Download investment funds to isa application form

ADVISED
INVESTMENT FUNDS TO ISA
APPLICATION FORM
This form is to be used to apply for an Investment ISA with Cofunds.
The ISA allowance for all investors is £20,000.
Please complete this form and return it to:
Cofunds Limited, PO Box 1103, Chelmsford, CM99 2XY
(STOCKS AND SHARES) 2017/2018
The Terms and Conditions can be found at:
www.cofunds.co.uk/advisedterms
for new and existing clients
Section 1
Client details
1A. New and existing client details
Existing Cofunds
Client Reference
Title
Mr
Mrs
4
4
Ms
4
Miss
4
Other
First and middle name(s)
Surname
FATCA
4
I confirm that I’m solely UK resident for tax purposes and not a US citizen
If you can’t confirm and tick the box above, please download and complete the Individual
Self-Certification Form from the Cofunds website.
/
Date of birth
National Insurance
Number
/
/
Male
/
4
Female
I don’t have a National
Insurance Number
For existing Cofunds
clients, we just need
client reference, name,
FATCA information and
date of birth.
i
When completing date
fields please use the
usual DD/MM/YYYY
format.
i
For existing Cofunds
clients who have a new
address, use this section
to tell us.
i
If this section isn’t
completed and you’ve
provided a personal cheque
for this application, we’ll
use the bank account
details from the cheque as
your nominated bank
account details on our
records, if you do not
already have one.
i
4
4
1B. New client address details
Permanent residential
address
Postcode
Previous address
If time at current address
is less than two years
Postcode
1C. Nominated bank account
Complete this section to set up a new nominated bank account. We’ll use the details below to pay any future income/withdrawals to.
Name of account holder
Branch sort code
Bank/Building Society
account number
Building Society
roll number
/
/
CLEAR FORM
Investment Funds to ISA Application Form
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Section 2
Funding the investment
2A. Third party details (please complete this section if the person funding all or part of this investment isn’t the applicant listed in Section 1)
Existing Cofunds Client
Reference (if applicable)
Title
Mr
Mrs
4
4
Ms
4
Miss
4
Other
First and middle name(s)
If this section is
completed then the third
party must sign Section
3C and be verified in
Section 5B
i
If you wish to sell from a
designated holding please
add the designation here.
If no designation is added
we will withdraw from your
undesignated holding.
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Surname
Permanent residential
address
Postcode
Relationship to applicant
/
Date of birth
Section 3
/
Withdrawal details
Male
4
Female
4
(Investment Funds)
3A. What funds would you like to sell?
If you don’t tell us how your investment(s) should be withdrawn, we’ll automatically withdraw proportionally across your funds.
This will maintain your current fund percentage.
Total cash amount to withdraw
£
Designation (if applicable)
Full fund manager name, fund name and share class
(example) World Equity Z Fund
Amount to be sold
(only choose one option)
Cash
amount
Continue
monthly saving
All
% to be sold
4
%
4 Yes 4 No
4
%
4 Yes 4 No
4
%
4 Yes 4 No
4
%
4 Yes 4 No
4
%
4 Yes 4 No
4
%
4 Yes 4 No
4
%
4 Yes 4 No
4
%
4 Yes 4 No
We can’t always guarantee the exact amount that your deal will realise. In these cases, we’ll sell the amount stated above, plus an additional 3% in units.
This is to make sure we get the amount you require for your ISA, but this may lead to an excess balance. For more information about excess balances, please
see Section 3B.
If you’re already subscribing by monthly Direct Debit to the fund(s) that you have selected to sell, please specify whether you wish to continue subscribing to
these fund(s).
The withdrawal and investment selection will be actioned in the same tax year unless you tick this box
(if you tick this box we will withdraw from the Investment Funds on the last business day in the current tax year, and buy into the next tax year ISA).
4
Please tick this box if you don’t want us to include an additional 3%
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CLEAR FORM
Investment Funds to ISA Application Form 2
Section 3
Withdrawal details (Investment Funds) – continued
3B. Excess balances (if applicable)
Pay any excess balances into my Cofunds Cash Account (this will not form part of your ISA allowance)
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If you don’t tick the box above, we’ll reinvest any excess balances into the highest value commission-free share class fund
in your holding.
The value of your
Investment Funds holding
may change by the time
you complete this
instruction and the deal
being placed, which may
result in an excess balance.
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Third party/joint holder
withdrawals - if you
complete this section,
we’ll pay any excess
balances from third party/
joint holder withdrawals
into that cash account.
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If the holder of the
Investment Funds is also
the ISA applicant, please
only complete Section 7.
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3C. Withdrawal authorisation
I authorise Cofunds to withdraw on my behalf and reinvest into a current year Investment ISA as indicated in this form.
I also authorise any adviser fees to be paid from the joint holder cash account (if applicable).
First and middle name(s)
If the Investment Funds
that is funding the ISA is
held jointly or by a third
party, all parties must sign
this section to authorise
the withdrawal.
Surname
Primary holder signature
/
Date
/
If a third party is funding the
ISA, please ensure Section
2A has been completed.
First and middle name(s)
Surname
Joint holder signature
/
Date
Section 4
/
Investment details
(Investment ISA)
4A. What funds would you like to invest in?
For further details about the available funds, please refer to the Key Investor Information Documents (KIID) and/or Fund Key Features Document.
Invest proportionally into the same funds, listed in Section 3A
Total amount to invest
4
or I’ve included a separate list of funds with this form
4
or I’ve listed funds below
4
£
Amount to invest
(only choose one option)
Full fund manager name, fund name and share class
(example) World Equity Z Fund
Type of unit/share1
% to be
invested
Cash amount
4 ACC
4 INC
% £
4 ACC
4 INC
% £
4 ACC
4 INC
% £
4 ACC
4 INC
% £
4 ACC
4 INC
% £
4 ACC
4 INC
% £
4 ACC
4 INC
% £
4 ACC
4 INC
% £
Cash Reserve (this will be included as part of your ISA allowance and not placed into your cash account)
% £
TOTAL AMOUNT
% £
ACC/INC: if you don’t specify ACC or INC in this column, and don’t complete Section 4B, Cofunds will invest into accumulation units/shares where available.
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Investment Funds to ISA Application Form CLEAR FORM
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Section 4
Investment details – continued
4B. Income options (please tick one of the following options)
The option you choose will be applied to all income units/shares you hold within this product.
Retain in fund (default) – reinvest any income back into the fund
4
Consolidated monthly income – pay any income to my bank account on a monthly basis
4
Cofunds Cash Account – pay any income into my Cofunds Cash Account
4
If you already hold income units/shares within this product and you don’t tick one of the boxes above, we’ll apply your
existing income option.
If you’re an existing
client and are taking regular
withdrawals from your
Cofunds Cash Account you
can’t choose consolidated
monthly income. If you
wish to change from regular
withdrawal to consolidated
monthly income, please use
the Income Instruction
Amendment Form.
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If you don’t choose an
option, we’ll apply your
income option to all
products you hold.
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4C. Product income options (please tick one of the following options)
Choose which product you’d like your income option above to apply to.
Investment Funds
4
Section 5
Investment ISA (PEP and ex Mini)
4
Both
4
Adviser details (for adviser use only)
Cofunds Intermediary Authorisation Code (required)
5A. Segmentation
Only complete this section if the client isn’t currently segmented or if you wish to change their segment. All clients trading through Cofunds must be assigned
to a segment. Please enter the full name of the segment as known by Cofunds using BLOCK CAPITALS: 5B. Confirmation of Verification of Identity (CVI)
I/We confirm that the names, addresses and dates of birth contained in this application for the client(s) and third party payer (if relevant) have been verified by
me/us, and that the evidence I/we obtained:
Meets the standard evidence in the Joint Money Laundering Steering Group guidance for the UK financial services sector
4
Exceeds the standard evidence - where the client is a Politically Exposed Person (written details of the further verification evidence taken are attached to this application)
4
I/We also confirm that (please tick as applicable):
The sort code, bank account number and account name in Section 1C have been obtained and verified by me/us
Signed
Date
4
/
/
FCA Reference
Number (Firm)
Name
Position
Section 6
Adviser fee agreement (for adviser use only)
One-off advice fee
The fee will be deducted from your client’s Cofunds Cash Account. The fee will be paid from the same Platform Account
Reference as this investment instruction. If your client would like their fee to be paid from a different account, please enter
this below.
Pay from Platform
Account Reference
A
Percentage of fee VAT is applicable to
%
VAT amount
£
Fee amount (monetary amount)
£
Total amount
£
Date of advice
/
To avoid duplication,
please don’t enter this
one-off fee on any other
application form.
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Fee calculation
Cofunds will use the VAT
rate that’s in place at the
date of advice.
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/
CLEAR FORM
Investment Funds to ISA Application Form 4
Section 7
Client declaration
7A. I declare that
I am aged 18 years or over.
The information contained in this application form is correct to the best of my knowledge
and belief.
The Terms and Conditions of the Cofunds Platform are the standard terms upon which
Cofunds intends to rely, and it is important that I read and understand the terms before
agreeing to be bound by them. If there is any term or point I do not understand or do not
wish to be bound by, I understand that I can request further information before signing
this application.
All investment subscriptions made now and in the future belong to me.
My signed application form (once accepted by Cofunds) together with the Terms and
Conditions of the Cofunds Platform (Advised) form my Customer Agreement with
Cofunds Limited.
I am applying to subscribe to a stocks and shares ISA for the 2017/2018 tax year and each
subsequent year until further notice.
The commencement of my ISA may be delayed or rejected if this application form is not
complete in all respects.
I have not subscribed/made payments, and will not subscribe/make payments more than
the overall subscription/payment limit in total to a cash ISA, a stocks and shares ISA, an
innovative finance ISA, and a Lifetime ISA in the same tax year.
I am entitled to cancel my application in accordance with the Investment ISA Key
Features and that if I choose to cancel my application, my investment shall be subject to
market movement during the period from the date when my application is processed to
the date my investment is sold.
I have received financial advice from a financial adviser in relation to this investment.
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 in the United Kingdom for tax purposes, or, 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 Cofunds
Limited if I cease to be so resident or to perform such duties, or be married to or in a civil
partnership with a person who performs such duties.
7B. I authorise Cofunds Limited to
Hold my cash subscription, ISA investments, interest, dividends and any other rights or
proceeds in respect of those investments and any other cash.
Make on my behalf any claims to relief from tax in respect of my ISA investments.
If required, undertake searches with a reference agency for the purposes of verifying my
identity. To do so, I understand that the reference agency may check the details I supply
against any particulars on any database (public or otherwise) to which they have access. They
may also use my details in the future to assist other companies for verification purposes.
I understand that a record of the search will be retained as an identity search.
7C. I confirm that
I have viewed the Terms and Conditions of the Cofunds Platform (Advised) and by signing
this application form I agree to be bound by them.
I have viewed the relevant product Key Features and fund specific information and/or Key
Investor Information Documents (KIIDs) relating to my investment. A copy of the KIIDs
can be found via the following link: www.cofunds.co.uk/investorsreportsandaccounts
7D. I understand that
There are fees (the Cofunds Platform Charges) for the use of Cofunds services. I
authorise Cofunds to collect these fees from my Cofunds Cash Account. If there is
insufficient money in my account, I authorise Cofunds to sell enough of my platform
assets to pay these fees in accordance with the ‘Our charges’ section of the Terms and
Conditions of the Cofunds Platform (Advised).
Signed
7E. Fund Sale Instruction
I confirm that my adviser has explained to me whether a Fund Sale Instruction applies to
the segment linked to my investment. If so, I accept and agree that funds will be sold to
settle any outstanding fees and charges which have accrued prior to this date and all fees
and charges payable hereafter.
I understand and accept that this may result in commission-included share class funds
being sold to cover the fees and charges.
7F. Adviser fee agreement (applicable if Section 6 is completed)
I confirm that I have received my Fees and Charges Schedule and understand the fees
and charges that are applicable to my investment.
I instruct Cofunds to pay my adviser the agreed one-off fee as specified in Section 6.
For Powers of Attorney more than one signature may be required.
By signing this I agree that my adviser has explained the attributes of the one-off fee to
me, and agree to pay my adviser fees from my Cofunds Cash Account.
7G. Notes
If you require a Fund prospectus, please contact your adviser or Fund Manager directly.
If you wish to attend/vote at unit holder or shareholder meetings, please tick this box 4
If you wish to download reports and accounts, you can do so at:
www.cofunds.co.uk/investorsreportsandaccounts
If you wish to receive paper copies of reports and accounts, product Key Features, other
fund-specific information and/or KIIDs, please write to us at:
Cofunds Limited, PO Box 1103, Chelmsford, CM99 2XY.
If you wish to pay your adviser by another means then Section 6 shouldn’t be completed.
Date
/
/
CLEAR FORM
Issued and approved by Cofunds Limited, Level 43, The Leadenhall Building, 122 Leadenhall Street, London, EC3V 4AB.
Registered in England and Wales No. 3965289. Authorised and regulated by the Financial Conduct Authority (FCA) under FCA Registration No. 194734.
Investment Funds to ISA Application Form CA17AUB 07/17
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