Please only use this form when you wish to open a Suncorp Share Trade Account: in your name, or in joint names

Transcription

1 Stockbroking INDIVIDUAL/JOINT ACCOUNT application form Please only use this form when you wish to open a Suncorp Share Trade Account: in your name, or in joint names In order to process your application we will need: your completed application form a certified copy of your identification for each account holder (as specified over the page) Thank you for choosing Suncorp Share Trade. If you require assistance when completing this form, please contact our Client Services team on Please mail your completed account form to the address below. Page 1 of 8 SUN_S11_192_0614 Suncorp Share Trade Level Pitt Street Sydney NSW 2000 sharetrade.com.au Postal Address GPO Box 4490 Sydney NSW 2001 Client Services clientservices@sharetrade.com.au

2 Identification You ll need to provide us with certified copies of original identification verifying your full name, your current residential address and your date of birth. All the documents you ll need to provide are listed below. Your application must be accompanied by a certified (true) copy of TWO documents from the list below, with at least ONE document from Section A. Certifying your documents In order for your certification to be accepted, it must be signed and the certifier is to state that the document is a certified copy of an original. They must provide their name, address, phone number (mobile numbers are not accepted), and in what category of certifier they fall. For copies of your documents to be considered certified, they must be signed by any one of the following: If you are unable to provide a document from Section A, your application must be accompanied by a certified (true) copy of THREE documents, with at least ONE document from Sections B and C. The original certified copy of your ID must be returned by post. The signature of the certifier must be the original signature. We cannot accept faxes or scanned copies. Section A Photographic Driver s Licence MUST be current Proof of Age Card issued by a State or Territory MUST be current Section B Driver s Licence (without photo) MUST be current Birth Certificate/Extract issued by a State or Territory Citizenship Certificate issued by the Commonwealth Pension Card issued by Centrelink MUST be current Australian Passport current or expired within the past TWO years Foreign Passport or similar travel document also containing your signature issued by a government, the UN or agency of the UN MUST be current Section C Australian Government Card/Notice showing entitlement to financial benefit issued within the last 12 months An Income Tax Assessment Notice issued by the Australian Taxation Office within the last 12 months A Rates Notice or Utilities Bill issued within the last 3 months by a local government or utilities provider 1. a person who is enrolled on the roll of the Supreme Court of a State or Territory, or the High Court of Australia, as a legal practitioner (however described) 2. a judge of a court 3. a magistrate 4. a chief executive officer of a Commonwealth court 5. a registrar or deputy registrar of a court 6. a Justice of the Peace 7. a notary public (for the purposes of the Statutory Declaration Regulations 1993) 8. a police officer 9. an agent of the Australian Postal Corporation who is in charge of an office supplying postal services to the public 10. a permanent employee of the Australian Postal Corporation with two or more years of continuous service who is employed in an office supplying postal services to the public 11. a finance company officer with two or more continuous years of service with one or more finance companies (for the purposes of the Statutory Declaration Regulations 1993) 12. a member of the Institute of Chartered Accountants in Australia, CPA Australia or the National Institute of Accountants with two or more years of continuous membership For a full list of acceptable certifiers refer to: (Section 1.2.1) If you need help to meet these ID requirements, call our Client Services Team on Suncorp Share Trade is a service provided by CMC Markets Stockbroking Limited (ABN AFSL No , a Participant of the ASX Group) ( CMC Markets Stockbroking ) at the request of Suncorp-Metway Ltd (ABN , AFSL ) ( Suncorp"). For a copy of the terms and conditions relating to the Suncorp Share Trade service and the Financial Services Guides for CMC Markets Stockbroking or Suncorp (or other relevant disclosure documents), contact us on or via at info@sharetrade.com.au. Neither CMC Markets Stockbroking nor Suncorp are representatives of each other. To the extent permitted by law, Suncorp will not guarantee or otherwise support CMC Markets Stockbroking s obligations under the contracts or agreements connected with the Suncorp Share Trade service. Page 2 of 8

3 Section A Individual Applicant / Joint Applicant 1 NB ALL FIELDS ARE MANDATORY. Mr / Mrs / Miss / Ms / Dr / Other: Surname Residential Address (PO Box not allowed) Postal Address q Same as above Given Name(s) Suburb/Town State Postcode Suburb/Town State Postcode Contact Numbers Work (You must provide at least one phone number) Mobile Home Fax Date of Birth / / Tax File Number OR Exemption Code If you do not provide your tax file number, any applicable taxation will be charged at the highest rate. Are you a Citizen of the United States of America? Are you a resident for tax purposes in the United States of America? If you answered yes to either question above, please provide your Tax Identification Number Occupation Existing Suncorp Account Number Individual Applicants only: Are you a sole trader? If Yes please provide the following: ABN Principal place of business (if any) Full Business Name (if any) Please ensure that Identification (requirements on page 2 of this application) has been supplied for Account Holder 1. If this is a JOINT ACCOUNT proceed to SECTION B > If this is an INDIVIDUAL ACCOUNT proceed to SECTION C > Page 3 of 8

4 Section B Joint Applicant 2 NB ALL FIELDS ARE MANDATORY. Mr / Mrs / Miss / Ms / Dr / Other: Surname Residential Address (PO Box not allowed) Postal Address q Same as above Given Name(s) Suburb/Town State Postcode Suburb/Town State Postcode Contact Numbers Work (You must provide at least one phone number) Mobile Home Fax Date of Birth / / Tax File Number OR Exemption Code If you do not provide your tax file number, any applicable taxation will be charged at the highest rate. Are you a Citizen of the United States of America? Are you a resident for tax purposes in the United States of America? If you answered yes to either question above, please provide your Tax Identification Number Occupation Existing Suncorp Account Number Please ensure that Identification (requirements on page 2 of this application) has been supplied for Account Holder 2. Proceed to SECTION C > Page 4 of 8

5 Section C Account Features Online trading The Suncorp Share Trade website offers many useful tools and features for today's investor. Our website is simple to use, and can assist investors in managing their portfolio efficiently. Our website provides live prices for equities, fixed interest and derivative products and also comprehensive research on the top 300 companies. You have the ability to place your orders online without having to speak to a Dealer. Our website utilises 'Straight Through Processing'. This means that your order is sent directly to the market. Even if you choose to trade online, you still retain the ability to trade over the phone with our experienced dealing team. If you want to trade online, you will be required to be CHESS sponsored with CMC Markets Stockbroking and to open a Suncorp Bank Wealth Cash Management Account (WCMA). You have to receive your confirmation notes by . There is no charge for these services. Best of all, access to the website is free for all our clients. This trading account can be linked to your existing login code. This will enable you to keep a record of the trades and holdings which occur on your account. If you have an existing login code to our website, please supply it here. If you do not have a login code, but wish to receive one, please complete the details below. Each account holder must have their own login code to the website. Account Holder 1 Existing login code (if applicable): I do not have a login code, but wish to receive one. Account Holder 2 Existing login code (if applicable): I do not have a login code, but wish to receive one. By supplying your login code, or requesting a login code above, you agree that you have received, read and agree to the Suncorp Share Trade Terms and Conditions, Part B Online Trading. CHESS Sponsorship (required for online trading) CHESS Sponsorship is a free service provided by the ASX to electronically register share holdings. An explanation of the effect of CHESS Sponsorship is available on our website sharetrade.com.au I/We wish to appoint CMC Markets Stockbroking as my/our CHESS Sponsor and agree to be bound by the CHESS Sponsorship Agreement contained in Part G of the Suncorp Share Trade Terms and Conditions. I/We have CHESS sponsored Holdings with another broker, and would like to transfer them to this account with CMC Markets Stockbroking. I/We wish to appoint CMC Markets Stockbroking as my CHESS Sponsor and agree to be bound by the CHESS Sponsorship Agreement contained in Part G of the Suncorp Share Trade Terms and Conditions. **Please attach a completed Transfer CHESS Holdings form with this application. Electronic Confirmations (required for online trading) By providing us with an address you authorise us to send you a confirmation of your trades electronically. If you authorise us to send your confirmations via , you will not be charged the postage and handling fee and you will not receive a paper copy. As per ASIC Market Integrity Rules at least one of the s provided below MUST belong to the applicant(s). Account Holder 1 Address: Account Holder 2 Address: I wish to receive trade confirmations to the postal address of the first applicant and not by . Proceed to next page > Page 5 of 8

6 Suncorp Bank Wealth Cash Management Account (WCMA) required for online trading The WCMA is a cash account with competitive interest and no monthly account keeping fee. It allows you to perform real-time trades online with your Suncorp Share Trade facility. If you want to trade online, you will be required to open a WCMA. In the case of multiple applicants, any applicant will be able to operate on the account. Your account number, once established, will be available by logging onto the Suncorp Share Trade website and selecting cash balances, alternatively you can contact Suncorp on A Statement of Account will be sent quarterly in accordance with the Suncorp Bank Wealth Cash Management Account Product Information Document. Please contact Suncorp on once your account has been opened if you would like to receive more frequent statements. WCMAs are issued by Suncorp-Metway Ltd ABN Please read the Product Information Document before making any decisions regarding this product. A copy can be found at Fees, charges, terms and conditions apply. Dividends We can instruct the share registries (on your behalf) to direct deposit dividend payments into your Cash Settlement Account. This applies to your CHESS sponsored holdings only. I wish to have dividends paid into my Cash Settlements Account Please note - not all companies support direct crediting of dividends to a bank account. If you hold shares in one of these companies, you may still receive a dividened cheque sent to your registered address. Card Order Details If you would like a new card to access your new WCMA, please indicate below. Account Holder 1 Account Holder 2 q Transaction Card q Transaction Card If you would like a Visa Debit card or would like to link your new WMCA to an existing card, please call Suncorp on to arrange once your account has been opened. Section D Home Package Plus Opt-in Proceed to SECTION D > Suncorp Share Trade is pleased to offer Home Package Plus customers a special brokerage rate for trades*. Proceed to SECTION G > To take advantage of this benefit simply provide details of your Home Package Plus Account. Are you an existing Suncorp Home Package Plus Customer? Please provide you Home Package Plus Account details Home Package Plus Account Number: Home Package Plus Account Name: *Home Package Plus brokerage rates only apply to current Home Package Plus customers. For more information please see the Suncorp Bank website. Proceed to SECTION E > Page 6 of 8

7 Section E - Privacy Statement Privacy is Important. especially when you consider the number of ways we communicate and interact these days. That s why we ve put together this statement. It explains how we collect, hold, use and disclose your personal information and who we share it with. And because it s guided by privacy laws, you can be sure it takes your rights seriously. Above all, this statement is your assurance that we never take your privacy for granted and always take the utmost care in protecting your personal information. Suncorp-Metway Ltd ( Bank ), is a member of the Suncorp Group, which we ll refer to simply as the Group. Why do we collect personal information? Personal information is information or an opinion about an identified individual or an individual who is reasonably identifiable. The Bank collects personal information so that we can: identify you and conduct appropriate checks; understand your requirements and provide you with a product or service; set up, administer and manage our products and services; manage, train and develop our employees and representatives; manage complaints and disputes, and deal with dispute resolution bodies; and get a better understanding of you, your needs, your behaviours and how you interact with us, so we can engage in product and service research, development and business strategy including managing the delivery of our services and products via the ways we communicate with you. What happens if you don t give us your personal information? If we ask for your personal information and you don t give it to us, we may not be able to provide you with any, some, or all of the features of our products or services. How we handle your personal information? We collect your personal information directly from you and, in some cases, from other people or organisations. We also provide your personal information to other related companies in the Group, and they may disclose or use your personal information for the purposes described in Why do we collect personal information? in relation to products and services they may provide to you. Under the following Australian laws we may be authorised or required to collect your personal information: Anti-Money Laundering and Counter- Terrorism Financing Act; Income Tax Assessment Acts, Tax Administration Act and A New Tax System (Goods and Services Tax) Act, and any regulations made under those Acts. We will use and disclose your personal information for the purposes we collected it as well as purposes that are related, where you would reasonably expect us to. We may disclose your personal information to and/or collect your personal information from: other companies within the Group; any of our Group joint ventures where authorised or required; any entity where disclosure to, or collection from, such entity is required or authorised by law; customer, product, business or strategic research and development organisations; data warehouse, strategic learning organisations, data partners, analytic consultants; social media and other virtual communities and networks where people create, share or exchange information; publicly available sources of information; clubs, associations, member loyalty or rewards programs and other industry relevant organisations; a third party that we ve contracted to provide financial services, financial products or administrative services for example; information technology providers, administration or business management services, consultancy firms, auditors and business management consultants, marketing agencies and other marketing service providers, and print/mail/digital/ imaging/document management service providers; yours or our advisers, agents, representatives or consultants; government, statutory or regulatory bodies and enforcement bodies; the Financial Ombudsman Service or any other external dispute resolution body; manufacturers for plastic card production (eg debit cards); and any other organisation or person, where you ve asked them to provide your personal information to us or asked us to obtain personal information from them, eg your mother. We ll use a variety of methods to collect your personal information from, and disclose your personal information to, these persons and organisations, including written forms, telephone calls and via electronic delivery. We may collect and disclose your personal information to these persons and organisations during the information life cycle, regularly, or on an ad hoc basis, depending on the purpose of collection. Overseas Disclosure Sometimes, we need to provide your personal information to or get personal information about you from persons located overseas, for the same purposes as in Why do we collect personal information?. The list of countries Suncorp usually disclose personal information to is in our Suncorp Group Privacy Policy. Please go to privacy to see our Suncorp Group Privacy Policy or call to obtain a list of countries Suncorp usually disclose personal information to. From time to time, we may need to disclose your personal information to, and collect your personal information from, other countries not on this list. Nevertheless, we will always disclose and collect your personal information in accordance with privacy laws. Your personal information and our marketing practices Every now and then, we and any related companies that use the Suncorp brand might let you know including via mail, SMS, , telephone or online about news, special offers, products and services that you might be interested in. We will engage in marketing unless you tell us otherwise. You can contact us to update your marketing preferences at any time. In order to carry out our direct marketing we collect your personal information from and disclose it to others that provide us with specialised data matching, trending or analytical services, as well as general marketing services (you can see the full list of persons and organisations under How we handle your personal information ). We may also collect your personal information for marketing through competitions and by purchasing contact lists. We, and other people who provide us with services, may combine the personal information collected from you or others, with the information we, or companies in our Group, or our service providers already hold about you. We may use online targeted marketing, data and audience matching and market segmentation to improve advertising relevance to you. How to access and correct your personal information or make a complaint You have the right to access and correct your personal information held by us and you can find information about how to do this in the Suncorp Group Privacy Policy. The Policy also includes information about how you can complain about a breach of the Australian Privacy Principles and how we ll deal with such a complaint. You can get a copy of the Suncorp Group Privacy Policy. Please use the contact details in Contact Us if you wish to do so. Contact us For more information about our privacy practices including overseas disclosure or to tell us about your marketing preferences you can visit: Alternatively, you can get in touch directly by contacting us on: Phone: privacyaccessrequests@suncorp.com.au Mail: Suncorp Bank GPO Box 1453, Brisbane Qld 4001 or by visiting a Suncorp Bank Branch Proceed to SECTION F > Page 7 of 8

8 Section F - WCMA Client Agreement & Declaration NB: This section is mandatory for all applicants Appointment of CMC Markets Stockbroking as a Signatory I/We appoint CMC Markets Stockbroking and any representatives authorised by CMC Markets Stockbroking (such representatives to be notified to Suncorp by CMC Markets Stockbroking from time to time) to be severally appointed as signatory/s to my/our WCMA, so that those person/s are authorised to: undertake any transactions on that account, including without limitation, withdrawals, transfers, pledging funds and placing a hold on some or all funds in the account, even where any such transaction could result in the over-drawing of the account (if allowed by Suncorp in accordance with the terms and conditions relating to the account). obtain any information in relation to the, including without limitation, account balances and transaction history. If I/We wish to revoke this appointment and authorisation, I/we will directly contact Suncorp. In this appointment, CMC Markets Stockbroking means CMC Markets Stockbroking Ltd ABN and Suncorp means Suncorp-Metway Ltd ABN Declaration & Consent I/We agree to be bound by the Terms and Conditions detailed in the Product Disclosure Statement/ Products Information Document in relation to accounts opened under the above account name. I/We confirm the details supplied are correct. Section G - Suncorp Share Trade Client Agreement & Declaration By signing this Application I/we: understand it is an offence under the Anti-Money Laundering and Counter Terrorism Financing Act 2006 to make a false or misleading statement. have been provided with a copy of the CMC Markets Stockbroking Financial Services Guide, Product Information Document for WCMA, the Terms and Conditions for Suncorp Accounts and a copy of the Suncorp Financial Services Guide. agree to be bound by Part A and any other relevant Parts of the Suncorp Share Trade Term and Conditions. Proceed to SECTION G > have read and understood this Application and declare that all information contained in this Application is true and correct. agree to Suncorp/CMC Markets Stockbroking (the product issuer) collecting, using and disclosing my/our personal information, including sensitive and health information if applicable, in accordance with the Privacy Statement included in this Application and the Suncorp and CMC Markets Stockbroking Privacy Policies. acknowledge that sometimes Suncorp/CMC Markets Stockbroking might use personal information to make product-related material on a range of financial products and services available to customers. I/We acknowledge that I/we may elect not to receive product-related material by indicating in the tick box below. agree to Suncorp/CMC Markets Stockbroking transmitting my/our personal information by electronic means as well as contacting me/us by SMS Messaging and/or regarding my/our account where I/we have included my/our mobile telephone number or address as part of this application. I/We accept that there is a risk that information may come into the possession of another person not entitled to receive it and acknowledge that while Suncorp/CMC Markets Stockbroking will take all reasonable steps to protect my/our privacy it accepts no liability for breach of confidentiality or damages for loss I/we might suffer provided Suncorp/ CMC Markets Stockbroking can show it communicated to me/us at the electronic address or number provided by me/us. Account Holder 1 Do not send me product/marketing material or special offers from Suncorp q Signature: Date: / /20 Name: Account Holder 2 Do not send me product/marketing material or special offers from Suncorp q Signature: Date: / /20 Name: Page 8 of 8