Fillable Investment Account Trust application form (City of Oakland)

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Investment Account Trust application form (City of Oakland)

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The Investment Account Trust application form (City of Oakland) form is 22 pages long and contains:

  • 7 signatures
  • 24 check-boxes
  • 341 other fields

Country of origin: US
File type: PDF

U.S.A. forms for City of Oakland

BROWSE CITY OF OAKLAND (CA) FORMS

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C0011401
Trust application form –
Investment Account
1
About the trust
Name of trust
This is for our records only. We will register the account in the name of the trustees.
Account designation
This will help distinguish the account from any other accounts the trustees may have with us. It cannot include the word ‘trust’.
identity (this is also part of our anti-money laundering
obligations). We can usually do this using an electronic
verification system with the information provided. This will
create a record on your credit report, which will only be
visible to you and will not affect your credit score. If we
cannot verify your identity in this way, we may ask to see
identity documents before you can invest.
Who can make Payments?
• Payment from the trustees;
• A trust bank account;
• A solicitor’s client account if professionally acting for the
trust.
We can accept a cheque or completed Telegraphic Transfer
form for electronic payments; we will contact you or your
adviser with our bank details on receipt of the application,
please do not transfer payment to us before hand.
What’s next?
Please send your completed application form to:
Fidelity
PO Box 391
Tadworth KT20 9FU
We will open the trust account and send a confirmation of
any lump-sum investments or Direct Debits.
How to fill in this form:
• Please use black ink and write clearly inside the boxes
using capital letters.
• Please only complete the beneficiary details section and
nationality questions for Trustees if this relates to a Bare
trust.
• If you make a mistake, please correct it but don’t use
correction fluid.
What you need to know about setting up this
account
• You will need to give us details of all the trustees. If there
is more than one, we will set it up as a joint account.
The trustee named first on this form will be the principal
account holder and will receive all communications about
the account.
• We need to see the document that established the trust,
typically the trust deed. This is evidence of beneficial
ownership and the identity of the trust’s controllers. If you
do not have the necessary document, please call us on
0800 902 902.
• We cannot set an account up in the name of the trust, but
you can give the account a designation to distinguish it
from any other accounts you have with us.
• To help us protect you from fraud we need to check your
Checklist of documents you should include with your completed form
Please note that if you send photocopies of any of the following identity documents, you must have them certified first.
The trust deed showing the name of the trust and everyone associated with it. This should be an extract from the initial or definitive deed.
In the case of trust set up in a will, the original grant of probate and the will itself. If the investment is coming from an estate
and there was no will, you should send the letter of administration, issued by the probate service.
An Individual Self Certification of Tax Residency form for each settlor, appointer, protector or absolute beneficiary, apart from any
trustees or beneficiaries named below.
Page 1 of 16
OEICPITrustInt /09.20/v16.0/ M2
You should use this form to open an Investment Account on behalf of a trust.
1
About the trust (continued)
Legal Entity Identifier (Please note your identifier in the boxes provided.)
From 3 January 2018 you will need to give us a Legal Entity Identifier (LEI) if you are going to buy, sell or switch into or
out of exchange traded instruments, such as investment trusts, exchange traded assets and company shares. For more
information in how to apply for an LEI, please go to fca.org.uk and search for ‘LEI update’. If you have more than one LEI,
please include details with this form. We may need to contact you for further information.
Country in which the trust is resident for tax purposes
(If the trust has more than one country of tax residence, please provide details on a separate page, including a tax identification
number for each country.)
Tax identification number for country of tax residency
No tax identification number?
(Please mark an X in the box)
C0011402
Page 2 of 16
OEICPITrustInt /09.20/v16.0/ M2
2
Details of the first trustee
First and other names in full
Title
Surname
House number and/or name
Postcode
Street, city, county and country details
Address This must be a UK residential address. We cannot accept ‘Care of’ and ‘PO Box’ addresses.
Fidelity Account Number or Customer Reference Number (if you already have an account with us)
Telephone number (in case we need to check anything) Mobile
Address We cannot accept PO Box addresses, but you can use the residential address of one of the trustees. We need
it for tax reporting purposes only and will not use it for correspondence, unless it is the address of the first trustee named
below.
House number and/or name
Postcode
Street, city, county and country details
2
Details of first trustee (continued)
C0011403
Page 3 of 16
OEICPITrustInt /09.20/v16.0/ M2
Nationality 1 Nationality 2
Nationality 3 Nationality 4
Are you a UK National only? (please mark an X in the box)
Are you a UK National and National of one or more other countries?
(mark an X in the box and list all other countries below)
Are you a National of Non-UK countries only?
(tick box and list all other countries below)
DETAILS BELOW TO BE COMPLETED ONLY IF THE FIRST TRUSTEE IS ALSO A SETTLOR/DONOR:
First country First country tax identifier
Additional country Additional country tax identifier
Are you also a resident in any other country(s) for tax purposes? If so please complete the following fields:
Are you also a resident in the UK for tax purposes? (If yes, please mark an X in the box)
Town of Birth
Country of Birth
Employed Self-Employed Full-Time education Unemployed Pensioner
Employment Status
Other – please specify:
Income from salary Divorce Settlement Gift Sale of Investment/transfer
Sale of PropertySavings from income Inheritance
Other – please specify:
Source of Income
Caring for children under 16 Other - please specify below.
Email
National Insurance number
It is two letters and six digits, followed by A, B, C or D.
No National Insurance number?
If you have never been issued with a National Insurance
number, please mark an X in the box.
Date of birth (DDMMYYYY)
C0011404
3
Details of second trustee (if applicable)
Email
House number and/or name
Postcode
Street, city, county and country details
Address This must be a UK residential address. We cannot accept ‘Care of’ and ‘PO Box’ addresses.
National Insurance number
It is two letters and six digits, followed by A, B, C or D.
No National Insurance number?
If you have never been issued with a National Insurance
number, please mark an X in the box.
Nationality 1 Nationality 2
Nationality 3 Nationality 4
Are you a UK National only? (please mark an X in the box)
Are you a UK National and National of one or more other countries?
(mark an X in the box and list all other countries below)
Are you a National of Non-UK countries only?
(tick box and list all other countries below)
First and other names in full
Title
Surname
Page 4 of 16
OEICPITrustInt /09.20/v16.0/ M2
Fidelity Account Number or Customer Reference Number (if you already have an account with us)
First country First country tax identifier
Additional country Additional country tax identifier
Are you also a resident in any other country(s) for tax purposes? If so please complete the following fields:
Are you also a resident in the UK for tax purposes? (If yes, please mark an X in the box)
Telephone number (in case we need to check anything) Mobile
Date of birth (DDMMYYYY)
C0011405
3
Details of second trustee (continued)
DETAILS BELOW TO BE COMPLETED ONLY IF THE SECOND TRUSTEE IS ALSO A SETTLOR/DONOR:
Page 5 of 16
OEICPITrustInt /09.20/v16.0/ M2
4
Details of third trustee (if applicable)
Email
National Insurance number
It is two letters and six digits, followed by A, B, C or D.
No National Insurance number?
If you have never been issued with a National Insurance
number, please mark an X in the box.
House number and/or name
Postcode
Street, city, county and country details
Address This must be a UK residential address. We cannot accept ‘Care of’ and ‘PO Box’ addresses.
First and other names in full
Title
Surname
Fidelity Account Number or Customer Reference Number (if you already have an account with us)
Telephone number (in case we need to check anything) Mobile
Town of Birth
Country of Birth
Employed Self-Employed Full-Time education Unemployed Pensioner
Employment Status
Other – please specify:
Income from salary Divorce Settlement Gift Sale of Investment/transfer
Sale of PropertySavings from income Inheritance
Other – please specify:
Source of Income
Caring for children under 16 Other - please specify below.
4
Details of third trustee (continued)
Nationality 1 Nationality 2
Nationality 3 Nationality 4
Are you a UK National only? (please mark an X in the box)
Are you a UK National and National of one or more other countries?
(mark an X in the box and list all other countries below)
Are you a National of Non-UK countries only?
(tick box and list all other countries below)
C0011406
DETAILS BELOW TO BE COMPLETED ONLY IF THE THIRD TRUSTEE IS ALSO A SETTLOR/DONOR:
5
Details of fourth trustee (if applicable)
First and other names in full
Title
Surname
Page 6 of 16
OEICPITrustInt /09.20/v16.0/ M2
First country First country tax identifier
Additional country Additional country tax identifier
Are you also a resident in any other country(s) for tax purposes? If so please complete the following fields:
Are you also a resident in the UK for tax purposes? (If yes, please mark an X in the box)
Date of birth (DDMMYYYY)
Town of Birth
Country of Birth
Employed Self-Employed Full-Time education Unemployed Pensioner
Employment Status
Other – please specify:
Income from salary Divorce Settlement Gift Sale of Investment/transfer
Sale of PropertySavings from income Inheritance
Other – please specify:
Source of Income
Caring for children under 16 Other - please specify below.
Details of fourth trustee (if applicable) continued
5
Nationality 1 Nationality 2
Nationality 3 Nationality 4
Are you a UK National only? (please mark an X in the box)
Are you a UK National and National of one or more other countries?
(mark an X in the box and list all other countries below)
Are you a National of Non-UK countries only?
(tick box and list all other countries below)
C0011407
Email
DETAILS BELOW TO BE COMPLETED ONLY IF THE FOURTH TRUSTEE IS ALSO A SETTLOR/DONOR:
House number and/or name
Postcode
Street, city, county and country details
Address This must be a UK residential address. We cannot accept ‘Care of’ and ‘PO Box’ addresses.
National Insurance number
It is two letters and six digits, followed by A, B, C or D.
No National Insurance number?
If you have never been issued with a National Insurance
number, please mark an X in the box.
Page 7 of 16
OEICPITrustInt /09.20/v16.0/ M2
Fidelity Account Number or Customer Reference Number (if you already have an account with us)
First country First country tax identifier
Additional country Additional country tax identifier
Are you also a resident in any other country(s) for tax purposes? If so please complete the following fields:
Are you also a resident in the UK for tax purposes? (If yes, please mark an X in the box)
Telephone number (in case we need to check anything) Mobile
Date of birth (DDMMYYYY)
Town of Birth
Country of Birth
C0011408
Details of fourth trustee (if applicable) continued
5
Page 8 of 16
OEICPITrustInt /09.20/v16.0/ M2
Details of the first beneficiary (if applicable)
6
Email
National Insurance number
It is two letters and six digits, followed by A, B, C or D.
No National Insurance number?
If you have never been issued with a National Insurance
number, please mark an X in the box.
Telephone number (in case we need to check anything)
House number and/or name
Postcode
Street, city, county and country details
Address This must be a UK residential address. We cannot accept ‘Care of’ and ‘PO Box’ addresses.
First and other names in full
Title
Surname
Fidelity Account Number or Customer Reference Number (if you already have an account with us)
Employed Self-Employed Full-Time education Unemployed Pensioner
Employment Status
Other – please specify:
Income from salary Divorce Settlement Gift Sale of Investment/transfer
Sale of PropertySavings from income Inheritance
Other – please specify:
Source of Income
Caring for children under 16 Other - please specify below.
Date of birth (DDMMYYYY)
C0011409
Page 9 of 16
OEICPITrustInt /09.20/v16.0/ M2
Details of the second beneficiary (if applicable)
7
Email
National Insurance number
It is two letters and six digits, followed by A, B, C or D.
No National Insurance number?
If you have never been issued with a National Insurance
number, please mark an X in the box.
Telephone number (in case we need to check anything)
House number and/or name
Postcode
Street, city, county and country details
Address This must be a UK residential address. We cannot accept ‘Care of’ and ‘PO Box’ addresses.
First and other names in full
Title
Surname
Fidelity Account Number or Customer Reference Number (if you already have an account with us)
Details of the first beneficiary (if applicable) (continued)
6
Nationality 1 Nationality 2
Nationality 3 Nationality 4
Are you a UK National only? (please mark an X in the box)
Are you a UK National and National of one or more other countries?
(mark an X in the box and list all other countries below)
Are you a National of Non-UK countries only?
(tick box and list all other countries below)
First country First country tax identifier
Additional country Additional country tax identifier
Are you also a resident in any other country(s) for tax purposes? If so please complete the following fields:
Are you also a resident in the UK for tax purposes? (If yes, please mark an X in the box)
Date of birth (DDMMYYYY)
Details of the second beneficiary (if applicable) (continued)
7
Nationality 1 Nationality 2
Nationality 3 Nationality 4
Are you a UK National only? (please mark an X in the box)
Are you a UK National and National of one or more other countries?
(mark an X in the box and list all other countries below)
Are you a National of Non-UK countries only?
(tick box and list all other countries below)
Page 10 of 16
OEICPITrustInt /09.20/v16.0/ M2
8
About the settlor or donor (if they are not a trustee)
Address - if different to Account Holder. ‘Care’ and PO Box are not acceptable. Only UK addresses are eligible unless you
are a Crown Employee or the spouse/civil partner of a Crown Employee.
Street, city, county and country
Postcode
House number/name
Surname
First and other names in full
Title
Town of birth
Date of birth (DDMMYYYY)
First country First country tax identifier
Additional country Additional country tax identifier
Are you also a resident in any other country(s) for tax purposes? If so please complete the following fields:
Are you also a resident in the UK for tax purposes? (If yes, please mark an X in the box)
C0011410
Country of Birth
C0011411
8
About the settlor or donor (if they are not a trustee) (continued)
Page 11 of 16
OEICPITrustInt /09.20/v16.0/ M2
First country First country tax identifier
Additional country Additional country tax identifier
Are you also a resident in any other country(s) for tax purposes? If so please complete the following fields:
Are you also a resident in the UK for tax purposes? (If yes, please mark an X in the box)
Employed Self-Employed Full-Time education Unemployed Pensioner
Employment Status
Other – please specify:
Income from salary Divorce Settlement Gift Sale of Investment/transfer
Sale of PropertySavings from income Inheritance
Other – please specify:
Source of Income
Caring for children under 16 Other - please specify below.
9
Investment details
Monthly Minimum: £25 per asset and £50 per application.
If you are investing monthly you must complete the Direct Debit mandate in Section 10.
For a lump sum investment you should enclose a cheque made payable to Fidelity. Payments should be drawn from a sterling
denominated UK bank account held in the name of Trust or Trustees and will be accepted following full verification of the
trustees and beneficiaries in compliance with our regulatory obligations.
Please use the following table to tell us which assets the trust would like to invest in. It’s important to write the
correct asset code and name clearly inside the boxes using capital letters – we use the code to determine your
asset choice. Asset codes can change so please ensure you enter the correct code by visiting fidelity.co.uk
Asset code Lump sum (£)
Regular
payments (£)
Asset name
•
•
•
•
•
•
•
•
•
•
•
•
•
Total (£)
If yes please mark this box and provide your bank details under section 10 for your income to be credited
If you have selected Income assets, would you like your income to be paid out?
C0011412
Page 12 of 16
OEICPITrustInt /09.20/v16.0/ M2
10
Mandate details
Any bank details given in this section will override any existing Trust bank details previously provided for this
Trust.
This Section must be completed and will be used for:
• Any regular saving plans
Banks and building societies may not accept Direct Debit Instructions for some types of account
DDI2
Please fill in the whole form using a ballpoint pen and send to:
Fidelity, PO Box 391, Tadworth, KT20 9FU.
Name(s) of account holder(s)
Bank/building society account number
Branch sort code
Name and full postal address of your bank or building society
To: The Manager Bank/building society
Address
Postcode
Service User Number
Reference
Instruction to your bank or building society
Please pay Financial Administration Services Ltd Direct Debits from the account
detailed in this Instruction subject to the safeguards assured by the Direct
Debit Guarantee. I understand that this Instruction may remain with Financial
Administration Services Ltd and, if so, details will be passed electronically to my
bank/building society.
624232
Signature(s)
Date
Instruction to your bank or building
society to pay by Direct Debit
C0011413
Page 13 of 16
OEICPITrustInt /09.20/v16.0/ M2
Page 14 of 16
11
Intermediary details - to be completed by the adviser (if applicable)
10
Mandate details - Income or cash withdrawals
Please provide bank details to which income payments (if required) and withdrawals should be paid. Please specify by
marking an X in the relevant box in Section 9.
This Section must be completed and will be used for:
• Paying income out of any selected investments
• Paying any future withdrawals
Name(s) of account holder(s) Bank/building society account number
Branch sort code
Name and full postal address of your bank or building society
To: The Manager Bank/building society
Address
Postcode
Building Society Collection Account Number (if applicable) *
* Building Society accounts — the sort code and building society collection account number can be obtained from your
Building Society branch. Please ensure that your Building Society account will accept direct credit payments through the
Banks Automated Clearing system. Fidelity will only accept instructions for payments to be made to an account in the
name of the Trust, Trustees and specifically named beneficiaries (once positively verified). If the account number and
sort code are incorrect, Fidelity will not accept responsibility for any loss incurred by the applicant.
Company stamp
Unique Adviser Number
FCA number
I confirm that I am registered with the FCA to conduct
business and my authorisation number is:
Yes – This option would default your remuneration type
to Fee and override any alternate remuneration choice
Have you provided a personal recommendation?
(You must complete either the Yes or No box)
No
Remuneration details
Please note these assets will be added to your client’s
fee account and if Adviser Ongoing Fee has previously
been setup this will be automatically applied. An Initial
Fee cannot be applied to this type of instruction.
An Adviser Ongoing Fee cannot be applied to this
type of investment using an application form. If you
would like to setup an Adviser Ongoing Fee this must
be done online once the assets have been received.
Intermediary signature
Your signature
Date signed
(DDMMYYYY)
C0011414
OEICPITrustInt /09.20/v16.0/ M2
12
Verification details for advisers (if applicable)
I/We confirm and consent to Fidelity’s reliance on the fact that I/we have verified all parties to this application in
accordance with the UK Money Laundering Regulations and standards set in guidance issued by the JMLSG and will
retain the supporting documentation for 5 years after the end of the relationship with the client.
Please only use this section to name connected parties to the trust who are not listed as applicants
Your signature
Date
(DDMMYYYY)
Name of individual
Connection to the trust (delete as appropriate): Trustee/Settlor/Beneficiary/Protector. Please also complete and return
Individual Self Certification of Tax Residency form
C0011415
Page 15 of 16
OEICPITrustInt /09.20/v16.0/ M2
Your signature
Date
(DDMMYYYY)
Name of individual
Connection to the trust (delete as appropriate): Trustee/Settlor/Beneficiary/Protector. Please also complete and return
Individual Self Certification of Tax Residency form
13
Declaration and signature
Each trustee must sign the following declaration.
I/We understand that the information I/We provide on this application form will be processed in accordance with Fidelity’s
data protection statement contained in the Fidelity Client Terms and the FundsNetwork Client Terms.
I/We declare that:
• Application is for a trust that is a Passive Non Financial Entity under the International Tax Compliance
Regulations 2015
• I am not a US citizen, that I am not resident in the US, and that I do not have an obligation to pay tax to the
US tax authorities on my worldwide income.
• I have read the latest Key Features Document, either Doing Business with Fidelity or Doing Business with FundsNetwork.
• I have read the latest key information document for the assets that the trust is investing in.
• I have read the latest illustration document.
• I accept the Fidelity Client Terms or the FundsNetwork Client Terms.
• The information I have given is correct to the best of my knowledge, and I will tell Fidelity immediately if any of it
changes.
Signature of first trustee
Signature of second trustee
Signature of third trustee
Signature of fourth trustee
Print name
Print name
Print name
Print name
Date
Issued by Financial Administration Services Limited (FASL), authorised and regulated by the Financial Conduct Authority. FundsNetwork™ and its logo are trademarks of FIL Limited.
C0011416
Page 16 of 16
OEICPITrustInt /09.20/v16.0/ M2
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Investment Account Trust application form (City of Oakland)

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Completed 27 April 2022

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