Fillable BUSINESS ACCOUNT APPLICATION FORM AND MANDATE (Cater Allen Private Bank)

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BUSINESS ACCOUNT APPLICATION FORM AND MANDATE (Cater Allen Private Bank)

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BUSINESS ACCOUNT
APPLICATION FORM AND MANDATE
Please ensure you visit caterallen.co.uk to download the FSCS
Information Sheet and Exclusions List before completing this application
form. You will be asked to acknowledge receipt of the Information Sheet
in the Acceptance section of this application form.
Please complete this form in BLOCK CAPITALS and black ink and
return it in the pre-paid envelope provided to: Cater Allen Private Bank,
9 Nelson Street, Bradford, BD1 5AN. If you need any help completing this
form, or if you or your accountant are new to Cater Allen please contact us
on 0800 092 3300 prior to submitting this form.
If you already hold a Business Account with us, that was opened in the last 12 months, you don't need to send us ID again, therefore please don't
complete section 6 (Confirmation of Verification of Identity (CVIC)) and section 10 (Required Documents). This is provided the organisation details and
all applicants for the new account are the same as on your existing account. If any of the details requested in sections 3 and 4 dier to those on your
existing account, please provide full ID as requested.
For action by Intermediary only
Master Account (£) number
Master Account (€) number
Master Account ($) number
page
1/18
1 Which account(s) are you applying for?
Applicant(s) to complete
Are you (please tick as appropriate):
Partnership
Limited Liability Partnership
Public Limited Company
Private Limited Company
Sole Trader
Publicly listed companies (approved exchange only)
If your company is listed, please specify which exchange
Hereafter known as the ‘organisation’.
Please tick to confirm that you are not submitting this application form from a Credit Union, money service provider, payment services
provider or any business that oers related services such as Western Union or MoneyGram
Please tick to confirm this application is for a company which does not have Bearer share arrangements in place
Please let us know the account(s) you would like to open, by ticking the relevant box. Tell us the amount you would like to deposit as an opening
balance, and in which currency. Then decide whether you would like a chequebook, paying-in book and/or Visa Debit Card.
Reserve Account
1
(minimum opening deposit £5,000)
Chequebook
Postal paying in book
for cheques
Visa Debit Card
£
€
$
Asset 30 Account
1
(minimum opening deposit £5,000)
£
1
If you are opening a Reserve Account or Asset 30 Account and would like to make the initial deposit by cheque, it is required that the cheque is made
payable to the name that you wish your new Account to be in. No cash, postal orders or third party cheques can be accepted.
In order to ensure that the Bank’s information is always up to date, and to comply with Anti-Money Laundering Regulations, we are required to
identify and verify all applicants for accounts, as well as certain other parties to the relationship. In some circumstances we may not be able to
process this request without this information.
If this application form does not provide you with enough space for the personal details of all required parties, please print this section of the
form and complete for each additional person, attaching all relevant pages to this application. If there is not enough space to complete your full
name, please clearly provide it in the 'Additional Information' page at the end of this form.
Required Parties: Directors, Company Secretaries, Authorised Signatories, Major Shareholders/Partner (25%+), Partner, Limited Liability Partner,
Sole Traders.
Please note: 25%+ Shareholders who are not Authorised Signatories on this Account must also sign the acceptance section at the end of
this application form.
page
2/18
2 Visa Debit Card
Applicant(s) to complete
First cardholder
Name of individual cardholder
Second cardholder
Name of individual cardholder
As Visa Cards operate on a single signature, they are only available where the Account Mandate (section 7) allows for all transactions to be signed by
any one of the Authorised Signatories. Please note: maximum of two cardholders allowed per account, and both must be a signatory on the Account
(please see section 9 – Authorised Signatories). Please complete the section below.
Please note that a Visa Debit Card is only available on the Reserve Account in pounds, euro or US dollar.
Organisation
Name of Company (26 characters maximum, including spaces)
page
3/18
3 Please tell us your organisation’s details
Applicant(s) to complete
All fields within this section are mandatory.
If you run out of space completing any question please use the Additional
Information section to complete your answer in full.
If your organisation is an existing account holder, please tell us your
account number with us.
What is the legal name of your organisation? For limited companies, this
is the name registered with Companies House.
If you have a trading name, please specify.
Name to be shown on new account
For limited companies, this must be your registered business name.
This is the name that will appear on chequebooks and paying-in books
where applicable. There is space for a maximum of 22 characters per line
Contact name
Position in organisation
What is your industry SIC code? Please provide any additional SIC codes
on the Additional Information page. You can provide up to four.
A full list of SIC codes can be found on Gov.uk
Primary
Please provide a detailed description of what your business does.
The description must include information about the goods and/or
services you provide and the locations you operate in/from.
Is your company a or a Community
Joint Venture
Interest Company
In which country is your organisation established / registered /
incorporated / formed?
Please provide a detailed description of your customers and their
geographic locations.
From which country(ies) are payments expected to be made and received?
Please provide all key suppliers and their geographic locations.
Please provide the names and locations of any agents or distributors.
Please provide details of key trading partners and their geographic
locations.
If your company is unincorporated, please provide country(ies) of legal
agreement.
List the location(s) of majority-owned subsidiaries (25%+ ownership),
branches and representative oces
Please provide the date of incorporation / formation or registration –
whichever date occurs earlier
Date of incorporation /
formation
D D M M Y Y Y Y
OR
Date of registration
D D M M Y Y Y Y
Date started trading
D D M M Y Y Y Y
Principal trading address
Postcode Country
If your Registered oce address or Address for correspondence
diers to that of your Principal trading address, please complete the
following address sections.
Registered oce address (this information must match Companies
House records)
Postcode Country
Address for correspondence
Postcode Country
page
4/18
3 Please tell us your organisation’s details
Applicant(s) to complete
Business Tax Identification Number (TIN) (where organisation
is registered outside the UK)
Registered number
Business telephone number
Mobile
Email
page
5/18
3 Please tell us your organisation’s details (continued)
Applicant(s) to complete
Through which activities were the funds obtained to open the account
(please tick all that apply). Please also indicate the value and country
the funds origined from.
Personal:
Income from
employment
£
Country
Retirement Income
£
Country
Property Related Income
£
Country
Inheritance Related
Income
£
Country
Income from Stocks,
Shares, Bonds,
Debentures or
Managed Investments
£
Country
Income from legal
settlement
£
Country
Income from divestment/
divestiture of assets
£
Country
Income from ownership/
sale virtual currencies
£
Country
Income from gifts
(more than £10,000)
£
Country
Income received from
another person/entity
£
Country
Income from savings
£
Country
Other: please specify
£
Country
Business:
Accumulated Profit
£
Country
Intra-group financing
(including intra-group
loans)
£
Country
Loans (third party)
£
Country
Property/Fixed Assets
(e.g. rental income)
£
Country
Income from divestment/
divestiture of assets
£
Country
Income/assets
generating funds
£
Country
Other: please specify
£
Country
How much will you be withdrawing per month?
£
How much will you be depositing per month?
£
page
6/18
3 Please tell us your organisation’s details (continued)
Applicant(s) to complete
Tell us what sources these credits will come from (select all the
apply). Please also indicate the value and country the funds
origined from
Personal:
Income from
employment
£
Country
Retirement Income
£
Country
Property Related Income
£
Country
Inheritance Related
Income
£
Country
Income from Stocks,
Shares, Bonds,
Debentures or
Managed Investments
£
Country
Income from legal
settlement
£
Country
Income from divestment/
divestiture of assets
£
Country
Income from ownership/
sale virtual currencies
£
Country
Income from gifts
(more than £10,000)
£
Country
Income received from
another person/entity
£
Country
Income from savings
£
Country
Other: please specify
£
Country
Business:
Accumulated Profit
£
Country
Intra-group financing
(including intra-group
loans)
£
Country
Loans (third party)
£
Country
Property/Fixed Assets
(e.g. rental income)
£
Country
Income from divestment/
divestiture of assets
£
Country
Income/assets
generating funds
£
Country
Other: please specify
£
Country
What will this account be used for?
Main account (e.g. primary account Secondary bank account
for all business related activities) (e.g. business expenses, tax
payments, employee payroll etc)
Savings
Pensions
Investing for the purposes of Tier
1
Other
UK VISA (sole traders only)
If ‘Other‘, please state
How many employees does the business have?
What is your actual business turnover?
Or in the case of start ups please answer the next question.
£
per annum
Anticipated overall business turnover
£
per annum
Do you anticipate any season variances to your turnover?
Anticipated number of transactions through this bank account
per annum
Do you have a nominee shareholding arrangement in place?
Yes
No
If Yes, by ticking this box you confirm that you have provided an
explanation for the nominee shareholding arrangement.
page
7/18
4 Your personal details
Applicant(s) to complete
Occupation
Current residential address. C/O and PO Box addresses are not
acceptable.
Postcode Country
How long have you been at your current home address?
Years
Months
Telephone
Mobile
Email
Previous residential address if less than three years at address shown
within ‘Current residential address’ field. (If more than one address in
the last three years, please provide details of all other addresses on
a separate sheet.)
Postcode Country
How long did you live at this address?
Years
Months
Net monthly income
£
Country of Fiscal residence (i.e. the country in which you are currently
resident and employed)
TIN
Do you make a tax contribution in any other country due to residence
citizenship?
Yes
No
If yes, please specify the countries to which you make tax contributions
and provide your corresponding TIN. Please provide details for up to five
additional countries on the Additional Information page at the end of
this application form.
Do you share a mailbox? (e.g. block of flats)
Yes
No
If 'Yes' we will make special arrangements should you need to receive
a chequebook, paying-in book, and other items which should be kept
secure, such as identification codes.
If you are an existing Cater Allen Client, please provide your account
number
What is your relationship to the business?
Director
Executive Director
Authorised Signatory Company Secretary
Power of Attorney 25% Shareholder
Executor Administrator
Partner Limited Liability Partner
Sole Trader Nominee Shareholder
Please tell us your ownership rights percentage:
%
Please tell us your voting rights percentage:
%
Partnerships only: Please tell us your profits percentage:
%
Mr Mrs Ms Miss
Other If ‘Other’ please state
Forename(s) If you aren't able to complete your full name in the space
provided please do this in the 'Additional Information' section.
Middle name(s)
Surname
If applicable please provide your maiden name
Do you have any other names you are or have been known by? You can
provide up to five.
Date of birth
D D M M Y Y Y Y
Male
Female
Country of birth
Nationality
Do you have dual nationality?
Yes
No
If ‘Yes’ please specify which country(ies)
First applicant
page
8/18
4 Your personal details (continued)
Applicant(s) to complete
First applicant (continued)
Mandatory section for completion by Financial Institutions (FI) only
If you have registered as an FI or as a Sponsored Entity please provide
your Global Intermediary Identification Number (GIIN)
— — —
If you are a Sponsored closely held Investment Vehicle please provide
the GIIN of the sponsoring
— — —
Name of sponsor
If unable to provide a GIIN, please tick the reason why your
organisation does not have a GIIN;
The Entity has applied, or is going to apply, for a GIIN (but has not
yet received it)
The Entity is an ‘Exempt Beneficial Owner’ (e.g. certain
International Organisations)
The Entity is or intends to be an ‘Owner-documented FI’ with
Cater Allen Private Bank
The Entity is a ‘Certified or otherwise Deemed Compliant FI’
(e.g. UK registered charity)
Other reason (Please specify)
page
9/18
4 Your personal details
Applicant(s) to complete
Second applicant
Occupation
Current residential address. C/O and PO Box addresses are not
acceptable.
Postcode Country
How long have you been at your current home address?
Years
Months
Telephone
Mobile
Email
Previous residential address if less than three years at address shown
within ‘Current residential address’ field. (If more than one address in
the last three years, please provide details of all other addresses on
a separate sheet.)
Postcode Country
How long did you live at this address?
Years
Months
Net monthly income
£
Country of Fiscal residence (i.e. the country in which you are currently
resident and employed)
TIN
Do you make a tax contribution in any other country due to residence
citizenship?
Yes
No
If yes, please specify the countries to which you make tax contributions
and provide your corresponding TIN. Please provide details for up to five
additional countries on the Additional Information page at the end of
this application form.
Do you share a mailbox? (e.g. block of flats)
Yes
No
If 'Yes' we will make special arrangements should you need to receive
a chequebook, paying-in book, and other items which should be kept
secure, such as identification codes.
If you are an existing Cater Allen Client, please provide your account
number
What is your relationship to the business?
Director
Executive Director
Authorised Signatory Company Secretary
Power of Attorney 25% Shareholder
Executor Administrator
Partner Limited Liability Partner
Sole Trader Nominee Shareholder
Please tell us your ownership rights percentage:
%
Please tell us your voting rights percentage:
%
Partnerships only: tell us your profits percentage:
%
Mr Mrs Ms Miss
Other If ‘Other’ please state
Forename(s) If you aren't able to complete your full name in the space
provided please do this in the 'Additional Information' section.
Middle name(s)
Surname
If applicable please provide your maiden name
Do you have any other names you are or have been known by? You can
provide up to five
Date of birth
D D M M Y Y Y Y
Country of birth
Male Female
Nationality
Do you have dual nationality?
Yes
No
If ‘Yes’ please specify which country(ies)
page
10/18
4 Your personal details (continued)
Applicant(s) to complete
Second applicant (continued)
Mandatory section for completion by Financial Institutions (FI) only
If you have registered as an FI or as a Sponsored Entity please provide
your Global Intermediary Identification Number (GIIN)
— — —
If you are a Sponsored closely held Investment Vehicle please provide
the GIIN of the sponsoring
— — —
Name of sponsor
If unable to provide a GIIN, please tick the reason why your
organisation does not have a GIIN;
The Entity has applied, or is going to apply, for a GIIN (but has not
yet received it)
The Entity is an ‘Exempt Beneficial Owner’ (e.g. certain
International Organisations)
The Entity is or intends to be an ‘Owner-documented FI’ with
Cater Allen Private Bank
The Entity is a ‘Certified or otherwise Deemed Compliant FI’
(e.g. UK registered charity)
Other reason (Please specify)
page
11/18
5 Details about your Introducer
Applicant(s) to complete
Were you introduced to Cater Allen by a Financial Adviser or Accountant?
Yes
No
If ‘Yes‘, please complete the details below. If ‘No’, go to section 7.
Name of Introducer
Address
Postcode Country
Contact name
Telephone
Email
This section should only be completed by FCA authorised and regulated Financial Advisers – if you do not have an FCA authorised and
regulated Financial Adviser, please proceed to section 7.
If you are an FCA authorised and regulated Financial Adviser who has fully verified the identities of your client(s) as listed in section 4 of this form,
please read and confirm the following details by completing and signing this section.
Full name of introducing firm
Regulator reference number
Confirmation
I/We confirm that:
(a) the information provided in this section was obtained by me/us in
relation to the customer;
(b) the evidence I/we have obtained to verify the identity of the
customer(s) (tick only one):
Meets the standard evidence set out within the guidance for the
UK Financial Sector issued by the Joint Money Laundering Steering
Group (“JMLSG”); or
Exceeds the standard evidence (written details of the further
verification evidence taken are attached to this confirmation)
(c) where identity has been verified by an electronic identification
service, we have met the client face to face.
FCA authorised and regulated Financial Adviser’s Signature
Name
Position
Date
D D M M Y Y Y Y
Full name (including any middle names)
Current residential address
Postcode Country
Date of birth
D D M M Y Y Y Y
Full name (including any middle names)
Current residential address
Postcode Country
Date of birth
D D M M Y Y Y Y
First applicant
Second applicant
6 Confirmation of Verification of Identity (CVIC)
FCA authorised and regulated Financial Adviser to complete
page
12/18
7 Declaration and Mandate
Applicant(s) to complete
Partnership/Limited Liability Partnership/Public Limited Company/
Private Limited Company/Sole Trader
I/We confirm that a meeting has taken place and the Board of Directors/
Major Shareholders/Partners/Limited Liability Partners/Designated
Members passed a Resolution to open an Account with Cater Allen Private
Bank and that Resolution has been duly recorded in the minute book.
I/We,
INSERT COMPANY NAME
(the ‘Account Holder’) being a Partnership/Limited Liability Partnership/
Public Limited Company/Private Limited Company/Sole Trader hereby
apply to open an Account (‘the Account’) with Cater Allen Private Bank (‘the
Bank’) on the published Terms and Conditions thereof (‘the Conditions’),
which we acknowledge having received and to which we agree to be
bound and any subsequent amendments which the Bank may inform us
of from time to time, and in accordance with the Mandate below which
shall remain in effect until a new Mandate is executed, and which we
understand and accept and hereby request and authorise the Bank:
(a) To honour and comply with all cheques drawn on our behalf and debit
such cheques to the Account;
(b) To honour and comply with all instructions for withdrawal from
the Account;
(c) To collect for credit to the Account, all instruments endorsed on behalf
of the Account Holder as named above.
Provided that such cheques, instructions or endorsements are signed by
our Authorised Signatories as detailed below (please complete and tick
the appropriate boxes):
You can choose the number of signatories you wish to have on your
account. Please tick only ONE of the boxes below.
Total number of Authorised Signatories to be held on this account:
(Please write only one number in this box)
Please note that if any Visa Debit Cards are issued on the Account,
then the Account must be set up so that only ONE signature is
required to authorise any transaction.
You can choose the number of signatories required to authorise any single
transaction. Please tick any one of the boxes below.
any one signature
any two signatures
more than two signatures, please specify how many
The instructions of the signatories appearing in section 9, when appearing
in accordance with the current Mandate to operate the above Account, will
be honoured whether the Account is in credit or debit.
Provided further that the Bank be furnished with a list giving the full names
and specimen signature and documentary proof of name and home address
of each of the persons referred to in section 9, certified, where applicable, by
the Chairperson and Company Secretary and that the Bank receives notice in
writing of any change there may be or any further such list, in each case and
the Bank may be assured that any Resolutions have not been amended or
revoked until it receives notice in writing thereof.
I/We authorise the Bank to make enquiries and to take up references as
it considers appropriate in connection with this application form and this
authorisation is to remain effective until the Bank receives our written
notification to the contrary.
I/We agree that any indebtedness or liability incurred to the Bank under
this authority shall, in the absence of any express written agreement by
the Bank to us, be due and payable on demand.
I/We shall, as and when necessary, supply to the Bank lists of current
Directors/Partners/Designated Members and, if applicable, other
officials authorised to sign, with specimen signatures in accordance with
the current Mandate to operate the above Account.
Upon any Partners/Designated Members/Directors ceasing to be a member
of the Company by death or otherwise, the Bank may, in the absence
of written notice to the contrary from us treat the surviving continuing
Partners/Designated Members/Directors for the time being as having full
power to carry on the business of the Company and to deal with its assets
as freely as if there had been no change in the Company.
I/We authorise the Bank to disclose details of my/our Account to my/our
Financial Adviser/Accountant as named in this application form, or their
successors in title (unless advised to the contrary). I/We acknowledge that
my Financial Adviser may receive commission in respect of the Account.
The Bank is hereby authorised to comply with all withdrawal instructions
given by facsimile, providing that such instructions are signed in accordance
with the current Mandate to operate the above Account.
The Bank may act upon such instructions immediately and without
further enquiry unless it has cause to be suspicious as to the nature and
content of the request.
I/We understand that the Bank accepts no liability whatsoever in respect
of any losses which may be suffered as a result of any fraud or negligent
misuse of the banking services including telephone banking unless such
loss occurs as a result of fraud or negligence on the part of the Bank or its
employees or agents.
The above authority shall remain in force until the Bank receives written
notice of its revocation, notwithstanding any change in our constitution
(or name), and shall apply notwithstanding any change by death,
bankruptcy, retirement or otherwise.
Changes to Signatories
The Bank will not accept changes in Authorised Signatories unless
detailed on our appropriate Renewal Mandate form.
Closure of Account
The Bank will not accept notification of closure of this Account unless it
is authorised by the correct signatories as detailed on the valid Mandate
that is in existence at that point in time.
page
13/18
Introduction
My personal data is data which by itself or with other data available to
you can be used to identify me. You are Cater Allen Private Bank, the data
controller. This data protection statement sets out how you’ll use my
personal data. I can contact your Data Protection Officer (DPO) at 201
Grafton Gate East, Milton Keynes, MK9 1AN if I have any questions.
Where there are two or more people named on this form, this data
protection statement applies to each person separately.
The types of personal data you collect and use
Whether or not I become a customer, you’ll use my personal data for
the reasons set out below and if I become a customer you’ll use it to
manage the account, policy or service I’ve applied for. You’ll collect most
of this directly during the application journey either from me or from
my Financial Adviser if I have one. The sources of personal data collected
indirectly are mentioned in this statement. The personal data you use
about me as a personal or business customer (if I am one) may include:
¡
Full name and personal details including contact information (e.g. home
and/or business address and address history, email address, home,
business and mobile telephone numbers);
¡
Date of birth and/or age (e.g. to make sure that I’m eligible to apply);
¡
Financial details (e.g. salary and details of other income, and details of
accounts held with other providers);
¡
Records of products and services I’ve obtained or applied for, how I use
them and the relevant technology used to access or manage them (e.g.
mobile phone location data, IP address, MAC address);
¡
Biometric data (e.g. fingerprints and voice recordings for TouchID and
voice recognition);
¡
Information from credit reference or fraud prevention agencies,
electoral roll, court records of debt judgements and bankruptcies and
other publicly available sources as well as information on any financial
associates I may have;
¡
Family, lifestyle or social circumstances if relevant to the product or
service (e.g. the number of dependants I have);
¡
Education and employment details/employment status for credit and
fraud prevention purposes; and
¡
Personal data about other named applicants. I must have their authority
to provide their personal data to you and share this data protection
statement with them beforehand together with details of what I’ve
agreed on their behalf.
Providing my personal data
You’ll tell me if providing some personal data is optional, including if
you ask for my consent to process it. In all other cases I must provide my
personal data so you can process my application (unless I’m a customer
and you already hold my details).
Monitoring of communications
Subject to applicable laws, you’ll monitor and record my calls, emails,
text messages, social media messages and other communications in
relation to my dealings with you. You’ll do this for regulatory compliance,
self-regulatory practices, crime prevention and detection, to protect the
security of your communications systems and procedures, to check for
obscene or profane content, for quality control and staff training, and
when you need to see a record of what’s been said. You may also monitor
activities on my account where necessary for these reasons and this is
justified by your legitimate interests or your legal obligations.
Using my personal data: the legal basis and purposes
You’ll process my personal data:
1. As necessary to perform your contract with me for the relevant
account, policy or service:
a) To take steps at my request prior to entering into it;
b) To decide whether to enter into it;
c) To manage and perform that contract;
d) To update your records; and
e) To trace my whereabouts to contact me about my account and
recovering debt.
2. As necessary for your own legitimate interests or those of other
persons and organisations, e.g.:
a) For good governance, accounting, and managing and auditing your
business operations;
b) To search at credit reference agencies at my home and/or business
address (if I am a business customer) if I’m over 18 and apply for
credit;
c) To monitor emails, calls, other communications, and activities on my
account;
d) For market research, analysis and developing statistics; and
e) To send me marketing communications, including automated
decision making relating to this.
3. As necessary to comply with a legal obligation, e.g.:
a) When I exercise my rights under data protection law and make
requests;
b) For compliance with legal and regulatory requirements and related
disclosures;
c) For establishment and defence of legal rights;
d) For activities relating to the prevention, detection and investigation
of crime;
e) To verify my identity, make credit, fraud prevention and anti-money
laundering checks; and
f) To monitor emails, calls, other communications, and activities on my
account.
4. Based on my consent, e.g.:
a) When I request you to disclose my personal data to other people or
organisations such as a company handling a claim on my behalf,
or otherwise agree to disclosures;
b) When you process any special categories of personal data about
me at my request (e.g. my racial or ethnic origin, political opinions,
religious or philosophical beliefs, trade union membership, genetic
data, biometric data, data concerning my health, sex life or sexual
orientation); and
c) To send me marketing communications where you’ve asked for my
consent to do so.
I’m free at any time to change my mind and withdraw my consent. The
consequence might be that you can’t do certain things for me.
Sharing of my personal data
Subject to applicable data protection law you may share my personal
data with:
¡
The Santander group of companies* and associated companies in which
you have shareholdings;
¡
Sub-contractors and other persons who help you provide your products
and services;
¡
Companies and other persons providing services to you;
¡
Your legal and other professional advisors, including your auditors;
¡
Fraud prevention agencies, credit reference agencies, and debt
collection agencies when you open my account and periodically during
my account or service management;
¡
Other organisations who use shared databases for income verification
and affordability checks and to manage/collect arrears;
¡
Government bodies and agencies in the UK and overseas (e.g. HMRC
who may in turn share it with relevant overseas tax authorities and
with regulators e.g. the Prudential Regulation Authority, the Financial
Conduct Authority, the Information Commissioner’s Office);
¡
Courts, to comply with legal requirements, and for the administration of
justice;
¡
In an emergency or to otherwise protect my vital interests;
¡
To protect the security or integrity of your business operations;
¡
To other parties connected with my account e.g. guarantors and other
people named on the application including joint account holders who
will see my transactions;
¡
When you restructure or sell your business or its assets or have a
merger or re-organisation;
¡
Market research organisations who help to improve your products or
services;
8 Data Protection Statement
Applicant(s) to complete
page
14/18
¡
Payment systems (e.g. Visa or MasterCard), if you issue cards linked to
my account, who may transfer my personal data to others as necessary
to operate my account and for regulatory purposes, to process
transactions, resolve disputes and for statistical purposes, including
sending my personal data overseas; and
¡
Anyone else where you have my consent or as required by law.
International transfers
My personal data may be transferred outside the UK and the European
Economic Area. While some countries have adequate protections for
personal data under applicable laws, in other countries steps will be
necessary to ensure appropriate safeguards apply to it. These include
imposing contractual obligations of adequacy or requiring the recipient to
subscribe or be certified with an ‘international framework’ of protection.
Further details can be found in the ‘Using My Personal Data’ booklet.
Identity verification and fraud prevention checks
The personal data you’ve collected from me at application or at any stage
will be shared with fraud prevention agencies who will use it to prevent
fraud and money-laundering and to verify my identity. If fraud is detected,
I could be refused certain services, finance or employment in future. You
may also search and use your internal records for these purposes. Further
details on how my personal data will be used by you and these fraud
prevention agencies, and my data protection rights, can be found in the
‘Using My Personal Data’ booklet.
Credit reference checks (this doesn’t apply to the following accounts:
Asset 30 Account and Sovereign 30 Account)
If I’ve applied for a credit product then in order to process my application,
you’ll perform credit and identity checks on me at my home and/or
business address (if I am a business customer) with one or more credit
reference agencies. To do this you’ll supply my personal data to the credit
reference agencies and they’ll give you information about me. When you
carry out a search at the credit reference agencies they’ll place a footprint
on my credit file. A credit search may either be: a) a quotation search where
a soft footprint is left. This has no effect on my credit score, and lenders
are unable to see this; or b) a hard footprint where I’ve agreed/requested
Cater Allen to proceed with my application for credit. This footprint will
be viewable by other lenders and may affect my ability to get credit
elsewhere. You’ll also continue to exchange information about me with
credit reference agencies while I have a relationship with you. The credit
reference agencies may in turn share my personal information with other
organisations. If I am a business customer, the personal data shared with
the credit reference agencies will relate to me and my business. Details
about my application (whether or not it’s successful) will be recorded and
you’ll give details of me, the business (where applicable) and my accounts
and how I manage them to credit reference agencies. If I do not repay any
debt in full or on time, they’ll record the outstanding debt and supply this
information to others performing similar checks, to trace my whereabouts
and to recover debts that I owe. Records remain on file for 6 years after
they are closed, whether settled by me or defaulted. A financial association
link between joint applicants will be created at the credit reference
agencies. This will link our financial records and be taken into account in
all future applications by either or both of us until either of us apply for
a notice of disassociation with the credit reference agencies.
The identities of the credit reference agencies, and the ways in which
they use and share personal information is explained in more detail in
the ‘Using My Personal Data’ booklet, or via the Credit Reference Agency
Information Notice (CRAIN) document which can be accessed via any of
the following links:
¡
experian.co.uk/crain
¡
equifax.co.uk/crain
¡
transunion/crain
My marketing preferences and related searches
You’ll use my home address, phone numbers, and email address and social
media (e.g. Facebook, Google and message facilities in other platforms)
to contact me according to my preferences. I can change my preferences
or unsubscribe at any time by contacting you. In the case of social media
messages I can manage my social media preferences via that social media
platform. If I’m over 18, you may search the files at credit reference agencies
before sending marketing communications to me about credit. The credit
reference agencies don’t record this particular search or show it to other
lenders and it won’t affect my credit rating. You do this as part of your
responsible lending obligations which is within your legitimate interests.
From time to time you’d like to contact me about products, services and
offers that may interest me or to get my opinion on how you are doing.
I understand you won’t bombard me and I can choose to stop receiving
information at any time by contacting you.
Applicant 1
I have ticked any box(es) I WOULD NOT like you to use:
Email
SMS
Phone
Post
Market research, including customer satisfaction surveys
All of the above
I understand that I may receive details of products and services from other
Santander group companies if I have agreed with them to receive such
information.
Applicant 2
I have ticked any box(es) I WOULD NOT like you to use:
Email
SMS
Phone
Post
Market research, including customer satisfaction surveys
All of the above
I understand that I may receive details of products and services from other
Santander group companies if I have agreed with them to receive such
information.
Automated decision making and processing
Automated decision making involves processing my personal data
without human intervention to evaluate my personal situation such as
my economic position, personal preferences, interests or behaviour, for
instance in relation to transactions on my accounts, my payments to other
providers, and triggers and events such as account opening anniversaries
and maturity dates. You may do this to decide what marketing
communications are suitable for me, to analyse statistics and assess
lending risks. All this activity is on the basis of your legitimate interests,
to protect your business, and to develop and improve your products and
services, except as follows; when you do automated decision making
including profiling activity to assess lending and insurance risks, this will be
performed on the basis of it being necessary to perform the contract with
me or to take steps to enter into that contract. Further details can be found
in the ‘Using My Personal Data’ booklet.
Other information about me as a business customer (if I am one)
You may also hold all the information I give to you (i.e. name, address, date
of birth, nationality) in order to undertake periodic due diligence checks
which banks are required to undertake to comply with UK legislation.
Criteria used to determine retention periods (whether or not I become
a customer)
The following criteria are used to determine data retention periods for my
personal data:
¡
Retention in case of queries. You’ll retain my personal data as
long as necessary to deal with my queries (e.g. if my application is
unsuccessful);
¡
Retention in case of claims. You’ll retain my personal data for as long
as I might legally bring claims against you; and
¡
Retention in accordance with legal and regulatory requirements.
You’ll retain my personal data after my account has been closed or
has otherwise come to an end based on your legal and regulatory
requirements.
My rights under applicable data protection law
My rights are as follows (noting that these rights don’t apply in all
circumstances and that data portability is only relevant from May 2018):
¡
The right to be informed about your processing of my personal data;
¡
The right to have my personal data corrected if it’s inaccurate and to
have incomplete personal data completed;
¡
The right to object to processing of my personal data;
¡
The right to restrict processing of my personal data;
¡
The right to have my personal data erased (the “right to be forgotten”);
¡
The right to request access to my personal data and information about
how you process it;
8 Data Protection Statement (continued)
Applicant(s) to complete
page
15/18
9 Authorised Signatories on this Account
Applicant(s) to complete
Any individual who wishes to be able to view and/or transact on this account must be identified as an Authorised Signatory. If an individual is not
identified as an Authorised Signatory then we will not accept their signature as authorisation to carry out a transaction, e.g. on a letter, on a cheque,
on a faxed request, etc.
Individual Authorised Signatories
The following Signatories are authorised to operate this account (“The Account”) with Cater Allen Private Bank ("The Bank"). By signing this application
form we agree that:
¡
We have read the Declaration and Mandate and Data Protection Statement, and agree that you can use our information as stated in the Data
Protection Statement
¡
We have received and accept the Terms and Conditions of this Account (or those Accounts applied for) and agree to also be bound by any subsequent
amendments advised to us by the Bank from time to time
¡
We hereby certify that the information provided in this application form is, to the best of my knowledge and belief, accurate and complete in all respects
First signatory
Full name
Position
Signature
Date
D D M M Y Y Y Y
Second signatory
Full name
Position
Signature
Date
D D M M Y Y Y Y
¡
The right to move, copy or transfer my personal data (“data
portability”); and
¡
Rights in relation to automated decision making including profiling.
I have the right to complain to the Information Commissioner’s Office.
It has enforcement powers and can investigate compliance with data
protection law: ico.org.uk.
For more details on all the above I can contact your DPO or request the
‘Using My Personal Data’ booklet by calling 0800 092 3300 or I can view it
online at caterallen.co.uk.
Data anonymisation and aggregation
My personal data may be converted into statistical or aggregated data
which can’t be used to identify me, then used to produce statistical
research and reports. This aggregated data may be shared and used in all
the ways described above.
*Group companies
For more information on the Santander group companies, please see
the ‘Using My Personal Data’ booklet.
8 Data Protection Statement (continued)
Applicant(s) to complete
page
16/18
10 Required Documents
Applicant(s) to complete
Impersonation checks/non face-to-face verification
As a means of verifying identity, electronic checks are undertaken by the Bank on all applicants and related parties included within the Personal
details section. Specific supporting documents are required for submitting in conjunction to these electronic checks. Additional supporting
documentation may be requested upon completion of these electronic checks.
Please read the following sections and complete the tick box if required;
Documentation required for Verification of Business Entity
Specific document requirements for Sole Traders and Partnerships only - from the following table, please supply one item from each of the two
lists mentioned below and tick to confirm inclusion accordingly.
Required documents Sole Trader Partnership
List 1
HM Revenue & Customs Certificate
Customs and Excise/VAT Certificate
Business Bank Statement (if less than 3 months old)
Letter from an Accountant or Solicitor
List 2
Recent utility bill or statement in the name of the Business for the Business Premises
Extract from the Business' ocial website
Current Business Letterhead or Company Letterhead
List 3
If your business is a majority owned and consolidated subsidiary:
Confirmation of majority owned status
Confirmation of consolidated status
List 4
Partnerships must provide the partnership agreement/deed and a list of all current partners.
Private Limited Company and Limited Liability Partnerships
¡
If you are a Private or a Public Limited Company, no documentary evidence relating to the entity is required HOWEVER if the
Shareholders/Directors/Company Secretary/Designated Members details have recently changed, please supply copies of the
appropriate Companies House forms.
If completed by a custodian / guardian / POA
¡
I/We enclose proof and evidence of the nature of legal authority over the principal account holder.
For customers with nominee shareholding agreement
I/We enclose proof and evidence of the shareholding agreement
Documentation required for Verification of Personal Identity
For clients introduced by an FCA and/or PRA authorised and regulated Financial Adviser
My/our FCA authorised and regulated Financial Adviser has completed section 6 (Confirmation of Verification of Identity, ‘CVIC’)
to verify all parties to the Account
If a CVIC is not being provided
I/We have completed the separate Customer Identification Requirements Sheet (available on caterallen.co.uk) and provided
copies of the necessary ID documents that have been certified as “a true copy of the original” by a “professional” (as named
within the Customer Identification Requirements Sheet) in the UK or an equivalent jurisdiction. Certification of these documents
(via a signature) must include the position and contact details of the certifier. If these documents are not certified by a
“professional”, then we will be required to carry out additional identity checks.
or, if the documents are not certified:
I/We have completed the separate Customer Identification Requirements Sheet (available on caterallen.co.uk) and provided
copies of the necessary ID documents. I/We have enclosed a personal cheque written from an account in my/our name with a
bank in the UK or an equivalent jurisdiction for the total amount I/we wish to place on deposit and made payable to the name of
the Account. Please note this cheque cannot be written from a Cater Allen account.
Please note: Absence of any of the above required documents will result in delays to the opening of your Account.
page
17/18
11 Acceptance
Applicant(s) to complete
This acceptance must be signed by all applicants.
¡
Sole Traders – the Sole Trader is required to sign
¡
Partnership – by a minimum of 2 partners
¡
Limited Liability Partnerships – by a minimum of 2 Designated Members
¡
Private Limited Company – by 2 Directors or by 1 Director and the Company Secretary, or if there is no Company Secretary and only a Sole Director,
or if the Sole Director is also the Company Secretary then the Sole Director must sign.
¡
PLC– by a minimum of 2 Directors or 1 Director and the Company Secretary
¡
25%+ Shareholders who are not Authorised Signatories on the Account
By signing this application form I/we agree that:
¡
I/We have completed all relevant sections of this application form
¡
I/We have read the Declaration and Mandate and Data Protection Statement, and agree that you can use my/our information as stated in the Data
Protection Statement
¡
I/We have received and accept the Terms and Conditions of this Account and agree to also be bound by any subsequent amendments advised to me/us
by the Bank from time to time
¡
I/We hereby certify that the information provided in this application form is, to the best of my knowledge and belief, accurate and complete in all
respects
¡
Cater Allen Private Bank is duly authorised to operate the Account
¡
I undertake to advise Cater Allen Private Bank within 30 days of any change in circumstances which affects my tax residency status or causes the
information contained herein to become incorrect
¡
I have received a copy of the FSCS Information Sheet and Exclusions List.
Signature of first applicant
Full name
Position
Signature
Date
D D
M M
Y Y Y Y
Signature of second applicant
Full name
Position
Signature
Date
D D
M M
Y Y Y Y
Signature(s) of 25%+ Shareholders who are not Authorised Signatories on the Account
Signature of first person
Full name
Position
Signature
Date
D D
M M
Y Y Y Y
Signature of second person
Full name
Position
Signature
Date
D D
M M
Y Y Y Y
page
18/18
Additional information
Applicant(s) to complete
CAPB 1244 JAN 21 H
Cater Allen Private Bank is able to provide literature in alternative formats. The formats available are: Large Print, Braille and
Audio CD. If you would like to register to receive correspondence in an alternative format please contact us on 0800 092 3300. For
the hard of hearing and/or speech impaired please use the Text Relay service. Further details can be found at http://ngts.org.uk/
Cater Allen Private Bank is the name used for banking services provided by Cater Allen Limited. Registered Office: 2 Triton Square, Regent’s Place, London, NW1 3AN.
Registered in England and Wales number 383032. Authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and
Prudential Regulation Authority. Our Financial Services Register number is 178737. You can check this on the Financial Services Register by visiting the FCA's
website www.fca.org.uk/register. Cater Allen Limited is part of the Santander group. Cater Allen and the flame logo are registered trademarks. Calls may be
recorded or monitored. Telephone 0800 092 3300. www.caterallen.co.uk
For CAPB completion only
Marketing Code
CATER ALLEN, PART OF THE SANTANDER GROUP
Please use this section to provide your full name or further details of your organisation's business activities; or any other additional
information relevant to your application.
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Please provide any additional Industry SIC codes here
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BUSINESS ACCOUNT APPLICATION FORM AND MANDATE (Cater Allen Private Bank)

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