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CASH HUB ACCOUNT FOR PERSONAL REPRESENTATIVES, ATTORNEYS AND (Cater Allen Private Bank)

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CASH HUB ACCOUNT FOR PERSONAL
REPRESENTATIVES, ATTORNEYS AND
DEPUTIES APPLICATION FORM
AND MANDATE
For completion by Financial Adviser only
Master Account number
Account number allocated
Outlet code
Please confirm which of the following best describes your role in the operation of this account:
a Personal Representative / Executor
an Attorney a Deputy
Please confirm which account(s) you would like to open, by ticking the relevant box and telling us the amount you would like to deposit as an opening
balance, and in which currency. You can also confirm whether you would like a chequebook, paying-in book and/or a Visa Debit Card.
Name to be shown on new Account, please note there is a 36 character limit including spaces (to appear on chequebook, debit card and paying-in book
where applicable)
Please refer to page11 for all footnotes
Cash Hub Account for Personal Customers
1
(minimum opening balance £2,500)
Chequebook
Postal deposit Paying-in
Book
Visa Debit Card
3
Deposit
£
Sovereign 30 Account
1
(minimum £5,000)
Deposit
£
Term Deposit
2
(minimum £50,000)
Deposit
£
THIS DOCUMENT SHOULD BE COMPLETED BY FCA AUTHORISED AND REGULATED FIRMS AND THEIR CUSTOMERS ONLY
Please ensure you visit www.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 and Exclusions List in the Acceptance section of this application form. Ensure that copies of the
applicable supporting documents listed within section 11 are included within your application.
Please complete this form in BLOCK CAPITALS and black ink and return it to: Cater Allen Private Bank, 9 Nelson Street, Bradford, BD1 5AN.
If you require any assistance during the completion of this form please call us on   .
1 Account application
Applicant(s) to complete
Page 2/11
2 Personal Details for all Personal Representatives, Attorneys and Deputies,
Beneficial Owners and Authorised Signatories
Applicant(s) to complete
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 the Bank may not be able to process this
request without this information.
If this application form does not provide you with enough space for everyone’s personal details, please print this section of the form and complete for
each additional person then attach all relevant pages to this application.
If you are an existing Cater Allen Customer, please provide your Cater
Allen account number
Please tick all that apply
Personal Representative
Deputy
Attorney
Beneficial Owner
Authorised Signatory
Are you acting in a professional capacity, e.g. a Solicitor
or Accountant?
Yes
No
Mr Mrs Ms Miss
Other If ‘Other’ please state
Forename(s)
Middle name(s)
Surname
Any other name you have been, or are, known by
Nationality
Date of birth
DD MM YYYY
Male
Female
Do you have dual nationality?
Yes
No
If ‘Yes’ please specify which country
Current home address (permanent residential address). This is the address
to where your Personal Access Code (PAC) and Internet Banking Password
(IBP) will be posted. C/O and PO Box addresses are not acceptable.
Postcode
Country of residence
How long have you been at your current home address?
Years
Months
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.
Telephone
Mobile
Email
Previous home address if less than three years at address shown within
‘Current home address’ field. (If more than one address in the last three
years, please provide details of all other addresses on a separate sheet.)
Postcode
How long did you live at this address?
Years
Months
Occupation
Country of birth
Country of Fiscal residence (i.e. the country in which you are currently
resident and employed)
Do you make a tax contribution in any other country due to residence or
citizenship?
Yes
No
If yes, please specify the countries to which you make tax contributions and
provide your corresponding TIN (Tax Identification Number)
Country
TIN
Country
TIN
Country
TIN
Internet Banking Access for Customer
4
Please do not tick the following box if you already have Cater Allen
Internet Banking Access.
I would like Internet Banking access (all accounts will appear within
Internet Banking):
First applicant
Page 3/11
2 Personal Details for all Personal Representatives, Attorneys and Deputies,
Beneficial Owners and Authorised Signatories (continued)
Applicant(s) to complete
If you are an existing Cater Allen Customer, please provide your Cater
Allen account number
Please tick all that apply
Personal Representative
Deputy
Attorney
Beneficial Owner
Authorised Signatory
Are you acting in a professional capacity, e.g. a Solicitor
or Accountant?
Yes
No
Mr Mrs Ms Miss
Other If ‘Other’ please state
Forename(s)
Middle name(s)
Surname
Any other name you have been, or are, known by
Nationality
Date of birth
DD MM YYYY
Male
Female
Do you have dual nationality?
Yes
No
If ‘Yes’ please specify which country
Current home address (permanent residential address). This is the address
to where your Personal Access Code (PAC) and Internet Banking Password
(IBP) will be posted. C/O and PO Box addresses are not acceptable
Postcode
Country of residence
How long have you been at your current home address?
Years
Months
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.
Telephone
Mobile
Email
Previous home address if less than three years at address shown within
‘Current home address’ field. (If more than one address in the last three
years, please provide details of all other addresses on a separate sheet.)
Postcode
How long did you live at this address?
Years
Months
Occupation
Country of birth
Country of Fiscal residence (i.e. the country in which you are currently
resident and employed)
Do you make a tax contribution in any other country due to residence or
citizenship?
Yes
No
If yes, please specify the countries to which you make tax contributions and
provide your corresponding TIN (Tax Identification Number)
Country
TIN
Country
TIN
Country
TIN
Internet Banking Access for Customer
4
Please do not tick the following box if you already have Cater Allen
Internet Banking Access.
I would like Internet Banking access (all accounts will appear within
Internet Banking):
Second applicant
Page 4/11
We can only consider your application if all fields within this section are
completed.
Please write the name of your new Account below. The Name of your new
Account must correspond with either the Grant of Probate confirmation,
Power of Attorney, the Court of Protection Order or the Letters of
Administration. There is room for a maximum of 22 characters per line.
Contact name
Address for correspondence*
Postcode
Telephone
Mobile
Email
* For registered and correspondence addresses only UK and BFPO addresses are
acceptable. C/O and PO Box addresses are not acceptable.
Purpose of the account?
Management of funds / assets
Other
Disbursement of funds / assets
If ‘Other‘, please state
Personal Representatives
Expected source of deposit / payment
Estate
Power of Attorney & Deputy Accounts
Expected source of deposit / payment
Please select from the list below the option which best describes the
Beneficial Owner’s source of wealth:
Income from employment
Gift
Income from savings / investments
Property sale
Lottery and other winnings
Inheritance
Divorce settlement
Other
If ‘Other‘ please specify
Name of Beneficial Owner
Expected amount through the account
£
per month
Please note that the Beneficial Owner’s personal details must be completed
in section 2 of this Application Form.
3 Account name and income details
Applicant(s) to complete
To open a Term Deposit, you must send your funds to us via electronic transfer – we cannot accept a cheque for the deposit amount.
On approval of your application to open a Term Deposit, we will contact you to confirm the paying-in details and process.
Please confirm the length of Term Deposit that you would like to open below:
Term Length Options
3 months
6 months 9 months
12 months 24 months 36 months
4 Term Deposit options only
Applicant(s) to complete
Name of Financial Adviser
Business address of your Financial Adviser
Postcode
Telephone
Contact name
Email
Please note: All Personal Access Codes (PACs) and Internet Banking Passwords (IBPs) issued to Financial Advisers and the employees of
Financial Advisers listed as authorised signatories on the account(s), will be delivered by post to the business address stated above.
5 Details about your Financial Adviser
Applicant(s) to complete
Page 5/11
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 a FCA authorised and regulated Financial Adviser who has fully verified the identities of your client(s) as listed in section 2 of this form, please
read and confirm the following details by completing and signing this section.
Full name of introducing firm
Regulator reference number
First applicant
Full name (including any middle names)
Date of birth
DD MM YYYY
Current home address
Postcode
6 Confirmation of Verification of Identity (CVIC)
FCA authorised and regulated Financial Adviser to complete
Second applicant
Full name (including any middle names)
Date of birth
DD MM YYYY
Current home address
Postcode
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)
FCA authorised and regulated Financial Adviser’s Signature
Name
Position
Date
DD MM YYYY
Page 6/11
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:
n 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);
n Date of birth and/or age (e.g. to make sure that I’m eligible to apply);
n Financial details (e.g. salary and details of other income, and details of
accounts held with other providers);
n 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);
n Biometric data (e.g. fingerprints and voice recordings for TouchID and voice
recognition);
n 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;
n Family, lifestyle or social circumstances if relevant to the product or service
(e.g. the number of dependants I have);
n Education and employment details/employment status for credit and fraud
prevention purposes; and
n 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:
n The Santander group of companies* and associated companies in which
you have shareholdings;
n Sub-contractors and other persons who help you provide your products
and services;
n Companies and other persons providing services to you;
n Your legal and other professional advisors, including your auditors;
n Fraud prevention agencies, credit reference agencies, and debt collection
agencies when you open my account and periodically during my account
or service management;
n Other organisations who use shared databases for income verification and
affordability checks and to manage/collect arrears;
n 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);
n Courts, to comply with legal requirements, and for the administration of
justice;
n In an emergency or to otherwise protect my vital interests;
n To protect the security or integrity of your business operations;
n 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;
n When you restructure or sell your business or its assets or have a merger or
re-organisation;
n Market research organisations who help to improve your products or
services;
n 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,
7 Data Protection Statement
Applicant(s) to complete
Page 7/11
resolve disputes and for statistical purposes, including sending my personal
data overseas; and
n 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 the following accounts: Asset
30 Account, Sovereign 30 Account and Term Deposits)
If I’ve applied for a credit product then in order to process my application,
you’ll perform credit and identity checks on me and my Personal
Representative/Executor at our home and business addresses 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. 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 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:
n experian.co.uk/crain
n equifax.co.uk/crain
n callcredit.co.uk/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, text, social media and messaging services
Phone
Post
Market research, including customer satisfaction surveys
Alloftheabove
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, text, social media and messaging services
Phone
Post
Market research, including customer satisfaction surveys
Alloftheabove
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 a business
customer)
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:
n 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);
n Retention in case of claims. You’ll retain my personal data for as long as I
might legally bring claims against you; and
n 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):
n The right to be informed about your processing of my personal data;
n The right to have my personal data corrected if it’s inaccurate and to
have incomplete personal data completed;
n The right to object to processing of my personal data;
n The right to restrict processing of my personal data;
n The right to have my personal data erased (the “right to be forgotten”);
7 Data Protection Statement (continued)
Applicant(s) to complete
Page 8/11
Personal Representative/Attorney/Deputies
I/We,
INSERT NAME
(the ‘Account Holder’) being a Personal Representative/Attorney/Deputy
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.PleasetickonlyONEoftheboxesbelow.
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.
In consideration of the Bank agreeing to operate the Account in accordance
with the Mandate and allowing the arrangements requested herein and/or as
a result of any operation of the Account in accordance with this Mandate, I/
we hereby agree:
i. to indemnify the Bank and agree to keep the Bank indemnified from and
against all losses, claims, expenses and liabilities whatsoever which I/we
may sustain or incur or become responsible for in any way as a result of our
agreeing to allow the arrangements described above; and
ii. that this mandate and indemnity is governed by the laws of England and
I/we agree to submit to the exclusive jurisdiction of the English courts.
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
Please note, if you choose to have two or more signatories, we will accept
instructions signed by any of the nominees as outlined in the mandate.
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 my Financial Adviser 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
Designated Members (the Professional Trustees and their authorised
signatory list) and, if applicable, other officials authorised to sign, with
specimen signatures in accordance with the current Mandate to operate
the above Account.
I/We authorise the Bank to disclose details of that Account to our Financial
Adviser, 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
oftherequest.
I/We agree that the Bank accepts no liability whatsoever (to the extent
it can exclude such liability under any applicable laws) 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.
8 Declaration and Mandate
Applicant(s) to complete
n The right to request access to my personal data and information about
how you process it;
n The right to move, copy or transfer my personal data (“data portability”);
and
n 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    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.
7 Data Protection Statement (continued)
Applicant(s) to complete
Page 9/11
Anyone who wishes to be able to view and/or transact on this Account must be identified as an Authorised Signatory.
If you are not identified as an Authorised Signatory then we will not accept your signature as authorisation to carry out a transaction, e.g. on a letter, on a
cheque, on a faxed request, etc.
The following Authorised Signatories wish to operate this account (“The Account”) with Cater Allen Private Bank (“The Bank”):
Full name
Position
Signature
Date
DD
MM YYYY
Full name
Position
Signature
Date
DD
MM YYYY
Your Financial Adviser and employees of your Financial Adviser’s firm
Your Financial Adviser and employees of your Financial Adviser’s firm can also be included as Authorised Signatories on your Account.
If your Financial Adviser and employees of your Financial Adviser’s firm are not identified as Authorised Signatories then the Bank 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.
A separate Supplemental application to add signatories form (CAPB1245) is available for this purpose and can be downloaded from
www.caterallen.co.uk.
Please ensure that all signatories are captured within this form and the document returned to: Cater Allen Private Bank, Cash Hub Account Additional
Signatories, 9 Nelson Street, Bradford BD1 5AN.
Please read the following important information carefully and select from the following options before moving onto the
next section:
Financial Adviser ‘view only’ access to all Accounts applied for within this form
n I/We hereby confirm authorisation for my/our Financial Adviser and any authorised employees of my Financial adviser’s firm, as stipulated
within the separate Supplemental application to add signatories form (CAPB1245) supplied with this application, to be included as
additional signatories to have ‘view only’ access to this/these Account(s) applied for within this form.
Financial Adviser full transactional access to the Cash Hub only (with ‘view only’ access to all other accounts applied for within this form)
n I/We hereby confirm authorisation for my/our Financial Adviser and any authorised employees of my Financial Adviser’s firm, as stipulated
within the separate Supplemental application to add signatories form (CAPB1245) supplied with this application, to be included as additional signatories
to operate and view the Cash Hub account, and have ‘view only’ access to all other Account(s) applied
forwithinthisform.
Authorised Signatories opt-out
n I/We will not be providing a separate Supplemental application to add signatories form (CAPB1245) and hereby confirm that I/wewillnotbe
granting authorisation for my/our Financial Adviser and any authorised employees of my Financial Adviser’s firm to operate the
Cash Hub account
Please note, as stated within the Account Declaration and Mandate section of this application form, the Bank is authorised to disclose details of your
Account to your Financial Adviser, or their successors in title.
It is important to note that Authorised Signatories will be provided with transactional access to the Cash Hub Account only. All other Accounts
will be accessible with ‘view only’ access via internet banking.
Only one supplementary Supplemental application to add signatories form (CAPB1245) per firm is required. In the event of any amendment(s)
(inclusive of signatory removals or additions), please ensure that an updated form and covering letter is supplied to the above address for
processing.
9 Authorised Signatories on this Account
Applicant(s) to complete
Page 10/11
10 Authorisation (Power of Attorney Accounts only)
Applicant(s) to complete
On all types of Power of Attorney account we require this Authorisation to be signed by all Beneficial Owners of the Account (the grantors of the Power of
Attorney) who are mentally capable.
By signing this Application Form I/we agree that:
n I/We give my/our Authorisation for the 3rd Party as named on this application to open and operate an account with Cater Allen Private Bank on my/our behalf.
n I/We have read the Data Protection Statement, and agree that the Bank can use my/our information as stated in the Statement.
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 with 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 applicable:
Specific document requirements for verification of Personal
Representative/Confirmation Accounts
Please supply one of the following items:
a sealed original copy of the Grant of Probate and the Death
Certificate and the will or
Letters of Administration evidencing the authority of the
Personal Representative to administer the estate.
Specific document requirements and checklist for verification of
Power of Attorney Accounts
a copy of the Power of Attorney
Was this Power of Attorney established before 01/10/2007?
Yes
No
Is the Beneficial Owner mentally incapacitated?
Yes
No
If ‘Yes’ has the Attorney been registered with the Oce of the Public
Guardian?
Yes
No
Specific document requirements for verification of
Appointed Deputies
A copy of the Court of Protection Order
For personal customers introduced by a Financial Conduct Authority
authorised and regulated Financial Adviser
My/our Financial Conduct Authority 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 www.caterallen.co.uk) and
provided copies of the necessary ID documents which have
been certified as “a true copy of the original” by a “professional”
(Lawyer, Accountant or Notary) in the UK or an equivalent
jurisdiction*; or
I/We have enclosed a personal cheque written from an account
opened 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; or
I/We acknowledge that an impersonation check in the form of
a letter will be sent to each applicants home address by Cater
Allen Private Bank and that I/we will complete the relevant
section of this letter and return to Cater Allen Private Bank in
order that the verification process can be completed and your
Account activated. Please note that if this option is taken, the
Account will not be activated until the signed letter is received
by Cater Allen.
* If these documents are not certified by a “professional”, then
we will be required to carry out additional identity checks.
Term Deposit applications
Term Deposit accounts can only be opened via the electronic transfer of funds.
Required documents
For personal customers introduced by a Financial Conduct Authority authorised and regulated Financial Adviser:
Our Financial Conduct Authority authorised and regulated Financial Adviser has completed section 6 (Confirmation of Verification of Identity
Certificate ‘CVIC’) to verify all parties to the Account.
For direct personal customers and introduced customers who are not providing a CVIC or Certified ID and only applying for a Term Deposit within this form:
I/We acknowledge that an impersonation check in the form of a letter will be sent to each applicant’s home address by Cater Allen Private Bank
and that I/we will complete the relevant section of this letter and return to Cater Allen Private Bank in order that the verification process can be
completed and your Account activated.
Please note: Absence of any of the above required documents will result in delays to the opening of your account.
11 Important checklist
Applicant(s) to complete
Full name
Position
BENEFICIAL OWNER
Signature
Date
DD
MM YYYY
Full name
Position
BENEFICIAL OWNER
Signature
Date
DD
MM YYYY
Page 11/11
This acceptance must be signed by all applicants:
n Personal Representative – the Personal Representatives are
required to sign
n Attorney – the Attorney is required to sign
n Deputy – the Deputy is required to sign
By signing this Application Form I/we agree that:
n I/We have completed all relevant sections of this application form.
n I/We have read the Declaration and Mandate and Data Protection
Statement, and agree that the Bank can use our information as stated
in the statement.
n 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.
n I/We hereby certify that the information provided in this application
form is, to the best of our knowledge and belief, accurate and complete
in all respects.
n Cater Allen Private Bank is duly authorised to operate the Account(s).
n 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.
n I have received a copy of the FSCS Information Sheet and Exclusions
List.
12 Acceptance
Applicant(s) to complete
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
1
If you 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
accepted.
2
The option to open a Term Deposit is restricted to the electronic
transfer of funds only.
3
If you request a Visa Debit Card, it will be sent to you when the
opening funds are available on your Account, and you have satisfied the
minimum balance criteria.
4
Please note that transactional access to the Cash Hub Account is
provided to the applicant(s) and all authorised signatories via Internet
Banking.
Notes
Applicant(s) to read
CAPB  MAY  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   . 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 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. 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   . www.caterallen.co.uk
For CAPB completion only
Marketing Code
CATER ALLEN, PART OF THE SANTANDER GROUP
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CASH HUB ACCOUNT FOR PERSONAL REPRESENTATIVES, ATTORNEYS AND (Cater Allen Private Bank)

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Completed 4 May 2021

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