Transfer to Stocks and Shares ISA Application Form

Transcription

1 Transfer to Stocks and Shares ISA Application Form Please complete in BLOCK CAPITALS using BLACK INK. PLEASE NOTE: Any applications received that are not completed correctly may incur delays or may have to be returned to you. Applications to transfer into a Stocks and Shares ISA can only be accepted using original forms. Photocopies or faxed copies cannot be accepted. Complete one ISA Transfer into Stocks and Shares Application form, regardless of the number of ISA Managers that you are transferring ISA proceeds from. This Application Form MUST be submitted with fully completed ISA Transfer Letter(s) of Authority 1 TITLE SURNAME Personal Details and Legal Requirements MALE FEMALE FIRST NAME(S) IN FULL ADDRESS ( Care of and PO Box are not acceptable. Only UK mainland and Northern Ireland addresses are eligible) HOUSE NUMBER AND/ HOUSE NAME EXISTING CLIENTS ONLY ACCOUNT NUMBER CLIENT NUMBER STREET, CITY, COUNTY AND COUNTRY DETAILS CONTACT TELEPHONE NUMBER (in case of query) POSTCODE DATE OF BIRTH NATIONAL INSURANCE NUMBER (Will be 9 characters: 2 letters, 6 numbers followed by the letter A, B, C, or D.) NO NATIONAL INSURANCE NUMBER? If you have never been issued with a National Insurance Number please mark an X in the box. CROWN EMPLOYEE/SPOUSE OF CROWN EMPLOYEE? If your address is outside of the UK and you are a Crown Employee or the spouse/civil partner of a Crown Employee please mark an X in the box. Please refer to the legal declaration in Section 6 for an explanation. OFFICE USE ONLY PLEASE TURN OVER J

2 2 Investment Details Please complete your fund choice(s) and investment amount(s) below and refer to the Fund Range document or visit for the Fund Code and Fund Name. Note: Your fund choice will be derived by the Fund Code that you enter and not the Fund Name. Please note that you cannot transfer a Stocks and Shares ISA into a Cash ISA. If you wish to transfer a Cash ISA into a Fidelity Cash ISA, please ensure you have completed a Cash ISA transfer application form. Transfers into a Stocks and Shares ISA will be invested into managed funds. If you are transferring both pre and post 1999 ISAs, all proceeds will be invested within the funds identified below. % OF YOUR ISA PROCEEDS FUND CODE FUND NAME TO BE INVESTED ISA CASH PARK (if required) C A P A ISA Cash Park ISA CASH PARK cash can only be held in the Stocks and Shares component of an ISA for the purpose of investing in qualifying investments therefore must not be seen as a longer term investment choice. TOTAL Income Option? If you have chosen income funds the income will be automatically re-invested unless you mark an X in the box and complete your bank details below in Section 3. 3 Mandate Details This section MUST be completed to allow future redemption payments to be paid electronically to your bank or building society, as we do not send cheques. Any bank details given in this section will override any existing bank details that we may hold for you. If you have chosen income funds the income will be automatically re-invested unless you mark an X in the box and complete your bank details below. I have chosen an Income fund and would like my income to be paid out into the account detailed below. I authorise Fidelity Worldwide Investment to make income payments arising from my holdings by direct credit transfer to the bank/building society account detailed below. NAME(S) OF ACCOUNT HOLDER(S) THIRD PARTIES ARE NOT ACCEPTED BANK/BUILDING SOCIETY ACCOUNT NUMBER NAME AND ADDRESS OF BANK BUILDING SOCIETY BRANCH ST CODE BUILDING SOCIETY COLLECTION ACCOUNT NUMBER (IF APPLICABLE) * * Building Society accounts the sort code and building society collection account number can be obtained from your Building Society branch. Please ensure that your Building Society account will accept direct credit payments through the Banks Automated Clearing system. Fidelity does not accept instructions for payments to be made to an account other than the client s own personal account. If the account number and sort code are incorrect, Fidelity will not accept responsibility for any loss incurred by the applicant. J

3 Transfer to Stocks and Shares ISA Application Form 4 Intermediary Details This section should only be completed by Intermediaries. Please enter the appropriate details here and avoid supplying information on separate sheets. INTERMEDIARY STAMP UNIQUE ADVISER NUMBER SEYMOUR SINCLAIR INV LTD 2 BLADE MEWS PF ACCOUNT LONDON UNITED KINGDOM SW15 2NF FSA FIRM REF NO. I confirm that I am registered with the FSA to conduct business and my authorisation number is: OFFICE USE ONLY Please be aware that if the Agency details differ to those already on the client s Fidelity account then the new details will override. This will mean any ongoing commission payments will be paid to the new agency from the deal settlement date. REMUNERATION DETAILS Have you provided a personal recommendation? (please mark an X in one box only) YES NO What remuneration type is required? From the 31st December 2012 if a personal recommendation has been given only fee remuneration will be applied (please mark an X in one box only). ONGOING COMMISSION Please note by ticking this box ongoing commission will be applied to this investment automatically. INITIAL COMMISSION % For initial commission, please enter the percentage (%) you wish to take here, for this specific client, in 0.25% increments. If left blank, standard terms will apply. By ticking this box we will set this investment up on a fee basis. Please enter the Initial Fee you would like to take below. Please note if you wish to take an Ongoing Fee this must be completed online once the assets have been received and a separate Client Authority form must be completed (for the Ongoing Fee). INITIAL % VERIFICATION OF IDENTITY I/We confirm and consent to your reliance upon the fact, that I/we have verified the identity of the client named in section 1 in accordance with the Money Laundering Regulations and standards set in Guidance issued by the JMLSG. Please mark an X in this box. This confirmation must carry an original signature or electronic equivalent. I/We confirm that I/we have provided the client with the appropriate documentation for their investment: Doing Business with FundsNetwork. The Key Investor Information Document and Associated Charges; or Fund Specific Information document applicable to the client s investment. CHOOSE YOUR CLIENT S PRICING TERMS Your client will pay initial charges on their ISA transfer unless you select the Account Fee option below. If your client is already paying the Account Fee no further action is required. Account Fee - I confirm that I am acting on my client s behalf and instruct FundsNetwork to collect the Account Fee, and, where applicable, deduct units in accordance with the latest FundsNetwork Client Terms. J

4 5 Important Documents My adviser has provided me with the following documents either as an electronic version, which I have saved or printed, or as a paper copy: Doing Business with FundsNetwork. The Key Investor Information Document and Associated Charges; or Fund Specific Information document applicable to my investment. Important Notice: If you have not received one or all of the documents listed above, please contact your adviser. 6 Declaration and Signature Your Fidelity ISA is managed by Financial Administration Services Limited, a Fidelity Worldwide Investment Group company. I understand that the information I provide on this application form will be processed in accordance with Fidelity's data protection statement contained in the FundsNetwork Client Terms. Adviser Fees By signing below, I agree to pay my adviser an Initial Fee, if applicable, as stated on this application form and in accordance with the FundsNetwork Client Terms. I understand that this fee will become irrevocably due and payable immediately on receipt of the monies by Fidelity and that Fidelity will then hold this money as agent of my adviser. I confirm that I have received a personalised illustration that shows the effect of the fee agreed on my investment. I declare that: I have read the latest Key Investor Information Document and Associated Charges; or Fund Specific Information document and Doing Business with FundsNetwork. I accept the FundsNetwork Client Terms. Where contributing to a current year ISA following a transfer I apply to subscribe to an ISA in the tax year 2012/2013, and if investing in Monthly Savings, each subsequent year until further notice. All subscriptions made, and to be made, belong to me, and that I am 18 years of age or over. I have not subscribed, and will not subscribe, more than the overall subscription limit in total to a Cash ISA and a Stocks and Shares ISA in the same tax year. I have not subscribed and will not subscribe to another Stocks and Shares ISA in the same tax year that I subscribe to this Stocks and Shares ISA. I am resident and ordinarily resident in the United Kingdom for tax purposes or, if not so resident, either perform duties which, by virtue of Section 28 of Income Tax (Earnings & Pensions) Act 2003 (Crown employees serving overseas), are treated as being performed in the United Kingdom, or I am married to, or in a civil partnership with a person who performs such duties. I will inform Fidelity if I cease to be so resident and ordinarily resident or to perform such duties or be married to, or in a civil partnership with, a person who performs such duties. I authorise Financial Administration Services Limited: i to hold my cash subscription, ISA investments, interest, dividends and any other rights or proceeds in respect of those investments and any other cash; ii to make on my behalf any claims to relief from tax in respect of ISA investments. The information given by me is correct to the best of my knowledge, and I will inform Fidelity immediately of any changes to the information contained therein. As a FundsNetwork customer, an element of the monies you hold in your account may pay either commission or fees to your adviser(s). Our service allows you to link one adviser to a pre-2013 plan year, your post-2012 commission paying element of your account or to the fee paying element. When we receive this form, we will take this as your authority to link the relevant plan year, fee or post-2012 commission holdings to the adviser specified on this form. SIGNATURE AND DATE YOU MUST SIGN HERE Please note that we are unable to accept an ISA application signed by the prospective client's attorney unless submitted with: (a) an original sealed Court of Protection/Enduring Power of Attorney stamped by Office of the Public Guardian (where the client is mentally or physically incapacitated); or (b) a Power of Attorney together with a letter signed by the attorney confirming that the client is prevented from signing the application as a result of their physical incapacity (in cases of physical incapacity only). Copies of the Power of Attorney must be certified as true copies and signed on every page by a solicitor, justice of the peace, notary public, commissioner of oaths, stockbroker or IFA. Certified copies need to show on each page: 'I certify this to be a true copy of the original'; certifier's signature and printed name; date; official stamp/certifier's professional capacity. If you have any queries about this form please ask your Intermediary, or ring our ServiceLine on Please send your completed Transfer to Stocks and Shares ISA form together with your completed Letter(s) of Authority to your Intermediary or to Fidelity Worldwide Investment (Transfers), PO Box 80, Tonbridge, TN11 9YA. Issued by Financial Administration Services Limited, authorised and regulated in the UK by the Financial Services Authority. FundsNetwork and its logo are trademarks of FIL Limited. J

5 Cash to Cash ISA Transfer Application Form Please complete in BLOCK CAPITALS using BLACK INK. PLEASE NOTE: Any applications received that are not completed correctly may incur delays or may have to be returned to you. Applications to transfer your existing Cash ISA into a Fidelity Cash ISA can only be accepted using original forms. Photocopies or faxed copies cannot be accepted. Complete one Cash to Cash ISA Transfer Application form, regardless of the number of ISA Managers that you are transferring ISA proceeds from. This Application Form MUST be submitted with fully completed ISA Transfer Letter(s) of Authority 1 Personal Details and Legal Requirements TITLE SURNAME MALE FEMALE FIRST NAME(S) IN FULL ADDRESS ( Care of and PO Box are not acceptable. Only UK mainland and Northern Ireland addresses are eligible) HOUSE NUMBER AND/ HOUSE NAME EXISTING CLIENTS ONLY ACCOUNT NUMBER CLIENT NUMBER STREET, CITY, COUNTY AND COUNTRY DETAILS CONTACT TELEPHONE NUMBER (in case of query) POSTCODE DATE OF BIRTH NATIONAL INSURANCE NUMBER (Will be 9 characters: 2 letters, 6 numbers followed by the letter A, B, C, or D.) NO NATIONAL INSURANCE NUMBER? If you have never been issued with a National Insurance Number please mark an X in the box. CROWN EMPLOYEE/SPOUSE OF CROWN EMPLOYEE? If your address is outside of the UK and you are a Crown Employee or the spouse/civil partner of a Crown Employee please mark an X in the box. Please refer to the legal declaration in Section 5 for an explanation. 2 Investment Details If you wish to transfer to a Stocks and Shares ISA please contact Fidelity for the appropriate form. All Cash ISA transfers using this form will be invested into the MoneyBuilder Cash ISA. FUND CODE FUND NAME % OF YOUR ISA PROCEEDS TO BE INVESTED G C I MoneyBuilder Cash ISA Income Option? This option is not available for the MoneyBuilder Cash ISA Fund. If you invest in this fund all income will be automatically reinvested. BCATranInt/06.12/v10.0/P1/3 PLEASE TURN OVER J

6 3 Intermediary Details This section should only be completed by Intermediaries. Please enter the appropriate details here and avoid supplying information on separate sheets. INTERMEDIARY STAMP UNIQUE ADVISER NUMBER SEYMOUR SINCLAIR INV LTD 2 BLADE MEWS PF ACCOUNT LONDON UNITED KINGDOM SW15 2NF FSA FIRM REF NO. I confirm that I am registered with the FSA to conduct business and my authorisation number is: OFFICE USE ONLY Please be aware that if the Agency details differ to those already on the client s Fidelity account then the new details will override. This will mean any ongoing commission payments will be paid to the new agency from the deal settlement date. REMUNERATION DETAILS Have you provided a personal recommendation? (please mark an X in one box only) YES NO What remuneration type is required? From the 31st December 2012 if a personal recommendation has been given only fee remuneration will be applied (please mark an X in one box only). ONGOING COMMISSION INITIAL Please note by ticking this box ongoing commission will be applied to this investment automatically. By ticking this box we will set this investment up on a fee basis. Please enter the Initial Fee you would like to take below. Please note if you wish to take an Ongoing Fee this must be completed online once the assets have been received and a separate Client Authority form must be completed (for the Ongoing Fee). % VERIFICATION OF IDENTITY I/We confirm and consent to your reliance upon the fact, that I/we have verified the identity of the client named in section 1 in accordance with the Money Laundering Regulations and standards set in Guidance issued by the JMLSG. Please mark an X in this box. This confirmation must carry an original signature or electronic equivalent. I/We confirm that I/we have provided the client with the appropriate documentation for their investment: The Key Features Document - Doing Business with FundsNetwork. The Key Investor Information Document and Associated Charges; or Fund Specific Information document applicable to the client s investment. BCATranInt/06.12/v10.0/P2/3 J

7 4 Important Documents My adviser has provided me with the following documents either as an electronic version, which I have saved or printed, or as a paper copy: The Key Features Document - Doing Business with FundsNetwork. The Key Investor Information Document and Associated Charges; or Fund Specific Information document applicable to the client s investment. Important Notice: If you have not received one or all of the documents listed above, please contact your adviser. 5 Declaration and Signature Your ISA is managed by Financial Administration Services Limited, a Fidelity Worldwide Investment Group company. I understand that the information I provide on this application form will be processed in accordance with Fidelity's data protection statement contained in the FundsNetwork Client Terms. Adviser Fees By signing below, I agree to pay my adviser an Initial Fee, if applicable, as stated on this application form and in accordance with the FundsNetwork Client Terms. I understand that this fee will become irrevocably due and payable immediately on receipt of the monies by Fidelity and that Fidelity will then hold this money as agent of my adviser. I confirm that I have received a personalised illustration that shows the effect of the fee agreed on my investment. I declare that: I have read the latest Key Features Document - Doing Business with FundsNetwork. I have read the latest Key Investor Information Document and Associated Charges; or Fund Specific Information document. I accept the FundsNetwork Client Terms. Where contributing to a current year ISAfollowing a transfer I apply to subscribe to an ISAin the tax year 2012/2013, and if investing in Monthly Savings, each subsequent year until further notice. All subscriptions made, and to be made, belong to me, and that I am 18 years of age or over. I have not subscribed, and will not subscribe, more than the overall subscription limit to a Cash ISA and a Stocks and Shares ISA in the same tax year. I have not subscribed, and will not subscribe, more than the Cash ISA subscription limit to one Cash ISA. I have not subscribed, and will not subscribe, to another Cash ISA in the same tax year that I subscribe to this Cash ISA. If investing in the MoneyBuilder Cash ISA Fund I hereby assign to J.P.Morgan Trustee and Depository Company Limited ( MTDL ) as the Trustee of the MoneyBuilder Cash ISA Fund ( the Fund ) all amounts received by FIL Investment Services (UK) Limited pursuant to its exercise of the authority to make reclaims on tax on income allocations to my units in the Fund. This assignment is granted on the basis that each tax reclaim amount shall be attributed to the Fund. MTDL, in its capacity as trustee of the Fund, may in any manner assign, transfer, charge or make over this assignment or its rights and duties hereunder or any part thereof. I am resident and ordinarily resident in the United Kingdom for tax purposes or, if not so resident, either perform duties which, by virtue of Section 28 of Income Tax (Earnings & Pensions) Act 2003 (Crown employees serving overseas), are treated as being performed in the United Kingdom, or I am married to, or in a civil partnership with a person who performs such duties. I will inform Fidelity if I cease to be so resident and ordinarily resident or to perform such duties or be married to, or in a civil partnership with, a person who performs such duties. I authorise Financial Administration Services Limited: i to hold my cash subscription, ISA investments, interest, dividends and any other rights or proceeds in respect of those investments and any other cash; ii to make on my behalf any claims to relief from tax in respect of ISA investments. The information given by me is correct to the best of my knowledge, and I will inform Fidelity immediately of any changes to the information contained therein. As a FundsNetwork customer, an element of the monies you hold in your account may pay either commission or fees to your adviser(s). Our service allows you to link one adviser to a pre-2013 plan year, your post-2012 commission paying element of your account or to the fee paying element. When we receive this form, we will take this as your authority to link the relevant plan year, fee or post-2012 commission holdings to the adviser specified on this form. SIGNATURE AND DATE YOU MUST SIGN HERE Please note that we are unable to accept an ISA application signed by the prospective client's attorney unless submitted with: (a) an original sealed Court of Protection/Enduring Power of Attorney stamped by Office of the Public Guardian (where the client is mentally or physically incapacitated); or (b) a Power of Attorney together with a letter signed by the attorney confirming that the client is prevented from signing the application as a result of their physical incapacity (in cases of physical incapacity only). Copies of the Power of Attorney must be certified as true copies and signed on every page by a solicitor, justice of the peace, notary public, commissioner of oaths, stockbroker or IFA. Certified copies need to show on each page: 'I certify this to be a true copy of the original'; certifier's signature and printed name; date; official stamp/certifier's professional capacity. If you have any queries about this form please ask your Intermediary, or ring our ServiceLine on Please send your completed Cash to Cash ISA Transfer form together with your completed Letter(s) of Authority to your Intermediary or to Fidelity Worldwide Investment (Transfers), PO Box 80, Tonbridge, TN11 9YA. Issued by Financial Administration Services Limited, authorised and regulated in the UK by the Financial Services Authority. FundsNetwork and its logo are trademarks of FIL Limited. BCATranInt/06.12/v10.0/P3/3 J