Manually. If you choose manual verification, you will need to provide us with certified copies of the documents listed in the Guidance Note for Manual Identity Verification (page 29). Information provided will be handled in accordance with Clause 26-28 of the CIP Terms and Conditions. NZX Prescribed Person Confirmation As an NZX Market Participant, Craigs Investment Partners Limited is prohibited under the NZX Participant Rules from buying or selling securities for a Prescribed Person of any other NZX Firm. Are you or any person associated with this account a Prescribed Person (i.e. one of the following): a) a Director, Partner, Managing Principal, Responsible Executive, shareholder or employee of an NZX Market Participant; or b) the spouse, de facto partner or dependent child of a person referred to in (a). Yes No Relationship to Listed Entity Listed Entity Name Registered Exchange Director/Officer Name Relationship to Listed Entity Listed Entity Name Registered Exchange CRAIGS INVESTMENT PARTNERS Client Agreement Trust or Deceased Estate 03.19 / 15 Authorisation to Instruct on the Account Multiple Authorisation – Please indicate below which persons from section C, and how many are required to jointly instruct on the account. Name first, middle and last name Name first, middle and last name Name first, middle and last name Details of Beneficial Owners Full Name Relationship to Client % Held Details of Beneficiaries The Trustees are required to notify Craigs Investment Partners if a distribution is made to any beneficiary and complete an Individual Details form for the beneficiary. If the Trust is a Discretionary Trust, Charitable Trust or a Trust with more than 10 Beneficiaries please provide a description of each class or type of beneficiary. If the Trust is a Charitable Trust please provide details of the objectives of the Trust. C8 A Beneficial Owner is a person who has effective control of the Client or a person who owns 10% or more of the Client. For a trust, a Beneficial Owner is a person who has control of the trust, specific trust property or the power to amend the trust deed, or to appoint or remove trustees or any beneficiary that has a vested interest of more than 10% in the trust property. C9 C10
Appears in 1 contract
Samples: Client Agreement
Manually. If you choose manual verification, you will need to provide us with certified copies of the documents listed in the Guidance Note for Manual Identity Verification (page 2932). DOCUMENT REQUIRED Information provided will be handled in accordance with Clause (i) Clauses 26-28 of the CIP Terms and Conditions. NZX Prescribed Person Confirmation As an NZX Market Participant, Craigs Investment Partners Limited is prohibited under the NZX Participant Rules from buying Conditions or selling securities for a Prescribed Person of any other NZX Firm. Are you or any person associated with this account a Prescribed Person (i.e. one ii) Clauses 25-27 of the following):
a) a Director, Partner, Managing Principal, Responsible Executive, shareholder or employee of an NZX Market Participant; or
b) the spouse, de facto partner or dependent child of a person referred to in Wholesale Terms and Conditions (aas applicable). Yes No Relationship REPORTS & CONTRACT NOTES Reports will be available on the Client Portal and you will receive an email notification when they are available. Contract notes will be sent to Listed Entity Listed Entity Name Registered Exchange Director/Officer Name Relationship you by email and will be available on the Client Portal. If you would like to Listed Entity Listed Entity Name Registered Exchange receive the reports or contract notes by post, please discuss this with your adviser. SUBSCRIPTION News & Views publication A quarterly publication with topical articles and company events is available on the Client Portal. Please tick below if you would also like to receive News & Views by email and/or post. Email Post Market Insights eNewsletter A fortnightly email that covers current market information. Please tick if you wish to receive these. Email CRAIGS INVESTMENT PARTNERS Client Agreement Trust or Deceased Estate 03.19 / 15 01.23 / 05 Identity Verification Craigs Investment Partners may request to sight the original of any identity verification document that has been used by you for identity verification purposes. Photo ID Photo ID provided must be of a quality to enable the person’s identity to be verified. Certified Copy Original documents can be sighted by a Craigs Investment Partners employee. Alternatively all identity documents must be certified by one of the following: • Justice of the Peace (JP) • Lawyer • Notary Public • NZ Chartered Accountant • NZ Police Constable • Member of Parliament • Registered Medical Doctor • Registered Teacher • Minister of Religion. This person certifying must not be related to you, be your spouse or partner, live at the same address as you or be involved in this Client Agreement. Certified documents must include the full name, occupation and an original signature of the certifier and the date of certification. Certification must have been carried out in the three months preceding presentation of the certified documents. Example wording to be used on certification Client Portal This is accessed via craigsip. com/login and is available to all clients and authorised persons associated with the account i.e. accountants, Trustees, beneficial owners. It is an online tool which enables monitoring of investment performance, plus access to research reports and investment reports. Trustee, Appointer, Settlor, Executor Role please select applicable roles Trustee Appointer Settlor Advisory Trustee Protector Executor Authorisation Are you authorised to Instruct on the Account Multiple Authorisation – Please indicate below which persons from section C, and how many are required to jointly instruct on the account. Name first, middle and last name Name first, middle and last name Name first, middle and last name Details of Beneficial Owners account (i.e. an Authorised Person)? Yes No PERSONAL DETAILS Title please select one Other specify Mr Mrs Miss Ms Xx Dr Gender Male Female Non Binary Prefer not to say Full Name Relationship to Client % Held Details Preferred Salutation Home Ph Work Ph Post as per mailing address Email Residential Address Postcode | | | | | Mailing Address (please enter if different from your residential address) Postcode | | | | | Date of Beneficiaries The Trustees are required to notify Craigs Investment Partners if a distribution is made to any beneficiary and complete an Individual Details form for the beneficiary. Birth | D | D | M | M | Y | Y | Y | Y | Other specify Country of Birth NZ Australia Town or City of Birth CITIZENSHIP & RESIDENCY STATUS Other specify New Zealand Citizen Australian Citizen If the Trust is a Discretionary Trust, Charitable Trust or a Trust with more than 10 Beneficiaries Other please provide a description copy of each class your residency documentation: Other Visa specify Permanent Resident / Resident Visa Work Visa Do not reside in NZ DOCUMENT REQUIRED Retired Public Office – Have you, or type of beneficiaryan immediate family member, held a public office position in the last two years e.g. diplomat, high level judicial, military or ministerial position in New Zealand or overseas? No Yes specify C2 Preferred Salutation This is how you would like your communication addressed. If the Trust is PERSONAL TAX DETAILS Tax resident in NZ Yes No specify New Zealand IRD Number | | | | | | | | | | I am a Charitable Trust please provide details of the objectives of the Trust. C8 A Beneficial Owner is a person who has effective control of the Client US citizen, green card holder or a US person who owns 10% for US tax purposes. Please ensure you tick either Yes or more No Yes No Please confirm each country/jurisdiction in which you are a tax resident, including the US if indicated above, and provide your TIN for each country/jurisdiction. Country/Jurisdiction of the Client. For a trust, a Beneficial Owner is a person who has control of the trust, specific trust property or the power to amend the trust deed, or to appoint or remove trustees or any beneficiary that has a vested interest of more than 10% in the trust property. C9 C10Tax Residence TIN
Appears in 1 contract
Samples: Client Agreement