Fillable Aviva Platform Product Portfolio Client Declaration Form (London Institute of Management and Technology)

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Aviva Platform Product Portfolio Client Declaration Form (London Institute of Management and Technology)

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The Aviva Platform Product Portfolio Client Declaration Form (London Institute of Management and Technology) form is 5 pages long and contains:

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Country of origin: UK
File type: PDF

U.K. forms for London Institute of Management and Technology

BROWSE LONDON INSTITUTE OF MANAGEMENT AND TECHNOLOGY FORMS

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When to use this form:
• Please fill this in if you’re applying to open one or more product portfolio(s) on the Aviva Platform. The product portfolios are:
- Pension Portfolio
- ISA Portfolio
- Investment Portfolio
• (Investment Portfolio only) If you’re applying for a joint Investment Portfolio, the second applicant must also sign and date this form.
• Your adviser will be able to let you know what documentation you need to give us as part of your application.
• Please take time to read the terms and conditions and key features document for the product portfolio(s) you’re applying for.
You should also read your illustration. If you have any questions about any of this, please talk to your financial adviser.
Do not return this form in the post. See adviser scan and upload instructions at end of form.
Aviva Platform
Product Portfolio Client Declaration Form
1
Personal details - To be completed by the first applicant
Client reference
Forename(s)
Surname
Second applicant - Investment Portfolio only - fill in if this is a joint application
Client reference
Forename(s)
Surname
Section 1 (a): Pension Portfolio
• I am completing this declaration as part of my application
for membership of the Aviva Personal Pension Scheme.
From now on, we’ll refer to this as the scheme.
• I agree that the Pension Portfolio terms and conditions
and the scheme deed and rules apply to my plan.
• I am eligible to join the scheme, and this personal pension
plan because:
- I live in the UK, or
- I am a Crown servant, or the spouse/civil partner
of a Crown servant.
• I am eligible for income tax relief on payments that I make
from my own funds other than transfers because:
- I live in the UK, or
- I am a Crown servant, or the spouse/civil partner
of a Crown servant, or
- I am in receipt of earnings which are chargeable
to UK tax (known as Relevant UK Earnings).
• I will write to Aviva within 30 days if:
- I stop being a resident in the UK, or
- I stop being a Crown Servant or the spouse or civil partner
of a Crown Servant, or
- I start or I stop having relevant UK earnings.
• If applicable, I have authorised my employer to deduct my
payments from my earnings. I want my employer to tell Aviva
of any changes to my payments. Aviva should accept these
instructions as if they had come from me.
• In the event of my death I nominate all of the eligible beneficiaries
entitled to benefit from the Pension Portfolio after my death as
defined in the scheme rules and my Pension Portfolio terms and
conditions.
• For any tax year, I will limit the total contributions I make to any
registered pension schemes on which I receive tax relief under
section 188 of the Finance Act 2004. My contributions won’t be
more than the higher of:
- the basic amount (currently £3,600 a year), or
- my relevant UK earnings within the meaning of section 189 of
the same Act.
AV711212_LF01069_0422.indd 1 03/03/22 4:10 PM
Section 1 (a): Pension Portfolio continued
If you die before you have taken all your benefits from your Pension
Portfolio, they may be payable to someone else. Either you or your
adviser can set this up. You can view and amend these details using
MyAviva when required. MyAviva is our online service which enables
you to view your product portfolio(s). You will need to register for
MyAviva. Your adviser can give you more information on this. We
recommend that you regularly review your nomination in light of any
changes in personal circumstances. That is particularly important ifa
nominee dies before you, or if your relationship with the nominee
changes.
Section 1 (b): ISA Portfolio
• I authorise Aviva Wrap UK Ltd to hold my cash subscription, ISA
investments, interest, dividends and any other rights or proceeds
in respect of those investments and any other cash.
• I am completing this declaration as an application for investment
into the ISA Portfolio, which is a stocks and shares ISA provided by
Aviva Wrap UK Ltd (The Plan Manager) for the 2022/23 tax year and
each subsequent year until further notice.
• I agree that the ISA Portfolio terms and conditions will apply to my
investment.
• I am resident in the UK for tax purposes or, if not so resident,
either perform duties which, by virtue of Section 28 of Income
Tax (Earnings and Pensions) Act 2003 (Crown Employees serving
overseas), are treated as being performed in the UK, or I am
married to or in a civil partnership with, a person who performs
such duties. I will inform the Plan Manager if I cease to be so
resident or to perform such duties or to be married to or in a civil
partnership with a person who performs such duties.
• All subscriptions made, and to be made, belong to me.
• I have not subscribed and will not subscribe more than the overall
subscription limit in total to any combination of permitted ISAs in
the same tax year.
• 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 authorise the Plan Manager to make on my behalf any claims to
relief from tax in respect of ISA investments.
Section 3: Tax residency
Tax regulations require us to collect certain information about each
policyholder’s tax status. In certain circumstances, we will be obliged to
share this information with HM Revenue & Customs (HMRC).
Your tax residence is generally the country in which you live for more than
half a year. Special circumstances (such as studying, working overseas or
extended travel) may cause you to be resident elsewhere or resident in
more than one country at the same time.
The country/countries in which you are liable to pay income tax is/are
likely to be your country/countries of tax residence.
If you are tax resident in a territory other than the UK (Note that for
tax purposes UK means England, Northern Ireland, Scotland & Wales),
we will report the information to HMRC and they may transfer that
information to the government of that other territory in accordance
with the relevant agreement.
The information is as follows:
• Your name, address, jurisdiction of tax residence, Tax Identification
Number and date of birth.
• Your account/policy number and that the account/policy is with Aviva.
• The balance or value of your account/policy at the end of the year
or at the date it was closed.
• The gross amount of interest, dividends, proceeds from sale or
redemption or other amounts paid or credited to you or your
account/policy during the year.
In accordance with those agreements, UK government will also begin
to receive information from governments of other territories about
non-UK accounts held by UK tax residents. If you have any questions
about your tax residency status, please talk to your financial adviser.
Section 2: Financial crime
To verify your identity and prevent financial crime, your information
may be used by any company within the Aviva group. It may also be
shared with third parties who provide services to us, and any other
organisations, where required to by law and regulation.
We may record any searches carried out. These, and any suspicion of
financial crime, may be used to help other companies with verification
and identification. The search isn’t a credit check and your credit rating
shouldn’t be affected.
2
AV711212_LF01069_0422.indd 2 03/03/22 4:10 PM
3
Section 4: Adviser charge agreement
1. Payment of adviser charges
1.1 We will pay to your financial adviser the adviser charge in
accordance with this agreement or as otherwise directed by you
and your financial adviser.
1.2 The adviser charge that you have agreed to pay your financial
adviser is a matter between you and your financial adviser.
When we pay an adviser charge to your financial adviser, this is a
payment we are making because you have asked us to do so and
on your behalf. We do not assess the suitability or amount of the
adviser charge you have agreed to pay.
1.3 If you have any queries about your adviser charge, including
whether you are entitled to a refund, you should ask your
financial adviser.
1.4 If, subject to the terms of this agreement, an adviser charge is
stopped, not paid or is re-credited to your product portfolio,
you may remain liable to reimburse your financial adviser. You
should check the terms of your arrangement with your financial
adviser.
1.5 The payment of an adviser charge is separate to any charges
that you may be required to pay Aviva in respect of your product
portfolio(s).
1.6 We will only pay an adviser charge to your financial adviser’s
firm account or as otherwise directed by your financial adviser.
1.7 Once we have received your instruction to pay an adviser
charge, we will not be able to stop the payment if you
subsequently ask us to do so.
1.8 We will tell your financial adviser if you instruct us to alter or
stop the payment of any adviser charges.
1.9 Where there is insufficient cash to cover the payment of either
an ongoing charge or spread initial adviser charge, we reserve
the right to sell investments to cover these charges. You can find
further information about this in your product portfolio(s) terms
and conditions.
2. Calculation of your adviser charge
2.1 Initial adviser charge – we will deduct the amount which you
have agreed with your financial adviser to cover the cost of any
initial advice from your payment(s) before we invest them.
2.2 The spread initial adviser charge on regular contributions
is taken for a set period of time. It is taken either monthly,
quarterly, half-yearly or annually, as agreed by you with your
adviser.
2.3 Ongoing adviser charge – we will deduct the amount which you
have agreed with your financial adviser to cover the cost of any
ongoing advice from your product portfolio(s). If the amount you
have agreed is a percentage of your product portfolio(s) then
this will be calculated based onthe daily value of your product
portfolio(s) on the date the calculation is carried out, this means
the amount of ongoing adviser charge deducted will vary.
3. Cancelling product portfolio(s)
3.1 If you decide to cancel any of your product portfolio(s) within
the cancellation period we will still pay the initial adviser charge
to your adviser.
4. Change in financial adviser
4.1 You should let us know as soon as possible if you change your
financial adviser. If you change your financial adviser, wewill
stop paying further adviser charges to that adviser. Ifyou change
your financial adviser and you wish to pay adviser charges to a
new financial adviser, you will need to complete anew adviser
charge agreement.
4.2 If your financial adviser tells us that it has transferred
its business to another authorised firm which will take
responsibility for providing you with ongoing service, we will
transfer all future adviser charges to the new firm.
4.3 On a change of financial adviser, we may provide details of the
adviser charges paid under this agreement to your new financial
adviser to the extent required to enable your new financial
adviser to provide you with advice and services in connection
with your product portfolio(s) and entering into this agreement
is your consent to allow us to do so.
5. Termination of this agreement
5.1 You can terminate this agreement at any time by giving
us 30days’ notice. We will then cancel the adviser charge
agreement at the next available opportunity. You do not have to
give us any reason why you are terminating the agreement and
we will not charge you for doing so.
6. Keeping you informed
6.1 We will provide you with written confirmation when we set
up the arrangements to pay the adviser charges you have
instructed us to pay to your financial adviser. We will ask you to
check the information that we provide to you. You will need to
contact your adviser if you believe there are any errors.
6.2 We will also provide you with a statement every three months
which will set out all of the adviser charges paid over this period.
7. Miscellaneous
7.1 This agreement does not give any rights to any person other
than you and us. No other person shall have any rights under
the Contracts (Rights of Third Parties) Act 1999 to rely on any
terms under this agreement.
7.2 This agreement is to be governed by and interpreted in
accordance with the laws of England. The courts of England will
have jurisdiction over any dispute arising from this agreement.
AV711212_LF01069_0422.indd 3 03/03/22 4:10 PM
Section 4: Adviser charge agreement continued
Initial adviser charge
Please specify the initial advice charge you would like deducting from each individual single contribution.
Where % is selected this will be a % of the relevant contribution amount. This charge will only be deducted once.
Account number
Contribution type
Single/Cash transfer/
Employer single
Contribution
amount
£
Deduction
amount
£ or %
£ £ or %
£ £ or %
£ £ or %
£ £ or %
£ £ or %
£ £ or %
Spread initial adviser charge
You should complete this section when setting up or amending an initial adviser charge on regular contributions.
Please specify the spread initial adviser charge you would like deducting.
Only one initial adviser charge can be set up per product portfolio and this may be different for each.
Account number
Charge amount per
deduction
£
Frequency of
deductions
Number of
deductions
Total initial
advice charge
£
Ongoing adviser charge
Please specify the annual amount of ongoing adviser charge. This will be paid monthly on a pro rata basis.
Only one ongoing advice charge can be set up per product portfolio and this may be different for each.
Account number
Deduction amount
£ or %
4
Section 5: Discretionary Investment Manager (‘DIM’) charge
You should complete this section if you have chosen to appoint a Discretionary Investment Manager
Charges are taken as a % of the portfolio value including VAT (where applicable) and will be deducted monthly.
Account number Model Portfolio or DIM name Charge %
AV711212_LF01069_0422.indd 4 03/03/22 4:10 PM
Section 6: Declaration
• I am 18 years of age or over.
• I am resident in the UK.
• The information given in this declaration is correct to the best of
my knowledge and belief.
• I agree that the relevant product portfolio terms and conditions
apply to my investment.
• The product portfolio(s) are subject to the laws of England.
• I agree to notify Aviva immediately if any information relating to
this application changes in the future.
• I confirm that no financial advice has been received in respect of
this investment other than from my financial adviser.
• I instruct Aviva to set up and pay adviser charges, in accordance
with the terms and conditions of the adviser charge agreement
set out above.
• If applicable I appoint the Discretionary Investment Manager(s)
and authorise Aviva to deduct their charge from my product
portfolio cash account.
• I agree that any of the Aviva Application and/or Declaration
Forms I sign setting out my instructions to Aviva, may be held
by my adviser, and I authorise Aviva to accept and act upon the
instructions of my adviser as if they were made by me direct
without any investigation or enquiry.
• I have seen and agree the contents of the Fair Processing Notice,
which my financial adviser has shown to me.
• If at any time I no longer have an adviser the relevant section
within the product portfolio terms and conditions will apply until
such time as I appoint an adviser.
I confirm that I have read and agree the contents of this Declaration Form.
First applicant
Print name
Signature
Date
Second applicant - for Investment Portfolio joint investments only
Print name
Signature
Date
5
LF01069 04/2022 © Aviva plc
AV711212_LF01069_0422.indd 5 03/03/22 4:10 PM
What happens next?
Your financial adviser will need to scan and upload the declaration
into your document library.
Once we’ve processed your application we’ll write to you
with the following:
• Illustration of your product portfolio(s)
• Your rights to cancel
• Policy schedule
Our bank details for direct payments
Pension Portfolio -client payments in
Bank account: Aviva Pension Trustees UK Limited Client Money
Collection
Sort code: 40-02-50
Account number: 01357689
Investment Portfolio/ISA Portfolio -client payments in
Bank account: Aviva Wrap UK Limited Client Money Collection
Sort code: 40-02-50
Account number: 21357735
In each case, please use the client account number as the payment
reference.
Cheques
Cheques for the Pension Portfolio should be made payable to
AvivaPension Trustees UK Ltd.
Cheques for the ISA or Investment Portfolios should be made payable
to Aviva Wrap UK Ltd.
Your adviser MUST send cheques with our remittance advice
(LF60009) ONLY and not with this form.
IMPORTANT – DO NOT SEND THIS FORM TO US.
Your adviser should scan and upload all pages of this document onto the platform. This form should be kept by your adviser
for their records.
LF01069 04/2022 © Aviva plc
Aviva Wrap UK Limited. Registered in England No. 4470008. Aviva, Wellington Row, York, YO90 1WR.
Authorised and regulated by the Financial Conduct Authority. Firm Reference Number 231530.
Aviva Pension Trustees UK Limited. Registered in England No. 2407799. Aviva, Wellington Row, York, YO90 1WR.
Authorised and regulated by the Financial Conduct Authority. Firm Reference Number 465132.
aviva.co.uk
AV711212_LF01069_0422.indd 6 03/03/22 4:10 PM
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Aviva Platform Product Portfolio Client Declaration Form (London Institute of Management and Technology)

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Completed 26 April 2022

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