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PERSONAL REPRESENTATIVES / EXECUTORS, ATTORNEYS AND RECEIVERS / (Cater Allen Private Bank)

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page
1/15
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 to: Cater Allen Private Bank, 9 Nelson Street, Bradford, BD1 5AN
in the pre-paid envelope provided. If you need any help to complete this form please call us on 0800 092 3300.
Are you (please tick as appropriate – one box only):
a Personal Representative/Executor
an Attorney
a Receiver/Deputy
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 then decide whether you would like a chequebook, paying-in book and/or Visa Debit Card.
1 Choose which Account(s)
Applicant(s) to complete
PERSONAL REPRESENTATIVES / EXECUTORS,
ATTORNEYS AND RECEIVERS / DEPUTIES
APPLICATION FORM AND MANDATE
For action by Intermediary only
Master Account number
1
If you are opening a Sterling Bank Account, Investment Account or Sovereign 30 Account and would like to make the initial deposit by cheque, it is required
that the cheque is made payable to the name that you wish your new Account to be in. No cash, postal orders or third party cheques can be accepted.
Sterling Bank Account
1
( minimum £5,000)
Chequebook
Postal paying in book
for cheques
Visa Debit Card
£
Investment Account
1
( minimum £5,000)
£
Sovereign 30 Account
1
(minimum £5,000)
£
page
2/15
2 Personal Details for all Personal Representatives/Executors, Attorneys and Receivers/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, 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, please photocopy 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 Client, please provide your Cater Allen
account number
Personal Representative Executor
Attorney
Receiver / Deputy
Authorised Signatory
Beneficial Owner
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
Date of birth
D D M M Y Y Y Y
Male Female
Occupation
Nationality
Do you have dual nationality?
Yes No
If ‘Yes’ please specify which country
Current home address (permanent residential address). 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
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
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
First applicant
page
3/15
If you are an existing Cater Allen Client, please provide your Cater Allen
account number
Personal Representative Executor
Attorney
Receiver / Deputy
Authorised Signatory
Beneficial Owner
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
Date of birth
D D M M Y Y Y Y
Male Female
Occupation
Nationality
Do you have dual nationality?
Yes No
If ‘Yes’ please specify which country
Current home address (permanent residential address). 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
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
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
Second applicant
2 Personal Details for all Personal Representatives/Executors, Attorneys and Receivers/Deputies,
Beneficial Owners and Authorised Signatories (continued)
Applicant(s) to complete
page
4/15
2 Personal Details for all Personal Representatives/Executors, Attorneys and Receivers/Deputies,
Beneficial Owners and Authorised Signatories (continued)
Applicant(s) to complete
If you are an existing Cater Allen Client, please provide your Cater Allen
account number
Personal Representative Executor
Attorney
Receiver / Deputy
Authorised Signatory
Beneficial Owner
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
Date of birth
D D M M Y Y Y Y
Male Female
Occupation
Nationality
Do you have dual nationality?
Yes No
If ‘Yes’ please specify which country
Current home address (permanent residential address). 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
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
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
Third applicant
page
5/15
If you are an existing Cater Allen Client, please provide your Cater Allen
account number
Personal Representative Executor
Attorney
Receiver / Deputy
Authorised Signatory
Beneficial Owner
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
Date of birth
D D M M Y Y Y Y
Male Female
Occupation
Nationality
Do you have dual nationality?
Yes No
If ‘Yes’ please specify which country
Current home address (permanent residential address). 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
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
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
Fourth applicant
2 Personal Details for all Personal Representatives/Executors, Attorneys and Receivers/Deputies,
Beneficial Owners and Authorised Signatories (continued)
Applicant(s) to complete
page
6/15
3 Details about your Professional Adviser
Applicant(s) to complete
Have you been introduced by a Professional Adviser?
Yes
No
If ‘Yes‘, please complete the details below. If ‘No’, go to section 5.
Name of company
Address for correspondence
Postcode
Telephone
Contact name
Email
Second applicant
Full name (including any middle names)
Date of birth
D D M M Y Y Y Y
Current home address
Postcode
Third applicant
Full name (including any middle names)
Date of birth
D D M M Y Y Y Y
Current home address
Postcode
Fourth applicant
Full name (including any middle names)
Date of birth
D D M M Y Y Y Y
Current home address
Postcode
4 Confirmation of Verification of Identity (CVIC)
FCA authorised and regulated Financial Adviser to complete
For completion by Financial Conduct Authority (FCA) authorised and regulated Financial Advisers only
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.
If you do not have an FCA authorised and regulated Financial Adviser, please proceed to section 5.
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 home address
Postcode
Postcode
page
7/15
4 Confirmation of Verification of Identity (CVIC) (continued)
PRA/FCA regulated Financial Adviser to complete
Confirmation
I/We confirm that:
(a) the information provided in this section was obtained by me/us in
relation to the customer;
(b) the evidence I/we have obtained to verify the identity of the
customer(s) (tick only one):
Meets the standard evidence set out within the guidance for the
UK Financial Sector issued by the Joint Money Laundering Steering
Group (‘JMLSG’); or
Exceeds the standard evidence (written details of the further
verification evidence taken are attached to this confirmation)
(c) where identity has been verified by an electronic identification service,
we have met the client face to face.
FCA authorised and regulated Financial Adviser’s Signature
Name
Position
Date
D D M M Y Y Y Y
We can only consider your application if all fields within this section are
completed.
If you are is an existing account holder, please tell us your account
number with us.
Please write the name of your new Account below. The Name of your
new Account must correspond with either the Grant of Probate or the
Power of Attorney or the Court of Protection Order. There is room for a
maximum of 22 characters per line.
Contact name
Address for correspondence. For registered and correspondence
addresses only UK and British Foreign Office Post Office (BFPO) addresses
are acceptable. C/O and PO Box addresses are not acceptable.
Postcode
Telephone
Mobile
Email
Purpose of the account?
Management of funds/assets
Other
Disbursement of funds/assets
If ‘Other‘, please state
Power of Attorney & Receiver/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
Anticipated activity through this bank account
£
per annum
Anticipated number of transactions through this bank account
per annum
Please note that the Beneficial Owner’s personal details must be
completed in section 2 of this Application Form.
Personal Representatives/Executors
Expected source of deposit/payment
✓
Estate
Postcode
5 Important information – all Accounts
Applicant(s) to complete
page
8/15
Personal Representative/Executor/Attorney/Receiver /Deputy
I/We,
INSERT NAME
(the ‘Account Holder’) being a Personal Representative/Executor/
Attorney/Receiver/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. Please tick only ONE of the boxes below.
Total number of Authorised Signatories to be held on this account:
(Please write only one number in this box)
Please note that if any Visa Debit Cards are issued on the Account, then
the Account must be set up so that only ONE signature is required to
authorise any transaction.
You can choose the number of signatories required to authorise any single
transaction. Please tick any one of the boxes below.
any one signature
any two signatures
more than two signatures, please specify how many
The instructions of the signatories appearing in section 8, 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 8, certified, where
applicable, by the Chairperson and Secretary and that the Bank receives
notice in writing of any change there may be or any further such list, in
each case and the Bank may be assured that any Resolutions have not been
amended or revoked until it receives notice in writing thereof.
I/We authorise the Bank to make enquiries and to take up references as
it considers appropriate in connection with this application form and this
authorisation is to remain effective until the Bank receives our written
notification to the contrary.
I/We agree that any indebtedness or liability incurred to the Bank under
this authority shall, in the absence of any express written agreement by
the Bank to us, be due and payable on demand.
I/We shall, as and when necessary, supply to the Bank lists of current
Designated Members 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
Professional Advisor, or their successors in title (unless advised to the
contrary). I/We acknowledge that my Professional Advisor may receive
commission in respect of the Account.
The Bank is hereby authorised to comply with all withdrawal instructions
given by facsimile, providing that such instructions are signed in
accordance with the current Mandate to operate the above Account. The
Bank may act upon such instructions immediately and without further
enquiry unless it has cause to be suspicious as to the nature and content
of the request.
I/We understand that the Bank accepts no liability whatsoever in respect
of any losses which may be suffered as a result of any fraud or negligent
misuse of the banking services including telephone banking unless such
loss occurs as a result of fraud or negligence on the part of the Bank or its
employees or agents.
The above authority shall remain in force until the Bank receives written
notice of its revocation, notwithstanding any change in our constitution
(or name), and shall apply notwithstanding any change by death,
bankruptcy, retirement or otherwise.
Changes to Signatories
The Bank will not accept changes in Authorised Signatories unless
detailed on our appropriate Renewal Mandate form.
Closure of Account
The Bank will not accept notification of closure of this Account unless it
is authorised by the correct signatories as detailed on the valid Mandate
that is in existence at that point in time.
6 Declaration and Mandate
Applicant(s) to complete
page
9/15
Introduction
My personal data is data which by itself or with other data available to
you can be used to identify me. You are Cater Allen Private Bank, the data
controller. This data protection statement sets out how you’ll use my
personal data. I can contact your Data Protection Officer (DPO) at 201
Grafton Gate East, Milton Keynes, MK9 1AN if I have any questions.
Where there are two or more people named on this form, this data
protection statement applies to each person separately.
The types of personal data you collect and use
Whether or not I become a customer, you’ll use my personal data for
the reasons set out below and if I become a customer you’ll use it to
manage the account, policy or service I’ve applied for. You’ll collect most
of this directly during the application journey either from me or from
my Financial Adviser if I have one. The sources of personal data collected
indirectly are mentioned in this statement. The personal data you use
about me as a personal or business customer (if I am one) may include:
¡
Full name and personal details including contact information (e.g.
home and/or business address and address history, email address,
home, business and mobile telephone numbers);
¡
Date of birth and/or age (e.g. to make sure that I’m eligible to apply);
¡
Financial details (e.g. salary and details of other income, and details of
accounts held with other providers);
¡
Records of products and services I’ve obtained or applied for, how I
use them and the relevant technology used to access or manage them
(e.g. mobile phone location data, IP address, MAC address);
¡
Biometric data (e.g. fingerprints and voice recordings for TouchID and
voice recognition);
¡
Information from credit reference or fraud prevention agencies,
electoral roll, court records of debt judgements and bankruptcies and
other publicly available sources as well as information on any financial
associates I may have;
¡
Family, lifestyle or social circumstances if relevant to the product or
service (e.g. the number of dependants I have);
¡
Education and employment details/employment status for credit and
fraud prevention purposes; and
¡
Personal data about other named applicants. I must have their
authority to provide their personal data to you and share this data
protection statement with them beforehand together with details of
what I’ve agreed on their behalf.
Providing my personal data
You’ll tell me if providing some personal data is optional, including if
you ask for my consent to process it. In all other cases I must provide my
personal data so you can process my application (unless I’m a customer
and you already hold my details).
Monitoring of communications
Subject to applicable laws, you’ll monitor and record my calls, emails,
text messages, social media messages and other communications in
relation to my dealings with you. You’ll do this for regulatory compliance,
self-regulatory practices, crime prevention and detection, to protect the
security of your communications systems and procedures, to check for
obscene or profane content, for quality control and staff training, and
when you need to see a record of what’s been said. You may also monitor
activities on my account where necessary for these reasons and this is
justified by your legitimate interests or your legal obligations.
Using my personal data: the legal basis and purposes
You’ll process my personal data:
1. As necessary to perform your contract with me for the relevant
account, policy or service:
a) To take steps at my request prior to entering into it;
b) To decide whether to enter into it;
c) To manage and perform that contract;
d) To update your records; and
e) To trace my whereabouts to contact me about my account and
recovering debt.
2. As necessary for your own legitimate interests or those of other
persons and organisations, e.g.:
a) For good governance, accounting, and managing and auditing your
business operations;
b) To search at credit reference agencies at my home and/or business
address (if I am a business customer) if I’m over 18 and apply for
credit;
c) To monitor emails, calls, other communications, and activities on
my account;
d) For market research, analysis and developing statistics; and
e) To send me marketing communications, including automated
decision making relating to this.
3. As necessary to comply with a legal obligation, e.g.:
a) When I exercise my rights under data protection law and make
requests;
b) For compliance with legal and regulatory requirements and related
disclosures;
c) For establishment and defence of legal rights;
d) For activities relating to the prevention, detection and investigation
of crime;
e) To verify my identity, make credit, fraud prevention and anti-money
laundering checks; and
f) To monitor emails, calls, other communications, and activities on
my account.
4. Based on my consent, e.g.:
a) When I request you to disclose my personal data to other people or
organisations such as a company handling a claim on my behalf, or
otherwise agree to disclosures;
b) When you process any special categories of personal data about
me at my request (e.g. my racial or ethnic origin, political opinions,
religious or philosophical beliefs, trade union membership, genetic
data, biometric data, data concerning my health, sex life or sexual
orientation); and
c) To send me marketing communications where you’ve asked for my
consent to do so.
I’m free at any time to change my mind and withdraw my consent. The
consequence might be that you can’t do certain things for me.
Sharing of my personal data
Subject to applicable data protection law you may share my personal
data with:
¡
The Santander group of companies* and associated companies in
which you have shareholdings;
¡
Sub-contractors and other persons who help you provide your
products and services;
¡
Companies and other persons providing services to you;
¡
Your legal and other professional advisors, including your auditors;
¡
Fraud prevention agencies, credit reference agencies, and debt
collection agencies when you open my account and periodically during
my account or service management;
¡
Other organisations who use shared databases for income verification
and affordability checks and to manage/collect arrears;
¡
Government bodies and agencies in the UK and overseas (e.g. HMRC
who may in turn share it with relevant overseas tax authorities and
with regulators e.g. the Prudential Regulation Authority, the Financial
Conduct Authority, the Information Commissioner’s Office);
7 Data Protection Statement
Applicant(s) to complete
page
10/15
¡
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 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:
¡
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
I have ticked any box(es) I WOULD NOT like you to use:
Email
SMS
Phone
Post
Market research, including customer satisfaction surveys
All of the above
I understand that I may receive details of products and services from
other Santander group companies if I have agreed with them to receive
such information.
Applicant 2
I have ticked any box(es) I WOULD NOT like you to use:
Email
SMS
Phone
Post
Market research, including customer satisfaction surveys
All of the above
Applicant 3
I have ticked any box(es) I WOULD NOT like you to use:
Email
SMS
Phone
Post
Market research, including customer satisfaction surveys
All of the above
I understand that I may receive details of products and services from
other Santander group companies if I have agreed with them to receive
such information.
7 Data Protection Statement (continued)
Applicant(s) to complete
page
11/15
Applicant 4
I have ticked any box(es) I WOULD NOT like you to use:
Email
SMS
Phone
Post
Market research, including customer satisfaction surveys
All of the above
I understand that I may receive details of products and services from
other Santander group companies if I have agreed with them to receive
such information.
Automated decision making and processing
Automated decision making involves processing my personal data
without human intervention to evaluate my personal situation such as
my economic position, personal preferences, interests or behaviour, for
instance in relation to transactions on my accounts, my payments to other
providers, and triggers and events such as account opening anniversaries
and maturity dates. You may do this to decide what marketing
communications are suitable for me, to analyse statistics and assess
lending risks. All this activity is on the basis of your legitimate interests,
to protect your business, and to develop and improve your products and
services, except as follows; when you do automated decision making
including profiling activity to assess lending and insurance risks, this will be
performed on the basis of it being necessary to perform the contract with
me or to take steps to enter into that contract. Further details can be found
in the ‘Using My Personal Data’ booklet.
Other information about me as a business customer (if I am 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:
¡
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.
7 Data Protection Statement (continued)
Applicant(s) to complete
page
12/15
8 Authorised Signatories
Applicant(s) to complete
9 Authorisation
Applicant(s) to complete
Anyone who wishes to be able to transact on this account needs to be
identified as an Authorised Signatory below. 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”). By signing this
Application Form we agree that:
Full name
Position
Signature
Date
DD MM YYYY
Full name
Position
Signature
Date
DD MM YYYY
On all types of Power of Attorney account we require this Authorisation to be signed by all Beneficial Owners of the Account who are mentally capable.
By signing this Application Form I/we agree that:
¡
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.
¡
I/We have read the Data Protection Statement, and agree that you can use my/our information as stated in the Statement.
Full name
Position
BENEFICIAL OWNER
Signature
Date
DD MM YYYY
Full name
Position
BENEFICIAL OWNER
Signature
Date
DD MM YYYY
Full name
Position
Signature
Date
DD MM YYYY
Full name
Position
Signature
Date
DD MM YYYY
¡
We have read the Data Protection Statement, and agree that you can
use our information as stated in the Statement.
¡
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.
¡
Our personal information contained in section 2 of this Application is
true and correct.
page
13/15
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.
Please read the following sections and complete the tick box if required:
Specific document requirements for verification of Personal Representative/Executor Accounts
Please supply one of the following items:
a sealed original copy of the Grant of Probate or certified copy of the Grant of Probate (certified copies in accordance with Customer
Identification Requirements guidance for Certifiers) or
Letters of Administration
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 clients introduced by an FCA authorised and regulated financial adviser
My/our FCA authorised and regulated financial adviser has completed section 4 (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 which 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 ‘professional’, then we 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 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. 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 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.
Please note: Absence of any of the above required documents will result in delays to the opening of your account.
10 Required Documents
Applicant(s) to complete
page
14/15
This acceptance must be signed by all applicants:
¡
Personal Representative/Executor – the Personal Representative or Executor is required to sign
¡
Attorney – the Attorney is required to sign
¡
Receiver/Deputy – the Receiver or Deputy is required to sign
By signing this Application Form we agree that:
¡
I/We have completed all relevant sections of this application form
¡
I/We have read the Declaration and Mandate and Data Protection Statement, and agree that you can use our information as stated in the
statement.
¡
I/We have received and accept the Terms and Conditions of this account and agree to also be bound by any subsequent amendments advised to
me/us by the bank from time to time.
¡
I/We hereby certify that the information provided in this application form is, to the best of my knowledge and belief, accurate and complete in all respects.
¡
I/We confirm the validity of the Authorised Signatories included in section 8.
¡
Cater Allen Private Bank is duly authorised to operate the Account(s).
¡
I undertake to advise Cater Allen Private Bank within 30 days of any change in circumstances which affects my tax residency status or causes the
information contained herein to become incorrect
¡
I have received a copy of the FSCS Information Sheet and Exclusions List.
11 Acceptance
Applicant(s) to complete
Additional information
Applicant(s) to complete
Please use this space for any further information or requests pertaining to this application.
Signature of second person
Full name
Position
Signature
Date
D D
M M
Y Y Y Y
Signature of first person
Full name
Position
Signature
Date
D D
M M
Y Y Y Y
Signature of fourth person
Full name
Position
Signature
Date
D D
M M
Y Y Y Y
Signature of third person
Full name
Position
Signature
Date
D D
M M
Y Y Y Y
page
15/15
CAPB 0517 APR 20 H
Cater Allen Private Bank is able to provide literature in alternative formats. The formats available are: Large Print,
Braille and Audio CD. If you would like to register to receive correspondence in an alternative format please contact us
on 0800 092 3300. For the hard of hearing and/or speech impaired please use the Text Relay service. Further details can be
found at http://ngts.org.uk/
Cater Allen Private Bank is the name used for banking services provided by Cater Allen Limited. Registered Office: 2 Triton Square, Regent’s Place, London,
NW1 3AN. Registered in England and Wales number 383032. Authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and
Prudential Regulation Authority. Our Financial Services Register number is 178737. You can check this on the Financial Services Register by visiting the FCA’s website
www.fca.org.uk/register. Cater Allen Limited is part of the Santander group. Cater Allen and the flame logo are registered trademarks. Calls may be recorded or
monitored. Telephone 0800 0923300. www.caterallen.co.uk
For CAPB completion only
Marketing Code
CATER ALLEN, PART OF THE SANTANDER GROUP
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PERSONAL REPRESENTATIVES EXECUTORS, ATTORNEYS AND RECEIVERS (Cater Allen Private Bank)

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Completed 4 May 2021

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