXX and must be in your full legal name. If you do not have a CSN, we will allocate one for you. If you already have a CSN, please indicate it here: If you have any existing share holdings which are not under a CSN, or if your existing registration details differ from your full legal name and registration address, please contact ANZ Share and Bond Trading for guidance. 3 December 2014

4 SECTION 7. AUTHORISED REPRESENTATIVES Any Authorised Representatives on your account are to be listed here. Authorised Representatives are n-account holders authorised by you to trade on this account on your behalf. They will also receive copies of contract notes if an address has been provided. Authorised Representatives are not authorised to make changes to your account details. Please ensure you provide the following information for each Authorised Representative. Title Full Legal Name of Birth (compulsory) Country of Birth (compulsory) Residential Address (compulsory) Title Full Legal Name of Birth (compulsory) Country of Birth (compulsory) Residential Address (compulsory) Postcode Postcode Contact Telephone ( ) Occupation (compulsory) Employer (compulsory) Relationship to Applicant (compulsory) Is the individual named above a US resident for tax purposes? (compulsory) Contact Telephone ( ) Occupation (compulsory) Employer (compulsory) Relationship to Applicant (compulsory) Is the individual named above a US resident for tax purposes? (compulsory) Is the individual named above a US citizen? (compulsory) Is the individual named above a US citizen? (compulsory) If the answer to one or both of the questions above is Yes, please refer to the FAQs page on the ANZ Share and Bond Trading website. If the answer to one or both of the questions above is Yes, please refer to the FAQs page on the ANZ Share and Bond Trading website. Signature (compulsory) Signature (compulsory) ANZ Securities will accept trading instructions from any Authorised Representatives or Account Holder without reference to the other Account Holders, unless the Account Holders provide instructions to the contrary. 4 December 2014

5 SECTION 8. SIGNATURE(S) REQUIRED HERE All Account Holders must sign below. The Signature(s) below must reasonably match your signature as per the identification that you have provided. We agree to be bound by the Terms and Conditions of ANZ Share and Bond Trading, as amended from time to time. We confirm that all the details set out in this Application Form are correct. We agree that instructions may be given and orders may be placed by any joint account holder or Authorised Representative and in all cases ANZ Securities is entitled to rely on such instructions and orders and treat them as genuine (without further enquiry as to the identity or authority of the sender of the instructions or orders) if the instructions or orders appear to ANZ Securities to have come from one of us or any Authorised Representative. We authorise ANZ Securities to implement all orders on this account by placing them to the market in such a manner (including entering into trades on our behalf in instances where we have entered into a CHESS sponsorship agreement as a customer of ANZ Securities) as ANZ Securities considers appropriate having exercised this discretion with reasonable care. We accept that ANZ Securities does not guarantee and gives no warranty that this will produce the best or any particular price. We acknowledge that ANZ Securities may submit orders in this manner unless we give ANZ Securities instructions to the contrary either generally or in relation to a specific order. We authorise ANZ Securities to retain an encrypted copy of our Faster Identification Number (FIN) which will be automatically populated into all sell orders submitted into our account. We acknowledge that by permitting ANZ Securities to retain our FIN, we are giving ANZ Securities unlimited ability to transfer our security holdings to other persons. ANZ Securities will encrypt your FIN as soon as reasonably practicable and your FIN will only be used by ANZ Securities in the implementation of your trading instructions or orders and provision of service to you. Additionally, ANZ Securities undertakes that it will at all times use reasonable endeavours to protect your FIN from unauthorised use or access. Where your account is made up of more than one person, all such persons accept that they are jointly and severally liable for any instructions executed on your account and that ANZ Securities is entitled to act upon the instructions of any one of those persons unless written, signed instructions from all such persons are provided to the contrary. By signing this application form you acknowledge and agree to the Terms and Conditions for ANZ Share and Bond Trading. This Application Form may be signed in any number of counterparts all of which, when taken together, will constitute one and the same instrument. Account Holder s Signature(s): Account Holder s Full Name Account Holder s Signature Account Holder s Full Name Account Holder s Signature Account Holder s Full Name Account Holder s Signature Account Holder s Full Name Account Holder s Signature 5 December 2014

6 SECTION 9. FINAL CHECKLIST Please provide the following: A completed and signed Direct Debit Authority Form (see page 7 and 8) (compulsory). A clear and certified copy of photo identification for all Account Holders. A clear and certified copy of proof of a bank account in the joint names of both Account Holders. A original or a clear and certified copy of proof of residential address for all Account Holders. The Signature of all Account Holders in Section 8. If you have nominated an Authorised Representative, a clear and certified copy of their photo identification. If you have nominated an Authorised Representative, an original or a clear and certified copy of proof of their residential address. A certified copy of your marriage certificate if any of your documents are in your maiden name. Once completed please return the application form and required documentation to: Freepost 3755 ANZ Share and Bond Trading PO Box 1790 Wellington 6140 New Zealand Application forms with your original signature must be delivered by post; we cannot accept faxed or ed copies because we are required to hold your original signature on file. If there are any issues with your application form or required forms of identification you will be contacted. When your application has been approved and established, you will receive and advising: Your ANZ Share and Bond Trading client account number Instructions for Internet Trading Our contact details if you require any assistance. If you want to know the status of your application form, please contact ANZ Share and Bond Trading on Once received, your application form will be reviewed and verified before your account is created. This can be a lengthy process and you should allow at least 10 business days. ANZ Bank New Zealand Limited 6 December 2014 anz /14

7 Authority to Accept Direct Debits COMPULSORY Name of Account Account Details (customer to complete) Please complete the bank account details of the account to be debited: Bank Branch Number Account Number Suffix AUTHORITY TO ACCEPT DIRECT DEBITS (t to operate as an assignment or an agreement) AUTHORISATION CODE To The Manager (please print full postal address clearly) I/We authorise you until further notice in writing to debit my/our account with all amounts which ANZ NEW ZEALAND SECURITIES LIMITED (Hereinafter referred to as the Initiator), the registered Initiator of the above Authorisation Code, may initiate by Direct Debit. I/We acknowledge and accept that the Bank accepts this authority only upon the conditions listed on the reverse of this form. Information to Appear in my/our Bank Statement (to be completed by Initiator) Payer Particulars Payer Code Payer Reference Name of Account (customer to complete) Name of Account Authorised Signature(s) Authorised Signature(s) APPROVED FOR BANK USE ONLY received Recorded by Checked by BANK STAMP Original: Retain at branch Copy: Forward to Initiator in postage prepaid and addressed envelope provided by the Initiator. 7 December 2014

8 Authority to Accept Direct Debits CONDITIONS OF THIS AUTHORITY 1. The Initiator: (a) Has agreed to give written notice of the net amount of each Direct Debit no later than the Direct Debit is initiated. This notice will be provided either: (i) in writing; or (ii) by electronic mail where the Customer has provided prior written consent to the Initiator. The advance notice will include the following message: The amount of $ will be direct debited to your bank account on (initiating date). (b) May, upon the relationship which gave rise to this authority being terminated, give notice to the Bank that no further Direct Debits are to be initiated under the authority. Upon receipt of such notice the Bank may terminate this Authority as to future payments by notice in writing to me/us. 2. The Customer may: (a) At any time, terminate this authority as to future payments by giving written notice of termination to the Bank and to the Initiator. (b) Stop payment of any Direct Debit to be initiated under this authority by the Initiator by giving written notice to the Bank prior to the Direct Debit being paid by the Bank. 3. The Customer acknowledges that: (a) This authority will remain in full force and effect in respect of all Direct Debits made from me/our account in good faith notwithstanding my/our death, bankruptcy or other revocation of this authority until actual notice of such event is received by the Bank. (b) In any event this authority is subject to any arrangement now or hereafter existing between me/us and the Bank in relation to my/our account. (c) Any dispute as to the correctness or validity of an amount debited to my/our account shall not be the concern of the Bank except in so far as the Direct Debit has not been paid in accordance with this authority. Any other disputes lie between me/us and the Initiator. (d) Where the Bank has used reasonable care and skill in acting in accordance with this authority, the Bank accepts no responsibility or liability in respect of: the accuracy of information about Direct Debits on bank statements any variations between notices given by the Initiator and the amounts of Direct Debits. (e) The Bank is not responsible for, or under any liability in respect of the Initiator s failure to give written advance notice correctly nor for the non-receipt or late receipt of notice by me/us for any reason whatsoever. In any such situation the dispute lies between me/us and the Initiator. 4. The Bank may: (a) In its absolute discretion conclusively determine the order of priority of payment by it of any monies pursuant to this or any other authority, cheque or draft properly executed by me/us and given to or drawn on the Bank. (b) At any time terminate this authority as to future payments by notice in writing to me/us. (c) Charge its current fees for this service in force from time to-time. ANZ Bank New Zealand Limited 8 December 2014 anz /14

9 ANZ Share and Bond Trading Staff Member Certification 1. Provide your identification documentation to the ANZ staff member, as per the list of requirements on your ANZ Share and Bond Trading Application form. 2. Present this form to the ANZ staff member who is certifying your identification documentation. 3. The ANZ staff member will certify the identification documentation, as per the instructions below. 4. The ANZ staff member will return all documentation to you. 5. Post your certified identification documentation and your Application form to: ANZ Share and Bond Trading, PO Box 1790, Wellington 6140, New Zealand. Please contact ANZ Share and Bond trading on if you have any questions about the certification process. IDENTIFICATION DOCUMENTATION PHOTO IDENTIFICATION Applicants must provide a certified copy of one of the following: Clients who are applying to open an ANZ Share and Bond Trading account must provide identification documentation. ANZ Share and Bond Trading clients are asked to provide the following: Photo identification Proof of bank account Proof of residential address All forms of identification documentation must be certified. The document being certified and the signature of the certifier must not be dated more than 3 months before the date the application form is signed. Passport; New Zealand Firearms Licence; or New Zealand Driver's Licence plus Birth Certificate BANK ACCOUNT Applicants must provide a certified copy of one of the following: Bank statement (as delivered by mail, not via internet banking); A bank-generated deposit slip; or A cheque RESIDENTIAL ADDRESS Applicants must provide an original or a certified copy of one of the following: Bank statement (as delivered by mail, not via internet banking); Utility or Rates Bill; IRD tax notice/certificate; or Insurance policy document ANZ STAFF MEMBER - HOW TO CERTIFY DOCUMENTS 1. Sight the original documents 2. Take a copy of the original documents 3. Write the appropriate statement on each copy: PHOTO ID - "I certify that this is a true copy, the original has been seen, and the original is a true likeness of the customer." BANK ACCOUNT - "I certify that this is a true copy and the original has been seen." RESIDENTIAL ADDRESS - "I certify that this is a true copy and the original has been seen." 4. Write your full name, your occupation, today's date, and your branch ID on each copy 5. Sign your name on each copy 6. Stamp each copy with your branch stamp 7. Repeat these steps for each copy that you have made The client must post all documentation to ANZ Share and Bond Trading - please do not post on behalf of the client. ANZ Bank New Zealand Limited