Fillable Unregulated Australian Trusts and Foreign Trusts (Australian National University)

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Unregulated Australian Trusts and Foreign Trusts (Australian National University)

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Unregulated Australian Trusts and
Foreign Trusts
Macquarie Bank Limited ABN 46 008 583 542
Guide to completing this form
• This form is for all Trusts that are not subject to the oversight of an Australian statutory regulator. Trusts that are subject to the oversight of an Australian
statutory regulator, including Self-Managed Superannuation Funds, should complete the Australian Regulated Trusts and Trustees identification form.
• Complete both section 1 and section 2.
• Provide details for ALL Trustees (section 1.4) and provide a separate ID form for ONE of the Trustees.
• Provide details for the Trust’s Beneficial Owners (section 1.5) and provide separate Individual identification forms for each of these Beneficial Owners.
• Complete all applicable sections of this form in BLOCK LETTERS.
• Provide details for all the Trust’s Foreign Controlling Persons (section 2.2) and provide separate Individual identification forms for each of these Foreign
ControllingPersons.
Acceptable ID documents – provide the following document to allow verification of the Trust:
• all documents must have been certified within the last 12 months, at the time of acceptance by us.
• an original or certified copy of the Trust deed or if not reasonably available an original or certified extract of the Trust deed.
macquarie.com.au
1.1 General information
Full name of Trust:
Full business name of the Trustee
in respect of the trust (if any):
Country where Trust established
(if not established in Australia):
Full name of Settlor(s)*
Trust business activity/purpose:
* The person(s) who settles the initial sum to create the Trust.
1.2 Type of Unregulated Trust (select ONE of the following types of Unregulated Trusts)
Family Trust Charitable Trust Testamentary Trust Unit Trust
Other type (provide description):
1.3 Beneficiaries details
Provide the names (1.3.1) and/or class(es) (1.3.2) of the Trust’s beneficiaries. Both the names and classes of beneficiaries must be provided
(ifthe Trust has both named and class(es) of beneficiaries).
1.3.1 Named Beneficiaries
The person(s) for whom a trust has been created and who will eventually receive the benefits of the trust.
Beneficiary 1 Beneficiary 2 Beneficiary 3
Full given/entity name(s)
Full given/entity name(s) Full given/entity name(s)
Surname Surname Surname
1.3.2 Class(es) of beneficiaries (eg unit holders, family members of named person, charitable organisations/causes)
Please cross this box if there are more Beneficiaries and provide details on a separate sheet.
1
Unregulated Trust identification procedure
Unregulated Australian Trusts and Foreign Trusts 2 of 6
1.4 Trustee details
The person(s) or company who holds or administers property or assets for the beneficiaries.
Provide the name and residential/business addresses of ALL of the Trustees below.
Complete a separate Customer identification form for ONE of these Trustees*.
Trustee 1 Trustee 2 Trustee 3
Full given name(s)/Company name
Full given name(s)/Company name Full given name(s)/Company name
Surname Surname Surname
Residential/Business address
(PO boxes not accepted)
Residential/Business address
(PO boxes not accepted)
Residential/Business address
(PO boxes not accepted)
Suburb Suburb Suburb
State Postcode
State Postcode
State Postcode
Country Country Country
Please cross this box if there are more Trustees and provide details on a separate sheet.
* A Customer ID form should be completed for ONE of the Trustees based on the nature of this Trustee. For example, an Individual Identification form should be
completed for a Trustee who is an individual or an Australian Company ID form for a Trustee that is an Australian Company.
1.5 Beneficial ownership
Provide the names of the individuals who directly or indirectly control** the Trust.
This may be confirmed to be the individual Trustee or a Beneficial Owner of the Corporate Trustee listed above, or any other individual
identified as having direct or indirect control of the Trust.
Complete separate Individual identification forms for each of these individuals (unless it has already been provided for this individual
as a Trustee or as the Beneficial Owner of a Corporate Trustee).
Beneficial Owner 1 Beneficial Owner 2 Beneficial Owner 3
Full given name(s)
Full given name(s) Full given name(s)
Surname Surname Surname
Role Role Role
Please cross this box if there are more Beneficial Owners and provide details on a separate sheet.
** Includes control by acting as Trustee; or by means of trusts, agreements, arrangements, understandings and practices; or exercising control through the capacity to
direct the Trustees; or the ability to appoint or remove the Trustees.
Unregulated Trust identification procedure (continued)
Unregulated Australian Trusts and Foreign Trusts 3 of 6
Collection of tax status in accordance with the United States Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS).
2.1 Tax status
Select ONE of the tax status boxes below (if the Trust is a Financial Institution, please provide all the requested information below)
Financial Institution (A custodial or depository institution, an investment entity or a specified insurance company for
FATCA/CRS purposes)
Provide the Trust’s Global Intermediary Identification Number (GIIN), if applicable:
If the Trust is a Financial Institution but does not have a GIIN, provide its FATCA status (select ONE of the following status)
Deemed Compliant Financial Institution Excepted Financial Institution Exempt Beneficial Owner
Non Reporting IGA Financial Institution
(If the Trust is a Trustee-Documented Trust, provide the Trustee’s GIIN):
Nonparticipating Financial Institution
US Financial Institution
Other (describe the Trust’s FATCA status in the box provided):
Please answer the question below for all Financial Institutions
Is the Financial Institution an Investment Entity located in a Non-Participating CRS Jurisdiction and managed by another
FinancialInstitution?
Yes u go to section 2.3 (Foreign Controlling Persons)
No u go to section 3 to complete the form
CRS Participating Jurisdictions are on the OECD website at http://www.oecd.org/tax/automatic-exchange/crs-implementation-
and-assistance/crs-by-jurisdiction
Australian Registered Charity or Deceased Estate
If the Trust is an Australian Registered Charity or Deceased Estate u go to section 3 to complete the form
A Foreign Charity or an Active Non-Financial Entity (NFE) (Active NFEs include entities where, during the previous reporting
period, less than 50% of their gross income was passive income (eg dividends, interests and royalties) and less than 50% of assets
held produced passive income. For other types of Active NFEs, refer to Section VIII in the Annexure of the OECD ‘Standard for
Automatic Exchange of Financial Account Information’ at www.oecd.org.)
If the Trust is a Foreign (non-Australian) Charity or an Active NFE u go to section 2.4 (Country of Tax Residency)
Other (Trusts that are not previously listed – Passive Non-Financial Entities))
u Go to section 2.2 (Trust Settlor Details)
2.2 Trust Settlor Details
Provide the name or registration number for the Trust Settlor (also known as Trust Grantor/Donor).
Full name:
OR
ACN or other registration number:
OR
The Unit Trust does not have a Settlor stated in the Trust Deed u go to section 2.3 (Foreign Controlling Persons)
Provide the Settlor’s address as listed in the Trust Deed. Where an address is not listed, please provide the Trust or
Trustee’saddress.
Address (PO Box is NOT acceptable):
2
Tax information
Unregulated Australian Trusts and Foreign Trusts 4 of 6
Tax information (continued)
Please answer both tax residency questions:
Residency rules differ by country. Whether an individual is tax resident of a particular country is often (but not always) based on the amount
of time a person spends in a country, the location of a person’s residence or place of work. For the US, tax residency can be as a result of
citizenship or residency.
Is the Settlor a tax resident of Australia?
Yes No
Is the Settlor a tax resident of another Country?
If the settlor is deceased, and to the best of your knowledge the settlor is not a foreign tax resident,
OR the settlor has no connection to the trust (other than the original settlement that created the trust), and to the best of your knowledge the
settlor is not a foreign tax resident,
THEN select ‘No’ below.
Yes No u go to section 2.3 (Foreign Controlling Persons)
If the Settlor is a tax resident of a country other than Australia, please provide the date of birth, and tax identification number (TIN)
or equivalent below. If the Trust Settlor is a tax resident of more than one other country, please list all relevant countries below.
A TIN is the number assigned by each country for the purposes of administering tax laws. This is the equivalent of a Tax File Number in Australia
or a Social Security Number in the US. If a TIN is not provided, please list one of the three reasons specified (A, B or C) for not providing a TIN.
Date of Birth:
/ /
Country 1 Country 2 Country 3
Country
Country Country
TIN (if no TIN, list reason A, B or C) TIN (if no TIN, list reason A, B or C) TIN (if no TIN, list reason A, B or C)
Reason A: The country of tax residency does not issue TINs to tax residents
Reason B: The individual has not been issued with a TIN
Reason C: The country of tax residency does not require the TIN to be disclosed
If the Settlor of the trust is an entity, please fill in a Foreign Tax Status Declaration Form – Entities located on the
website macquarie.com.au/assets/bfs/documents/investing/identification/tax-status-dec-entity.pdf
u Go to section 2.3 (Foreign Controlling Persons)
2.3 Foreign Controlling Persons (Individuals)
Are any of the Trust’s Beneficial Owners or Controlling Persons* tax residents of countries other than Australia?
Yes
No
If the Trustee is a company, are any of this company’s Beneficial Owners or Controlling Persons tax residents
of countries other than Australia?
Yes
No
If Yes to either of the two questions above, please provide the details of these individuals below and complete a separate Individual
identification form for each Controlling Person (unless already provided as a Beneficial Owner).
Tax Residency rules differ by country. Whether an individual is tax resident of a particular country is often (but not always) based on the
amount of time a person spends in a country, the location of a person’s residence or place of work. For the US, tax residency can be as a
result of citizenship or residency.
Controlling Person 1 Controlling Person 2 Controlling Person 3
Full given name(s)
Full given name(s) Full given name(s)
Surname Surname Surname
Role (eg Trustee or Beneficiary etc)* Role (eg Trustee or Beneficiary etc)* Role (eg Trustee or Beneficiary etc)*
Please cross this box if there are more Controlling Persons and provide details on a separate sheet.
u Go to section 2.4
* A Controlling Person is any individual who directly or indirectly exercises control over the Trust. For a Trust, this includes all Trustees, Settlors, Protectors or
Beneficiaries. For a Trustee company this includes any beneficial owners controlling more than 25% of the shares in the company or Senior Managing Officials.
Unregulated Australian Trusts and Foreign Trusts 5 of 6
2.4 Country of tax residency
Is the Trust a tax resident of a country other than Australia?
No u go to section 3 to complete the form
Yes, please provide the Trust’s country of tax residence and tax identification number (TIN) or equivalent below. If the Trust is a tax
resident of more than one other country, please list all relevant countries below.
A TIN is the number assigned by each country for the purposes of administering tax laws. This is the equivalent of a Tax File Number in
Australia or a Employee Identification Number in the US. If a TIN is not provided, please list one of the three reasons specified (A, B or C)
for not providing a TIN.
Please note a US TIN must be provided if the entity is a US Specified Person. This is a mandatory requirement and a TIN exemption
reason will no longer be accepted. The account cannot be opened without a US TIN.
Country 1 Country 2 Country 3
Country
Country Country
TIN (if no TIN, list reason A, B or C) TIN (if no TIN, list reason A, B or C) TIN (if no TIN, list reason A, B or C)
Reason A: The country of tax residency does not issue TINs to tax residents
Reason B: The Trust has not been issued with a TIN
Reason C: The country of tax residency does not require the TIN to be disclosed
Please cross this box if there are more countries, provide details on a separate sheet.
Copies of the required identification must be certified and confirmed
on the document as a true copy of an original document by one of the
following persons:
1. a person who is enrolled on the roll of the Supreme Court of
a State or Territory, or the High Court of Australia, as a legal
practitioner (however described)
2. a judge of a court
3. a magistrate
4. a chief executive officer of a Commonwealth court
5. a registrar or deputy registrar of a court
6. a Justice of the Peace
7. a notary public (for the purposes of the Statutory Declaration
Regulations 1993)
8. a police officer
9. an agent of the Australian Postal Corporation who is in charge of
an office supplying postal services to the public
10. a permanent employee of the Australian Postal Corporation with
two or more years of continuous service who is employed in an
office supplying postal services to the public
11. an Australian consular officer or an Australian diplomatic officer
(within the meaning of the Consular Fees Act 1955)
12. an officer with two or more continuous years of service with one
or more financial institutions (for the purposes of the Statutory
Declaration Regulations 1993)
13. a finance company officer with two or more continuous years of
service with one or more finance companies (for the purposes of
the Statutory Declaration Regulations 1993)
14. an officer with, or authorised representative of, a holder of
an Australian financial services licence, having two or more
continuous years of service with one or more licensees, or
15. a member of the Institute of Chartered Accountants in Australia,
CPA Australia or the National Institute of Accountants with two or
more years of continuous membership.
3
Tax information (continued)
Certification of identification documents
Unregulated Australian Trusts and Foreign Trusts 6 of 6
MAS090 08/21
4
Trustee declaration
The Declaration must be signed by all Trustees necessary to sign for the trust, or their Adviser.
Client declaration
By completing and signing this form that forms part of my application
for the Macquarie account* or that is provided by me/us in relation to
my/our existing Macquarie account* I/we declare that:
• the information provided by me/us in this form to enable the
relevant member of the Macquarie Group of companies (Macquarie)
to comply with the US Foreign Account Tax Compliance Act and
Common Reporting Standards, its supporting regulations and
anyrelated laws designed to implement those laws in Australia
(FATCA/CRS) is correct and where relevant reflects my/our tax
status for the purposes of FATCA/CRS.
• I/we will promptly notify Macquarie and provide Macquarie with
any changes to the information provided by me/us in connection
with FATCA/CRS and on request with any further information
which is necessary or desirable for Macquarie to comply with any
obligations it may have in connection with FATCA/CRS.
Client signature 1
Date:
/ /
Name:
If a company officer, your corporate title:
Client signature 2
Date:
/ /
Name:
If a company officer, your corporate title:
Client signature 3
Date:
/ /
Name:
If a company officer, your corporate title:
OR Adviser declaration
By completing and signing this declaration I certify that an authorised
representative of the entity or the individual(s) have verbally or in
writing confirmed to me the truth of the information provided to me
and I have no reason to doubt its reasonableness.
AFS Licensee name
AFSL number:
Representative/Employee name
Phone number:
Signature
Date:
/ /
* References to “Macquarie account” is a reference to any account or financial product offered by the relevant member of the Macquarie Group of companies,
including but not limited to Macquarie Bank Limited ABN 46 008 583 542, Macquarie Investment Management Limited ABN 66 002 867 003 and Macquarie
Equities Limited ABN 41 002 574 923.
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Completed 9 October 2021

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