Account Opening Form – Joint
1. Account Details & Client 1
Residential Address
Postal Address (if different)
2. Client 2 Details
Residential Address
Postal Address (if different)
3. CHESS Registration
Before completing this section you should refer to the Explanation of CHESS Sponsorship in FinEx's CHESS Sponsorship Agreement (Part B of the FinEx Terms of Trade).
Select one of the following options:
Transfer Existing CHESS Sponsorship (if selected)
DVP (if applicable)
CHESS Signatories
INDIVIDUAL: FULL NAME / SIGNATURE / DATE
4. Cash Settlement
Direct Debit Authority / Default Options
A. Default / Nominated Bank Account
B. Non-Default Bank Account (for Dividends)
C. Non-Default Bank Account (for Dividends)
Dividend Instructions
Cash Settlement Signatories
If you have elected to authorise FinEx's Third Party Clearer to direct debit your Nominated Bank Account, by signing this form you agree to be bound by the relevant Direct Debit Terms and Conditions and Direct Debit Request Service Agreement.
5. Financial Service Provider (FSP) Authority
I/we hereby appoint the following as our Financial Services Provider (FSP) and authorise them to speak to and provide instructions to FinEx on our behalf in relation to our FinEx account.
To be completed by the FSP
FSP Declaration (summary of statements):
By signing below, I declare on behalf of the FSP that the Client has received FinEx’s Terms of Trade (including Terms and Conditions, CHESS Sponsorship Agreement, FinClear’s Disclosure Statement, Direct Debit Request Service Agreement, FinEx’s FSG and FinClear’s FSG); that we have accepted the appointment as FSP; explained the limited scope of FinEx’s and FinClear’s services; do not represent or act on behalf of FinEx or FinClear; and that we have carried out the customer identification procedure and will provide documents upon request.
6. Trade Confirmations
Authorisation of the dispatch of Trade Confirmations (previously Contract Notes) via e-mail.
By completing this section and providing e-mail address/es, you authorise Trade Confirmations to be dispatched electronically. FinEx will arrange for a copy of your Trade Confirmations to be sent to your FSP. If you would like additional copies to be sent to other parties, please provide the email address/es below.
7. Client Acknowledgement & Agreement
The Client acknowledges that it has received, read and understood the following documentation:
a) FinEx’s Explanation of CHESS Sponsorship Agreement (Part B of the FinEx Terms of Trade)
b) FinEx’s Financial Services Guide (Part E of the FinEx Terms of Trade)
c) FinClear’s Financial Services Guide (Part F of the FinEx Terms of Trade)
By signing, the Client acknowledges that they have received and read, and the Applicant agrees to be bound by:
a) FinEx Equities Terms and Conditions (Part A of the FinEx Terms of Trade).
Quotation of your Australian tax file number(s) (TFN) is optional. FinEx is authorised by law to request your TFN; you are not required to provide it and failure to do so is not an offence. However, if FinEx is unable to quote your TFN or exemption to registries, you may be taxed at the highest marginal rate from certain payments.
By providing a TFN and signing this Application Form you:
a) appoint FinEx as your agent and authorise FinEx to provide your TFN to all relevant investment bodies and apply your TFN to any account or investment opened with or through FinEx and related bodies corporate; and
b) acknowledge that this authority will apply until it is revoked in writing.
The Client also acknowledges that they have provided the FSP with all relevant customer identification documents required to positively identify them.
Individual Clients to Complete
Declaration
By signing this application form, you agree, represent and warrant that you:
• Agree to be bound by the terms and conditions contained within the application.
• Are over the age of 18 years and not of any legal disability.
Further current FinClear services terms can be found at:
FinEx Terms of Trade – FinClear Services as Clearer
