FinClear Account Opening Form - SMSF

Account Opening Form – SMSF

1. Account Details & SMSF Details

Type

Legal Entity Name

TFN

Contact Name

ABN

ACN

Street Address

Postcode

Country

Contact Email

Contact Phone

Country of Establishment

Country of Effective Management

Business Name of Trustee (if any)

Type of Trustee

Registered managed investment schemeRegulated Trust (e.g. SMSF)Government superannuation fundUnregistered managed investment scheme with only wholesale clients (no small scale offerings)Other (please specify eg/ Family, Unit, Charitable, Estate)

If 'Other', please specify

SMSF Details

Please provide any additional SMSF-specific details (e.g. Fund Name, Registration, etc.)

2. Appointee & Settlor Details – Unregulated Australian Trust

Appointee Details

Given Names

Surname

Address

State

Postcode

Country

Settlor Details

Given Names

Surname

Address

State

Postcode

Country

Note: Settlor details are not required if the material asset contribution at establishment is less than $10,000, but this version captures them by default.

Beneficiary Details

Beneficiary 1 – Name

Beneficiary 1 – Date of Birth / ABN

Beneficiary 2 – Name

Beneficiary 2 – Date of Birth / ABN

Beneficiary 3 – Name

Beneficiary 3 – Date of Birth / ABN

Trust Australian Tax Status

Is the Trust an Australian Tax Entity?

YesNo

If NO, country of tax residence

If NO, GIIN

3. Company / Corporate Client 1

Type of Applicant

Organisation

Street Address

Postcode

Country

ABN

TFN

ACN

Country of Incorporation

Phone (Work)

Mobile

Postal Address (if different)

Postal Address

Postcode

Country

Company Type

Public (name does not include Pty / Proprietary; generally listed companies)Proprietary (name ends with Proprietary Ltd or Pty Ltd; private company)

NOTE: Please ensure ALL Director details are completed in the relevant section below.

Shareholder 1 (owns > 25% of issued capital)

Title

Given Names

Surname

Residential Address

Postcode

Country

Shareholder 2 (owns > 25% of issued capital)

Title

Given Names

Surname

Residential Address

Postcode

Country

4. Client 2 Details

Type of Applicant

Salutation

Given Names

Surname

Date of Birth

Country of Birth

Tax File Number

Industry

Phone (Work)

Mobile

Occupation

Residential Address

Street Address

Postcode

Country

Postal Address (if different)

Postal Address

Postcode

Country

Are you a resident of Australia for tax purposes?

YesNo

If NO, country of tax residence

If NO, your country's TIN

5. Client 3 Details

Type of Applicant

Salutation

Given Names

Surname

Date of Birth

Country of Birth

Tax File Number

Industry

Phone (Work)

Mobile

Occupation

Residential Address

Street Address

Postcode

Country

Postal Address (if different)

Postal Address

Postcode

Country

Are you a resident of Australia for tax purposes?

YesNo

If NO, country of tax residence

If NO, your country's TIN

6. CHESS Registration

Account Name

Designation

Address

Postcode

Before completing this section you should refer to the FinEx CHESS Sponsorship Agreement and Explanation of Sponsorship Agreement Terms in the FinEx Terms of Trade.

Select one of the following options:

New CHESS Sponsorship (establish new Sponsored HIN and FinEx as CHESS sponsoring broker)Transfer existing CHESS sponsorship from another brokerIssuer SponsoredDVP

Transfer Existing CHESS Sponsorship (if selected)

Name of existing Broker

PID

HIN

Account Name

Designation

Street Address

State

Postcode

Country

DVP (if applicable)

Name of Counterparty

PID

HIN / Account No

CHESS Signatories

INDIVIDUAL: FULL NAME / SIGNATURE / DATE

Individual (1) Full Name

Individual (1) Signature (type name)

Date

Individual (2) Full Name

Individual (2) Signature (type name)

Date

Individual (3) Full Name

Individual (3) Signature (type name)

Date

7. Cash Settlement

Account Name

BSB

Account Number

Settlement Type

CMT Fund

Pay Gen Method

Rec Gen Method

Direct Debit Authority / Default Options

Direct Debit AuthorityDefault PaymentDefault ReceiptAuto Contra

A. Default / Nominated Bank Account

Financial Institution Name

Account Name

BSB

Account Number

B. Non-Default Bank Account (for Dividends)

Financial Institution Name

Account Name

BSB

Account Number

C. Non-Default Bank Account (for Dividends)

Financial Institution Name

Account Name

BSB

Account Number

Dividend Instructions

Provide Default/Nominated Bank Account (Section 7A) to all share registers where available for dividendsProvide Non Default Bank Account (Section 7B) to all share registries where available for dividends

Cash Settlement Signatories

Individual/Director (1) Full Name

Signature (type name)

Date

Individual/Director (2) Full Name

Signature (type name)

Date

If you have elected to authorise FinClear’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.

8. 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.

FSP Name

FSP Address

To be completed by the FSP

FSP Authorised Person Full Name

Adviser Group

AFSL

FinEx Adviser Code

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 and associated documents (including CHESS Sponsorship Agreement, Disclosure Statement, Direct Debit Agreement, FSGs and Privacy Statement); we have accepted the appointment as FSP; we have explained the limited scope of FinEx’s and FinClear Services’ services; we do not act on behalf of FinEx or FinClear Services; and we have completed the customer identification procedure, including AML/CTF obligations, and will provide documents and KYC/PEP/AML information to FinEx upon request.

Signature of Authorised Representative of FSP (type name)

Date

Position / Title of FSP Authorised Representative

9. 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.

Primary Email for Trade Confirmations

FSP Email (for Trade Confirmations)

Additional Email Address/es for Trade Confirmations

10. 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 Services Financial Services Guide (Part E 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)

b) FinClear Services Disclosure Statement (Part C of the FinEx Terms of Trade)

c) (if CHESS sponsored) FinEx’s CHESS Sponsorship Agreement (Part B of the FinEx Terms of Trade)

d) (if using the Direct Debit facility) FinClear Services Direct Debit Agreement (Part D 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

Individual (1): Full Name

Signature (type name)

Date

Individual (2): Full Name

Signature (type name)

Date

Individual (3): Full Name

Signature (type name)

Date

Corporate / Company Clients to Complete

(Two Directors or a Director and a Secretary must sign, unless a Sole Director/Sole Secretary company.)

Director: Full Name

Signature (type name)

Date

Director/Secretary: Full Name

Signature (type name)

Date

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 of legal capacity to enter into this agreement.

Further current FinClear Services terms can be found at:

FinEx Terms of Trade – FinClear Services as Clearer

Account Opening Form – SMSF

1. Account Details & SMSF Details

Type of Trustee

SMSF Details

2. Appointee & Settlor Details – Unregulated Australian Trust

Appointee Details

Settlor Details

Beneficiary Details

Trust Australian Tax Status

3. Company / Corporate Client 1

Postal Address (if different)

Company Type

Shareholder 1 (owns > 25% of issued capital)

Shareholder 2 (owns > 25% of issued capital)

4. Client 2 Details

Residential Address

Postal Address (if different)

5. Client 3 Details

Residential Address

Postal Address (if different)

6. CHESS Registration

Transfer Existing CHESS Sponsorship (if selected)

DVP (if applicable)

CHESS Signatories

7. Cash Settlement

A. Default / Nominated Bank Account

B. Non-Default Bank Account (for Dividends)

C. Non-Default Bank Account (for Dividends)

Cash Settlement Signatories

8. Financial Service Provider (FSP) Authority

To be completed by the FSP

9. Trade Confirmations

10. Client Acknowledgement & Agreement

Individual Clients to Complete

Corporate / Company Clients to Complete

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