Fillable FORM AND MANDATE: SMALL SELF-ADMINISTERED PENSION SCHEME BANK (Cater Allen Private Bank)

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FORM AND MANDATE: SMALL SELF-ADMINISTERED PENSION SCHEME BANK (Cater Allen Private Bank)

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For action by Intermediary only
Master Account (£) number
Master Account (€) number
Master Account ($) number
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, please call us on 0800 092 5500.
If you or your Introducer are new to Cater Allen, please contact the Cater Allen Business Development Team by e-mail: capbcet@caterallen.co.uk
prior to submitting this application.
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 and/or paying-in book.
Please note that we will only accept applications from pension schemes with a mandatory professional co-signer (see section 4).
SMALL SELF-ADMINISTERED PENSION
SCHEME BANK ACCOUNT APPLICATION
FORM AND MANDATE
1 Which Account(s) are you applying for?
Applicant(s) to complete
Scheme name
Reserve Account for Pensions
1
(minimum £5,000 or equivalent per currency)
Chequebook
Postal paying in
book for cheques
£
€
$
Asset 30 Account
1
(minimum £5,000)
£
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 can be accepted.
page
1/17
page
2/17
What name would you like to be shown on the new Account?
This is the name that will appear on chequebooks and paying-in books,
where applicable. There is room for a maximum of 22 characters per line.
Please confirm HMRC Registration number (PSTR)
Date of registration
D D M M Y Y Y Y
Are pension contributions made by an employer by way of deduction
from employee’s wages?
Yes
No
Do the scheme rules permit the assignment of a members interest
under the scheme?
Yes
No
Is this Pension Scheme an Occupational Scheme for a large company?
Yes
No
Please confirm the overall source of the initial payment/deposit.
Please note that in some circumstances the Bank may be required to
check some of this information with you.
All Deposits from (please tick the appropriate boxes). Please also
indicate the value and country the funds originated from (if not UK):
Registered Pension Scheme
£
Country
Pension Contributions
£
Country
Transfer(s) from other
Registered Pension Scheme
£
Country
Other
£
Country
If ‘Other‘, please specify the source of the funds
Does the Small Self-Administered Pension Scheme have a Corporate
Trustee?
Yes
No
If yes, please complete the Corporate Trustees details in section 6.
The Bank will also require a list of Authorised Signatories on company
letterhead and at least one Signatory from that list must sign in
section 12. The Corporate Trustee must have an existing relationship/
agency with Cater Allen to proceed with this application.
How much will you be depositing per annum?
£
per annum
Approximate Annual outgoings
£
per annum
Anticipated activity through this bank account
£
per annum
Anticipated number of transactions through this bank account
per annum
From which country(ies) are payments expected to be made and
received?
In which country is your scheme registered?
2 Information of your Pension Scheme and source of funds
Applicant(s) to complete
Please note that the Bank can’t progress your application unless all fields within this section are completed.
page
3/17
4 Mandatory professional co-signer on Small Self-Administered Pension Scheme Bank Accounts
All applications for Small Self-Administered Pension Schemes are
required to include a professional co-signatory in addition to that of
the Scheme Member/s. The professional co-signatory must act (for the
duration of the Cater Allen relationship) as either sole signatory or joint
signatory alongside the Trustees. Please tick to confirm which of the
following relates to you:
a. I am employed by, and signing on behalf of, a firm authorised
and regulated by the Financial Conduct Authority (FCA); or
b. I am employed by, and signing on behalf of, a firm that is closely
associated
2
with a firm that is authorised and regulated by the
FCA; or
c. I am employed by, and signing on behalf of, a firm of
accountants or solicitors who are present within the Institute of
Chartered Accountants in England and Wales (ICAEW) or Law
Society register; or
d. I am named on the Independent Trustee Register maintained by
The Pensions Regulator.
Full name (including any middle names)
Company Name
Address
Postcode Country
Telephone
Email
Regulator reference number
Signature
5 Scheme Administrator
Scheme Administrator to complete
I/We, the Scheme Administrator, verify that the signed names on this
mandate are the legitimate Trustees and Authorised Signatories in the
named Scheme and that I/we will comply with my/our obligations as set
out in the Declaration and Mandate (section 9) of this application form.
Full name/name of firm
Position/Capacity
Address
Postcode Country
Signature
Date
D D
M M
Y Y Y Y
2 It is in the sole discretion of Cater Allen Private Bank as to whether the “closely associated” criteria is satisfied. Indicators suggesting it is met may
include beneficial interest (whole or otherwise) held by the FCA authorised firm and/or shared oversight or management relationships with FCA
regulated firms.
3 Scheme contact details
Applicant(s) to complete
Contact name
What position does the contact person hold?
Scheme registered address
Postcode Country
Address for correspondence
Postcode Country
Telephone
Mobile
Email
page
4/17
6 Personal details of Pension Trustees, Authorised Signatories and Scheme members of the Account
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, please complete
the form below. 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, including your full name, please clearly
provide it in the ‘Additional information’ section at the end of this form.
For Corporate Trustees the Bank will require a list of Authorised Signatories on company letterhead and at least one Signatory from that list must
sign in Section 12. The Corporate Trustee must have an existing relationship/Master agency with Cater Allen to proceed with this application.
First applicant
If you are an existing Cater Allen Client, please provide your Cater Allen
account number
Authorised Signatory
Are you a Trustee of the Scheme? Yes
No
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, formally 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 countries
Current residential address (permanent residential address). C/O and PO
Box addresses are not acceptable.
Postcode Country
How long have you been at your current residential address?
Years
Months
Telephone
Mobile
Email
Previous residential address if less than three years at address shown
within ‘Current residential address’ field. If you had more than one
previous 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
What is your current employment status?
Employed
Self-employed
Homemaker Retired
Student Unemployed
Occupation
Country of fiscal residence (i.e. the country in which you are currently
resident and employed)
Tax Identification Number for country of fiscal residence (if not UK)
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). Please
provide details for up to five additional countries on the ‘Additional
information’ section at the end of this application form.
page
5/17
6 Personal details of Pension Trustees, Authorised Signatories and Scheme members of the Account
Applicant(s) to complete
Second applicant
If you are an existing Cater Allen Client, please provide your Cater Allen
account number
Authorised Signatory
Are you a Trustee of the Scheme? Yes
No
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, formally 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 countries
Current residential address (permanent residential address). C/O and PO
Box addresses are not acceptable.
Postcode Country
How long have you been at your current residential address?
Years
Months
Telephone
Mobile
Email
Previous residential address if less than three years at address shown
within ‘Current residential address’ field. If you had more than one
previous 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
What is your current employment status?
Employed
Self-employed
Homemaker Retired
Student Unemployed
Occupation
Country of fiscal residence (i.e. the country in which you are currently
resident and employed)
Tax Identification Number for country of fiscal residence (if not UK)
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). Please
provide details for up to five additional countries on the ‘Additional
information’ section at the end of this application form.
page
6/17
6 Personal details of Pension Trustees, Authorised Signatories and Scheme members of the Account
Applicant(s) to complete
Third applicant
If you are an existing Cater Allen Client, please provide your Cater Allen
account number
Authorised Signatory
Are you a Trustee of the Scheme? Yes
No
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, formally 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 countries
Current residential address (permanent residential address). C/O and PO
Box addresses are not acceptable.
Postcode Country
How long have you been at your current residential address?
Years
Months
Telephone
Mobile
Email
Previous residential address if less than three years at address shown
within ‘Current residential address’ field. If you had more than one
previous 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
What is your current employment status?
Employed
Self-employed
Homemaker Retired
Student Unemployed
Occupation
Country of fiscal residence (i.e. the country in which you are currently
resident and employed)
Tax Identification Number for country of fiscal residence (if not UK)
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). Please
provide details for up to five additional countries on the ‘Additional
information’ section at the end of this application form.
page
7/17
6 Personal details of Pension Trustees, Authorised Signatories and Scheme members of the Account
Applicant(s) to complete
Fourth applicant
If you are an existing Cater Allen Client, please provide your Cater Allen
account number
Authorised Signatory
Are you a Trustee of the Scheme? Yes
No
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, formally 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 countries
Current residential address (permanent residential address). C/O and PO
Box addresses are not acceptable.
Postcode Country
How long have you been at your current residential address?
Years
Months
Telephone
Mobile
Email
Previous residential address if less than three years at address shown
within ‘Current residential address’ field. If you had more than one
previous 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
What is your current employment status?
Employed
Self-employed
Homemaker Retired
Student Unemployed
Occupation
Country of fiscal residence (i.e. the country in which you are currently
resident and employed)
Tax Identification Number for country of fiscal residence (if not UK)
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). Please
provide details for up to five additional countries on the ‘Additional
information’ section at the end of this application form.
page
8/17
7 Introducer details
Applicant(s) to complete
Is this application being submitted by an Introducer?
Yes
No
If ‘Yes‘, please include your Master Number on the front page of this form
and complete the details below. If ‘No’, go to section 9.
Name of company
Telephone
Address
Postcode Country
Email
Contact Name
page
9/17
Second applicant
Full name (including any middle names)
Date of birth
D D M M Y Y Y Y
Current residential address
Postcode Country
8 Confirmation of Verification of Identity (CVIC)
FCA authorised and regulated Financial Adviser to complete
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 9.
If you are a FCA authorised and regulated Financial Adviser who has fully verified the identities of your client(s) as listed in section 6 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
D D M M Y Y Y Y
Current residential address
Postcode Country
Confirmation
We confirm that:
(a) the information provided in this section was obtained by me in relation
to the applicant;
(b) the evidence we have obtained to verify the identity of the applicant(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
Third applicant
Full name (including any middle names)
Date of birth
D D M M Y Y Y Y
Current residential address
Postcode Country
Fourth applicant
Full name (including any middle names)
Date of birth
D D M M Y Y Y Y
Current residential address
Postcode Country
page
10/17
I/We, being all the Trustees of (please insert the full name of the Scheme)
(‘The Scheme’) hereby apply to open a Pension Account (‘The Account’)
with Cater Allen Private Bank (‘The Bank’) in accordance with the published
‘Terms and Conditions’ thereof (‘the Conditions’) and in accordance with the
Mandate below, 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.
We hereby certify that:
(a) I/We are duly authorised by the Trust Deed of the Scheme to open
the Account and operate it as set out in this Mandate
(b) In the event of the death or incapacity of any of the Trustees or
Authorised Signatories, the Bank is able to pay or deliver to the
order of the survivors, all money, securities, deeds or documents or
any other property which you hold for the credit of the remaining
Trustees’ joint Account.
The liability of
as Scheme Administrator for any indebtedness arising from time to
time on the Account(s) shall be limited to the Assets of the Scheme.
Please act on the signature(s) of the Authorised Signatories in respect of
cheques or other orders for payment on the Account, and as authority
for the sale, purchase, delivery or other dealings with securities, bills,
coupons, documents, boxes, packages and their contents and other
property at any time held by you.
In consideration of the Bank agreeing to operate the Account in
accordance with the Mandate and allowing the arrangements requested
herein, I/we jointly and severally agree to indemnify the Bank from and
against all losses, claims, expenses, and liabilities whatsoever which the
Bank may sustain or incur or become responsible for in any way as a
result of:
i) the Bank agreeing to allow the arrangements requested herein and/
or as a result of any operation of the Account in accordance with this
Mandate which is found to be in breach of the Trust Deed, and/or
ii) the Bank’s permitting the operation of the Account otherwise than
upon the signatories of all Trustee together (please see below,
authorised Signatories).
We further agree 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.
Authorised Signatories
All transactions on this account must be signed by a total of (enter
number):
Authorised Signatories
Please tell us how many Authorised Signatories are required
to sign at any one time on behalf of the Corporate Trustee / Professional
Co-signer (named in Section 4)
Please tell us how many member trustees are required to
sign at any one time
(If you are unsure how to complete this section, please contact our
Client Services Team on 0800 092 3300).
I/We, together with the Scheme Administrator confirm that as Trustees
and Scheme Administrator of the Pension Scheme we will ensure that
all transactional activity relating to the Account will comply with all
legal, regulatory and reporting requirements to which we are subject in
our position as Trustees/Scheme Administrator of such Pension Scheme.
I/We hereby authorise the Bank to provide the Scheme’s Auditors with
such information as they may request concerning the Account and any
transactions which may have taken place via the Account.
I/We authorise Cater Allen Private Bank to disclose details of that
Account to my/our Introducer as named on this application, or their
successors in title.
I/We acknowledge that my/our Introducer may receive commission from
Cater Allen Private Bank 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 Account
and the Bank may act upon such instructions without the need for
further enquiry. The Bank may act upon such instructions immediately
and without further enquiry unless it has cause to be suspicious as the
nature and content of the request.
Upon any of the Trustees ceasing to be a Trustee of the Trust by death or
otherwise, the Bank may in the absence of written notice to the contrary
from us, treat the surviving or continuing Trustees for the time being,
as having full power to carry on the purposes of the Account Holder and
to deal with assets within the Account as freely as if there had been no
change in the Trust.
The above authority shall remain in force until the Bank receives written
notice of its revocation, notwithstanding any change in the constitution
(or name) of the Trust and shall apply notwithstanding any change in the
identity of the Trustees by death, bankruptcy, retirement or otherwise or
the admission of any new Trustee or Trustees.
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.
9 Declaration and Mandate
Applicant(s) to complete
page
11/17
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
Introducer 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);
10 Data Protection Statement
Applicant(s) to complete
page
12/17
¡
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;
¡
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.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
The boxes I have ticked below indicate the channels I WOULD NOT like
you to use to contact me:
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
The boxes I have ticked below indicate the channels I WOULD NOT like
you to use to contact me:
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 3
The boxes I have ticked below indicate the channels I WOULD NOT like
you to use to contact me:
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 4
The boxes I have ticked below indicate the channels I WOULD NOT like
you to use to contact me:
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.
10 Data Protection Statement (continued)
Applicant(s) to complete
page
13/17
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;
¡
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.
10 Data Protection Statement (continued)
Applicant(s) to complete
page
14/17
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;
Tick this box to confirm
The relevant regulatory obligations have been met to segregate/separate the underlying funds from any other business funds
Evidence has been provided where possible
Specific documents to be included with all applications
Certified copy of the portion of the Trust Deed (and any deed of amendment) showing the name of scheme and names and addresses of all
Trustees
Any relevant deed/s of removal and/or appointment
Copy/evidence of Her Majesty’s Revenue and Customs (HMRC) Pension Scheme Registration (PSTR)
Proof pension contributions are made by an employer by way of deduction from employee’s wages, such as scheme documentation or
written confirmation of deduction from employer by way of employee salary
For clients introduced by an FCA authorised and regulated Financial Adviser
My/our FCA authorised and regulated Financial Adviser has completed section 8 (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. If these documents are not certified by a “professional”, then the Bank will be required
to carry out additional identity checks. Certification of these documents (via a signature) must include the position and contact details of the certifier.
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.
Or:
I/We acknowledge that an impersonation check in the form of a letter will be sent to each applicant’s residential address by the Bank and that
I/we will complete the relevant section of this letter and return it to Cater Allen in order that the verification process can be completed and
the 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.
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
page
15/17
12 Authorised Signatories and Acceptance
Applicant(s) to complete
Signature of Trustee
Full name (including any middle names)
Position
Signature
Date
D D
M M
Y Y Y Y
Signature of Trustee
Full name (including any middle names)
Position
Signature
Date
D D
M M
Y Y Y Y
Anyone who wishes to be able to transact on this account needs to be identified below as an Authorised Signatory. If you are not identified as an
Authorised Signatory, the Bank cannot accept your signature as authorisation to carry out a transaction, e.g. on a letter, on a cheque, on a faxed
request, etc.
Pension Trustees acting as Authorised Signatories
In the event that Pension Trustee(s) are the only Authorised Signatories required on the account, please read the following statements and
confirm your acceptance by signing the signature box(es):
The following Authorised Signatories wish to operate this account (“The Account”) with Cater Allen Private Bank (“The Bank”). By signing this
application form we confirm 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 the Bank can use my/our information as stated
in the Data Protection Statement.
¡
The Trustees have authority from the Individual Scheme Members to allow Cater Allen Private Bank to undertake appropriate online
references searches both now and at any time in the future on the Scheme Members for the purpose of verifying their identity and/or their
address.
¡
Cater Allen may also request from the Trustees documents confirming the Scheme Members’ identity and/or address. The Trustees
undertake to ensure that Individual Scheme Members are made aware of Cater Allen Private Bank’s requirements to use their data in this
respect.
¡
We have read the statement above and agree that the Bank can use our information as stated.
¡
We have received and accept the Terms and Conditions of this Account and agree to also be bound by any subsequent amendments advised
to 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/our knowledge and belief, accurate and
complete in all respects.
¡
For Corporate Trustees who will be signing on this Account, we will supply a list of Authorised Signatories on company letterhead and at
least one signatory from that list will be included within this section.
¡
Cater Allen Private Bank is duly authorised to operate the Account.
¡
I have received a copy of the FSCS Information Sheet and Exclusions List.
Signature of Trustee
Full name (including any middle names)
Position
Signature
Date
D D
M M
Y Y Y Y
Signature of Trustee
Full name (including any middle names)
Position
Signature
Date
D D
M M
Y Y Y Y
page
16/17
12 Authorised Signatories and Acceptance (continued)
Applicant(s) to complete
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 the Bank 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/our knowledge and belief, accurate and complete in
all respects.
¡
Cater Allen Private Bank is duly authorised to operate the Account.
¡
I have received a copy of the FSCS Information Sheet and Exclusions List.
Signature(s) of remaining Trustees and/or Scheme Members who are not Authorised Signatories on the Account.
Signature of Trustee non-signer
Full name (including any middle names)
Position
Signature
Date
D D M M Y Y Y Y
Signature of Trustee non-signer
Full name (including any middle names)
Position
Signature
Date
D D M M Y Y Y Y
Signature of Trustee non-signer
Full name (including any middle names)
Position
Signature
Date
D D M M Y Y Y Y
Signature of Trustee non-signer
Full name (including any middle names)
Position
Signature
Date
D D M M Y Y Y Y
page
17/17
For CAPB completion only
Marketing Code
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
CATER ALLEN, PART OF THE SANTANDER GROUP
CAPB 1247 FEB 21 H
Additional information
Applicant(s) to complete
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.
Additional countries which you make tax contributions and their
corresponding TIN (Tax Identification Number).
Country
TIN
Country
TIN
Country
TIN
Country
TIN
Country
TIN
Additional countries which you make tax contributions and their
corresponding TIN (Tax Identification Number).
Country
TIN
Country
TIN
Country
TIN
Country
TIN
Country
TIN
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FORM AND MANDATE: SMALL SELF-ADMINISTERED PENSION SCHEME BANK (Cater Allen Private Bank)

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Completed 4 May 2021

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