Individual Account - ANZ Share and Bond Trading

Transcription

ANZ Share and Bond Trading Individual 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 0800 269 728.
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 the 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 name of the Account Holder:
– 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 the 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);
Notary 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
ANZ Share and Bond Trading Individual Application (continued)
FOR OFFICE USE ONLY
Authorised by
Account Number
Signature
Account Type
Date
SECTION 1. APPLICANT DETAILS
Account Holder Details
(please ensure you provide your full legal name)
Date of birth
Country of Birth
ANZ Customer Number
Title
Occupation
Surname
Employer
Given Name(s)
Phone
(Business)
Phone
(Home)
Mobile (
Fax (
Email
(
(
(compulsory)
(compulsory)
(compulsory)
)
No
Yes – r efer to the “FAQs” page on the ANZ Share and
Bond Trading website
Is the applicant named above a US citizen?
)
No
(compulsory)
(compulsory)
Tax Rate
Employment
(compulsory)
Is the applicant named above a US resident for tax purposes?
)
)
IRD Number
(compulsory)
full-time
part-time
student
unemployed
retired
(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.
SECTION 2. ADDRESS DETAILS
Residential Address for Individual Account Holder
(compulsory)
Correspondence Address
All correspondence from the share registries about your
shareholdings will be sent to your Correspondence Address.
Postcode
Postal Address for Individual Account Holder
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.
2 – December 2014
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
Fixed Interest securities (bond, notes, preference shares etc)
New Issues
Unknown
How often do you intend to place buy/sell orders?
Once
Daily
Weekly Monthly
Annually Unknown
How much do you intend to spend per trade?
(compulsory)
(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)
If you already have a CSN, please indicate it here:
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 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
SECTION 7. AUTHORISED REPRESENTATIVES
Any Authorised Representatives on your account are to be listed here. Authorised Representatives are non-Account Holders
authorised by you to trade on this account on your behalf. They will also receive copies of contract notes if an email 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
Title
Full Legal Name
Full Legal Name
Date of Birth
Date of Birth
(compulsory)
Country of Birth
Country of Birth
(compulsory)
Residential Address
(compulsory)
(compulsory)
Residential Address
(compulsory)
(compulsory)
Postcode
Postcode
Email
Email
Contact Telephone (
Occupation
Employer
)
Contact Telephone (
Occupation
(compulsory)
Employer
(compulsory)
Relationship to Applicant
(compulsory)
(compulsory)
Relationship to Applicant
(compulsory)
)
(compulsory)
Is the individual named above a US resident for tax purposes?
Is the individual named above a US resident for tax purposes?
(compulsory)
(compulsory)
No
Is the individual named above a US citizen?
No
No
Is the individual named above a US citizen?
(compulsory)
No
(compulsory)
Trading website.
Trading website.
Signature
Signature
(compulsory)
(compulsory)
ANZ Securities will accept trading instructions from any Authorised Representative or Account Holder without reference to the other
Account Holders, unless the Account Holders provide instructions to the contrary.
4 – December 2014
SECTION 8. SIGNATURE(S) REQUIRED HERE
The Account Holder must sign below.
The Signature below must reasonably match your signature
as per the identification that you have provided.
I agree to be bound by the Terms and Conditions of ANZ
Share and Bond Trading, as amended from time-to‑time.
I confirm that all the details set out in this Application Form
are correct.
I agree that instructions may be given and orders may be
placed by me or an 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 me or any Authorised Representative.
I 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 my behalf in instances
where I 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. I accept that ANZ Securities does not guarantee and
gives no warranty that this will produce the best or any
particular price. I acknowledge that ANZ Securities may
submit orders in this manner unless I give ANZ Securities
instructions to the contrary either generally or in relation
to a specific order.
I authorise ANZ Securities to retain an encrypted copy of my
Faster Identification Number (FIN) which will be automatically
populated into all sell orders submitted into my account. I
acknowledge that by permitting ANZ Securities to retain my
FIN, I am giving ANZ Securities unlimited ability to transfer
my 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.
By signing this application form you acknowledge and agree
to the Terms and Conditions for ANZ Share and Bond Trading.
Account Holder’s Signature(s):
Account Holder’s Full Name
Account Holder’s Signature
Date
SECTION 9. FINAL CHECKLIST
Please provide the following:
Application forms with your original signature must be
delivered by post; we cannot accept faxed or emailed
copies because we are required to hold your original
signature on file.
A completed and signed Direct Debit Authority Form
(see page 6 and 7) (compulsory)
A clear and certified copy of your photo identification.
A clear and certified copy of proof of your bank account.
If there are any issues with your application form or required
forms of identification you will be contacted.
original or a clear and certified copy of proof of your
A
When your application has been approved and established,
you will receive and email advising:
Your Signature in Section 8.
– Your ANZ Share and Bond Trading client account number
I f you have nominated an Authorised Representative,
a clear and certified copy of their photo identification.
– Instructions for Internet Trading
I f you have nominated an Authorised Representative,
an original or a clear and certified copy of proof of their
If you want to know the status of your application form,
please contact ANZ Share and Bond Trading on 0800 269 728.
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
ANZ Bank New Zealand Limited
– Our contact details if you require any assistance.
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.
5 – December 2014
anz11292
12/14
Authority to Accept Direct Debits
COMPULSORY
AUTHORITY TO ACCEPT
DIRECT DEBITS
Name of Account
(Not to operate as an
assignment or an agreement)
Account Details (customer to complete)
AUTHORISATION CODE
Please complete the bank account details of the account to be debited:
0
Bank
Branch Number Account Number
1
1
0
5
2
Suffix
Date
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)
Date
Authorised Signature(s)
Date
APPROVED
FOR BANK USE ONLY
Date Received
BANK
STAMP
Recorded by
1052
10
2007
Original: Retain at branch
Checked by
Copy: Forward to Initiator in postage prepaid and addressed envelope provided by the Initiator.
6 – December 2014
6
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.
(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.
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.
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.
7 – December 2014
anz11292
12/14
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 0800 269 728
if you have any questions about the certification process.
IDENTIFICATION DOCUMENTATION
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.
PHOTO IDENTIFICATION
Applicants must provide a certified copy of one of the following:
•
•
•
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.

Individual Account - ANZ Share and Bond Trading

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