Santander Corporate & Commercial Intermediary registration and information renewal form

INTERMEDIARIES & BROKERS ONLY: NOT FOR PUBLIC DISTRIBUTION Santander Corporate & Commercial Intermediary registration and information renewal form Please fill in the form using BLOCK CAPITALS and black ink. Tick any boxes which apply. Santander is able to provide literature in alternative formats. The formats available are: large print, Braille and audio CD. If you would like to register to receive correspondence in an alternative format please visit www.santander.co.uk/alternativeformats for more information, ask us in branch or give us a call. For the referral of loans, trade loans, letters of credit, bonds and guarantees, invoice finance and asset finance. We are able to accept referrals from the Channel Islands but currently not for asset finance transactions. Intermediaries must register by completing this form and signing our terms and conditions before any commission can be paid. 1 Business details Legal name of business (as the company appears on Companies House documents). If you are a sole trader trading as a Commercial Finance Brokerage and the bank account is in the name of Mr ABC, this field should state t/a Commercial Finance Brokerage. Type of business Sole proprietor Partnership (including LLPs) Limited Company Company Registration Number (if appropriate e.g for Ltd companies). Trading name (if different from the legal name as registered with Companies House e.g. Mr ABC, t/a XYZ) Registered address if different from the full trading address for Ltd Co s this address should match Companies House documents Current actual trading address Telephone number (including area code) Date of Incorporation D D M M Y Y Y Y (If a Ltd Co state when the company was registered. For sole traders, LLP, partnership state the business start date) Nature of business Finance broker Residential broker Commercial broker Accountant Financial adviser Other Fax number (including area code) If other, please specify VAT Number: Web address

2 All Directors, All Partners and Sole Traders and any Owners or Shareholders with holdings of 25% or more in the business. First owner, partner, director or sole trader name Second owner, partner, director or sole trader name Third owner, partner, director or sole trader name Fourth owner, partner, director or sole trader name

3 Details of all FCA licences and permission held Please note we only accept introductions for borrowing in excess of 25,000 and for Unregulated or Exempt business as defined by the Consumer Credit Act 1974, this being Lending to Limited Companies Unregulated Lending to Partnerships of 4 or more partners Unregulated Lending to sole traders, individuals and partnerships of three or less provided the borrowing is greater than 25,000 and wholly or predominantly for business purposes Regulated but falls within Exemption criteria Please Indicate whether you are Registered with the Financial Conduct Authority An Appointed Representative with a network Details of network Hold either Limited or Full Permission If you are a consumer credit firm then please confirm what FCA permission you hold: Interim permission Limited permission Full permission t going to be introducing Regulated business Please note that it is a Regulated activity to broker/introduce Exempt credit agreements/borrowings and FCA permission will be required.

4 Professional standing/major shareholders (holding shares of 25% or more in the firm) Has the Intermediary or any of its owners, partners or directors at any time: A. Been the subject of any investigation, inquiry, or regulatory/ enforcement action or proceedings involving actual or alleged financial crime? B. Been disqualified from acting as a company director? E. Been a director of a company which has wound up and declared bankrupt? F. Been the subject of a court judgement for any outstanding debts? C. Been the subject of a receiving order? G. Been convicted of a criminal offence? D. Entered into an arrangement with creditors? If you have answered to any of these, please give details 5 Source of Introductions A. Please confirm that your firm is trading entirely from the UK? How was contact initiated and what due diligence was performed? B. Have you ever been removed from a lenders panel? C. Do you have any existing dealings with introducers? D. What % of your business is sourced from introducers? E. What % of your introduced business is conducted non face to face? If so whom? Please provide their full names and business addresses. F. Is any of your introduced business sourced through the internet? 6 Regulatory Compliance A. Does your firm have policies and procedures in place designed to prevent and detect all forms of financial crime (fraud, bribery, corruption and money laundering)? B. Do your firm s staff receive financial crime prevention, fraud, bribery, corruption and money laundering training? C. Do you as a company understand your obligations and responsibilities with regards the prevention / detection of financial crime, fraud, bribery, corruption and money laundering? 7 Declaration and Signatures Intermediary Registration DP Statement Using my personal information Whether or not this registration is accepted, you may use all the information I give to you Santander UK plc, or you hold on me as a personal or business customer, to register me as an intermediary for the ongoing administration of the registration. This includes information about the conduct (including details of transactions) of any account that I have with you, a group company or an associated company. You may also hold all the information I give to you (i.e. name, address, date of birth, nationality) in order to undertake periodic due diligence checks which banks are required to undertake to comply with UK legislation. You may also use my information to help you develop and improve your products and services. You will keep information about me after my registration is closed. I am responsible for keeping you informed of any changes to my bank account details. I understand you may reject registrations at your discretion without any explanation. Sharing my personal information You may share my information for the purposes described in this statement with the group of companies to which you belong (the Santander group) and your associated companies, and with service providers or agents. These companies may be based in other countries. I understand that you will make sure that my information is only used in line with your instructions and your own strict policies on confidentiality to assist in the provision and servicing of the business I have introduced to Santander UK plc or for any other purpose covered within this statement. If you transfer my information to another country, you will also make sure that you give it the same levels of protection as needed under the UK Data Protection Act. You may also give essential information about my registration to others for administration and for regulatory purposes. My marketing preferences Any information or data supplied by me (or my clients) (providing their permission has been given) may be used for the purposes of conducting market research, preparing strategic or other marketing plans or gauging product sales. You may invite me to take part in market research surveys and identify and let me know by post, telephone or electronic media (including fax, email and SMS) of products or services, which your group of companies and its associated companies think may interest me. (When deciding whether to provide me with details of a credit product you may check my details and those of my business against the files of credit reference agencies which will not make a record of this search available to other lenders who search my file) If I don t want information on other products and services or to be included in market research, I can tick the following boxes: Please do not contact me: by telephone by electronic media by post for market reseach Unless I have said otherwise, by continuing with this application, I agree to you contacting me using any of the methods shown above.

7 Declaration and Signatures (continued) Credit reference agencies I understand that in order to consider my registration (including as part of an annual review of my business), you will use the information for credit assessment, which may include credit scoring. For more information on how credit scoring works, I can read the Your application and credit scoring leaflet. You may make any enquiries relating to me that you consider necessary (for example, from another financial institution) and search the files of credit reference agencies, which will keep a record of each search. This could affect my ability to get credit elsewhere within a short period of time. Details about this application (whether or not it goes ahead) will be recorded at the credit reference agency. A financial link between joint applicants or between myself and any named partner or spouse will be created at the credit reference agency. This will link our financial records, where each will be taken into account in all future applications by either or both of us. If I already have a financial association you will assess my application on this basis. This situation will continue until one of us successfully files for a disassociation at the credit reference agency. You will also pass details about me and how I run my account to credit reference agencies and that this information may affect my ability to get credit. Verifying my identity and fraud checks Before you can accept my registration, in order to prevent or detect fraud you will check and share the information provided in this application or at any stage with fraud prevention agencies, and may make searches at credit reference agencies who will supply you with information, including information from the electoral register, for the purposes of verifying my identity. Scoring methods may be used to verify my identity. A record of this process will be kept that may be used to help other companies to verify my identity. If false or inaccurate information is provided and fraud identified, details will be passed to fraud prevention agencies. Law enforcement agencies may access and use this information. First owner, partner, director or sole trader signature You and other organisations may search and use the records held by credit reference and fraud prevention agencies to prevent and investigate crime, fraud and money laundering and for example: n to check details on applications for credit and credit related or other facilities n to verify my identity if I or my financial associate applies for other facilities n to undertake statistical analysis and system testing n to manage credit and credit related accounts or facilities n to recover debt and trace my whereabouts n to check details on proposals and claims for all types of insurance n to check details of job applicants and employees You may also search and use your internal records for these purposes. You and other organisations may search and use from other countries the information recorded at fraud prevention agencies. For further information about the use of my personal and business data by Santander and the credit reference and fraud prevention agencies please refer to the leaflet Your application and credit scoring use of your personal and business information available online at www.santanderbusinessbanking. co.uk, in branch or by calling 0845 607 0666. Access to my information I understand I have the right to see certain records you hold about me if I pay a fee and I can get an information sheet explaining my rights, from The Santander Broker Management Team, 2nd Floor, 100 Ludgate Hill, London E4M 7RE. Third owner, partner, director or sole trader signature Second owner, partner, director or sole trader signature Fourth owner, partner, director or sole trader signature Date D D M M Y Y Y Y 8 Please provide the following information Please return the completed form to your local Business Development Director (details can be found on the contact us page of our Intermediary website www.sccbbforintermediaries.co.uk) together with the following information on your letter headed paper: 1) Date of Incorporation. Or for sole traders, LLPs or partnerships the date the business was started 2) The trading style of your brokerage (e.g. partnership, Limited Company) 3) The sectors that your brokerage trades in 4) A brief commentary of your experience in the corporate and commercial finance sector. Please include details of any Financial Service Qualifications. 5) Please provide a copy of a bank statement (not an electronic/web or online download) a cancelled cheque or paying in slip to confirm bank account details for the remittance of commission Once the above has been received and processed, if your application is successful, you will be sent a copy of our standard intermediary terms and conditions to sign and return. Following the receipt of these you will then deceive an email confirming that you are registered with Santander. You can then introduce businesses to us and commissions where applicable can be paid. Information: When submitting the supporting required information, please ensure that you use your broker letterheaded paper which matches the name of the business you have written in the Actual Trading Name of Business box in section 1. Please ensure you supply all required information clearly. Office use only Further information Name of Business Development Director Recommendation form attached Date D D M M Y Y Y Y 6020895 MAR 15 HT Santander Corporate & Commercial is a brand name of Santander UK plc, Abbey National Treasury Services plc (which also uses the brand name Santander Global Banking and Markets) and Santander Asset Finance plc, all (with the exception of Santander Asset Finance plc) authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Our Financial Services Register numbers are 106054 and 146003 respectively. You can check this on the Financial Services Register by visiting the FCA s website www.fca.org.uk/register or by contacting the FCA on 0800 111 6768. Credit cards are provided by Santander UK plc. In Jersey, Santander UK plc is regulated by the Jersey Financial Services Commission to carry on deposit-taking business under the Banking Business (Jersey) Law 1991. Registered office: 2 Triton Square, Regent s Place, London NW1 3AN. Company numbers: 2294747, 2338548 and 1533123 respectively. Registered in England. Santander and the flame logo are registered trademarks. Santander UK plc is a participant in the Jersey Bank Depositors Compensation Scheme. The Scheme offers protection for eligible deposits of up to 50,000. The maximum total amount of compensation is capped at 100,000,000 in any 5 year period. Full details of the Scheme and banking groups covered are available on the States of Jersey website (www.gov.je/dcs) or on request