PENSION FUNDS APPLICATION FORM AND MANDATE

Transcription

1 PENSION FUNDS APPLICATION FORM AND MANDATE Please esure you visit to dowload the FSCS Iformatio Sheet ad Exclusios List before completig this applicatio form. You will be asked to ackowledge receipt of the Iformatio Sheet i the Acceptace sectio of this applicatio form. Please complete this form i BLOCK CAPITALS ad black ik ad retur it i the pre-paid evelope provided to: Cater Alle Private Bak, 9 Nelso Street, Bradford BD1 5AN. If you eed ay help completig this form, please call us o For actio by Professioal Adviser oly Sterlig Master Accout umber Sterlig Accout umber allocated Euro Master Accout umber Euro Accout umber allocated $ US Dollar Master Accout umber $ US Dollar Accout umber allocated If you or your Fiacial Adviser are ew to Cater Alle, please cotact the Cater Alle Sales Team o prior to submittig this applicatio. 1 Which accout(s) are you applyig for? Applicat(s) to complete Please let us kow the accout(s) you would like to ope, by tickig the relevat box. Tell us the amout you would like to deposit as a opeig balace, ad i which currecy. The decide whether you would like a chequebook ad/or payig-i book(s). Reserve Accout for Pesios 1 Postal deposit (miimum 5,000 or equivalet per currecy) Chequebook Payig-i Book Deposit Deposit Deposit $ Asset 30 Accout 1 (miimum 5,000) Deposit Term Deposit 2 (miimum 50,000) Deposit Please cofirm the legth of Term Deposit that you would like to ope below: 3 moths 6 moths 9 moths 12 moths 24 moths 36 moths 1 Persoal cheques should be made payable to the ame that you wish your ew Accout to be i. cash, postal orders or third party cheques accepted. 2 To ope a Term Deposit, you must sed your fuds to us via electroic trasfer we caot accept a cheque for the deposit amout. O approval of your applicatio to ope a Term Deposit, we will cotact you to cofirm the payig-i details ad process. 2 Source of fuds Applicat(s) to complete Is the moey from (please tick the appropriate box): a Registered Pesio Scheme a o-registered Pesio Scheme Other If Other please specify the source of the fuds Is this Pesio Scheme a Occupatioal Scheme for a large compay? Please cofirm the overall source of the iitial paymet/deposit. Please ote that i some circumstaces the Bak may be required to revert to you for corroboratio of this iformatio. Please cofirm the source of wealth (please tick all that apply). Please ote that i some circumstaces the Bak may be required to revert to you for corroboratio of this iformatio. Tradig Other If Other please state

2 3 Please tell us about your Pesio Scheme Applicat(s) to complete It is importat to ote that the Bak caot progress your applicatio uless all fields withi this sectio are completed. What ame would you like to be show o the ew Accout? This is the ame that will appear o chequebooks ad payig-i books I which coutry is the Pesio Scheme registered, if outside the UK? where applicable. There is room for a maximum of 22 characters per lie. Cotact ame Date your Scheme was set up D D M M Y Y Y Y Address for correspodece What positio does the cotact perso hold? Scheme registered address Telephoe Mobile page 2/16

3 4 Persoal details of Pesio Trustees, Authorised Sigatories, Scheme Admiistrators ad Scheme members of the Accout Applicat(s) to complete I order to esure that the Bak s iformatio is always up to date, ad to comply with Ati Moey Lauderig Regulatios, please complete the form below. I some circumstaces the Bak may ot be able to process this request without this iformatio. If this applicatio form does ot provide you with eough space for everyoe s persoal details, please photocopy this sectio of the form ad complete for each additioal perso the attach all relevat pages to this applicatio. For Corporate Trustees, the Bak will require a list of authorised sigatories o compay letterhead ad at least oe sigatory from that list must sig i this sectio. Please ote: Trustees, Scheme Admiistrators ad/or Scheme Members who are ot Authorised Sigatories o this Accout must also sig the acceptace sectio at the ed of this applicatio form. First applicat If you are a existig Cater Alle Cliet, please provide your Cater Alle accout umber Curret home address (permaet residetial address). This is the address to where your Persoal Access Code (PAC) will be posted. C/O ad PO Box addresses are ot acceptable. Existig customer New customer Authorised Sigatory Scheme member (if SIPP) Mr Mrs Ms Miss Other If Other please state Coutry of residece Foreame(s) How log have you bee at your curret home address? Middle ame(s) Surame Ay other ame you have bee, or are, kow by Years Telephoe Mobile Moths Natioality Previous home address if less tha three years at address show withi Curret home address field (if more tha oe address, please provide details of all other addresses o a separate sheet) Male Female Coutry of birth Do you have dual atioality? If please specify which coutry How log did you live at this address? Years Moths Are you a Trustee of the Scheme? page 3/16

4 4 Persoal details of Pesio Trustees, Authorised Sigatories, Scheme Admiistrators ad Scheme members of the Accout (cotiued) Applicat(s) to complete Secod applicat If you are a existig Cater Alle Cliet, please provide your Cater Alle accout umber Curret home address (permaet residetial address). This is the address to where your Persoal Access Code (PAC) will be posted. C/O ad PO Box addresses are ot acceptable. Existig customer New customer Authorised Sigatory Scheme member (if SIPP) Mr Mrs Ms Miss Other If Other please state Coutry of residece Foreame(s) How log have you bee at your curret home address? Middle ame(s) Surame Ay other ame you have bee, or are, kow by Years Telephoe Mobile Moths Natioality Previous home address if less tha three years at address show withi Curret home address field (if more tha oe address, please provide details of all other addresses o a separate sheet) Male Female Coutry of birth Do you have dual atioality? If please specify which coutry How log did you live at this address? Years Moths Are you a Trustee of the Scheme? page 4/16

5 4 Persoal details of Pesio Trustees, Authorised Sigatories, Scheme Admiistrators ad Scheme members of the Accout (cotiued) Applicat(s) to complete Third applicat If you are a existig Cater Alle Cliet, please provide your Cater Alle accout umber Curret home address (permaet residetial address). This is the address to where your Persoal Access Code (PAC) will be posted. C/O ad PO Box addresses are ot acceptable. Existig customer New customer Authorised Sigatory Scheme member (if SIPP) Mr Mrs Ms Miss Other If Other please state Coutry of residece Foreame(s) How log have you bee at your curret home address? Middle ame(s) Surame Ay other ame you have bee, or are, kow by Years Telephoe Mobile Moths Natioality Previous home address if less tha three years at address show withi Curret home address field (if more tha oe address, please provide details of all other addresses o a separate sheet) Male Female Coutry of birth Do you have dual atioality? If please specify which coutry How log did you live at this address? Years Moths Are you a Trustee of the Scheme? page 5/16

6 4 Persoal details of Pesio Trustees, Authorised Sigatories, Scheme Admiistrators ad Scheme members of the Accout (cotiued) Applicat(s) to complete Fourth applicat If you are a existig Cater Alle Cliet, please provide your Cater Alle accout umber Curret home address (permaet residetial address). This is the address to where your Persoal Access Code (PAC) will be posted. C/O ad PO Box addresses are ot acceptable. Existig customer New customer Authorised Sigatory Scheme member (if SIPP) Mr Mrs Ms Miss Other If Other please state Coutry of residece Foreame(s) How log have you bee at your curret home address? Middle ame(s) Surame Ay other ame you have bee, or are, kow by Years Telephoe Mobile Moths Natioality Previous home address if less tha three years at address show withi Curret home address field (if more tha oe address, please provide details of all other addresses o a separate sheet) Male Female Coutry of birth Do you have dual atioality? How log did you live at this address? If please specify which coutry Years Moths Are you a Trustee of the Scheme? 5 Itroducer details Applicat(s) to complete Have you bee itroduced to Cater Alle Private Bak by a Fiacial Adviser? Have you bee itroduced to Cater Alle Private Bak by a Pesio Admiistrator/Practitioer? If, please complete the details below. If, go to sectio 6. Name of compay Address Telephoe Name page 6/16

7 6 Applicatios for Trustee Bak Accouts for Small Self Admiistered Pesio Schemes oly Scheme Admiistrator/Practitioer, Pesio Provider or Fiacial Itermediary to complete All applicatios for Trustee Bak Accouts to be used i support of Small Self Admiistered Pesio Schemes are required to iclude a professioal co-sigatory i additio to that of the Scheme Member/s. The professioal co-sigatory must be a Scheme Admiistrator/Practitioer, Pesio Provider or Fiacial Itermediary associated o the accout ad must act (for the duratio of the Cater Alle relatioship) as either sole sigatory or joit sigatory alogside the Scheme Member. Please cofirm which of the followig relates to you: or: I am a idividual authorised ad regulated by the Fiacial Coduct Authority (FCA); I am employed by a firm that is uder the umbrella of a firm or associated compay that is authorised ad regulated by the FCA Address Telephoe Name Regulator referece umber or: I am employed by a firm of accoutats or solicitors who are preset withi the Istitute of Chartered Accoutats i Eglad ad Wales (ICAEW) or Law Society register Scheme admiistrator / practitioer sigature Full ame (icludig ay middle ames) page 7/16

8 7 Cofirmatio of Verificatio of Idetity (CVIC) FCA authorised ad regulated Fiacial Adviser to complete This sectio should oly be completed by FCA authorised ad regulated Fiacial Advisers if you do ot have a FCA authorised ad regulated Fiacial Adviser, please proceed to sectio 8. If you are a FCA authorised ad regulated Fiacial Adviser who has fully verified the idetities of your cliet(s) as listed i sectio 4 of this form, please read ad cofirm the followig details by completig ad sigig this sectio. Full ame of itroducig firm Regulator referece umber First applicat Full ame (icludig ay middle ames) Curret home address Secod applicat Full ame (icludig ay middle ames) Curret home address Third applicat Full ame (icludig ay middle ames) Curret home address Fourth applicat Full ame (icludig ay middle ames) Curret home address Cofirmatio I/We cofirm that: (a) the iformatio provided i this sectio was obtaied by me/us i relatio to the applicat; (b) the evidece I/we have obtaied to verify the idetity of the applicat(s) (tick oly oe): Meets the stadard evidece set out withi the guidace for the UK Fiacial Sector issued by the Joit Moey Lauderig Steerig Group ( JMLSG ); or Exceeds the stadard evidece (writte details of the further verificatio evidece take are attached to this cofirmatio) FCA authorised ad regulated Fiacial Adviser s Sigature Name Positio page 8/16

9 8 Declaratio ad Madate Applicat(s) to complete I/We beig all the Trustees of (please isert the full ame of the Scheme) ( The Scheme ) hereby apply to ope a pesio accout ( The Accout ) with Cater Alle Private Bak ( The Bak ) i accordace with the published Terms ad Coditios thereof ( the Coditios ) ad i accordace with the Madate below, which we ackowledge havig received ad to which we agree to be boud ad ay subsequet amedmets which the Bak may iform us of from time to time. I/We hereby certify that: (a) I/we are duly authorised by the Trust Deed of the Scheme to ope the Accout ad operate it as set out i this Madate. (b) I the evet of the death or icapacity of ay of the Trustees or Authorised Sigatories, the Bak is able to pay or deliver to the order of the survivors, all moey, securities, deeds or documets or ay other property which you hold for the credit of the remaiig Trustees joit Accout. The liability of as Scheme Admiistrator/Practitioer, Pesio Provider or Fiacial Itermediary for ay idebtedess arisig from time to time o the Accout(s) shall be limited to the Assets of the Scheme.* *Please leave blak i the evet that there is o Scheme Admiistrator/ Practitioer, Pesio Provider or Fiacial Itermediary o the Accout. Please act o the sigature(s) of the Authorised Sigatories i respect of cheques or other orders for paymet o the Accout, ad as authority for the sale, purchase, delivery or other dealigs with securities, bills, coupos, documets, boxes, packages ad their cotets ad other property at ay time held by you. I cosideratio of the Bak agreeig to operate the Accout i accordace with the Madate ad allowig the arragemets requested herei, I/We joitly ad severally agree to idemify the Bak from ad agaist all losses, claims, expeses, ad liabilities whatsoever which the Bak may sustai or icur or become resposible for i ay way as a result of: i) the Bak agreeig to allow the arragemets requested herei ad/or as a result of ay operatio of the Accout i accordace with this Madate which is foud to be i breach of the Trust Deed, ad/or ii) the Bak s permittig the operatio of the Accout otherwise tha upo the sigatories of all Trustee together (please see below, authorised Sigatories). We further agree that this Madate ad idemity is govered by the laws of Eglad ad I/We agree to submit to the exclusive jurisdictio of the Eglish courts. Authorised Sigatories All trasactios o this Accout must be siged by of the Trustees (Please eter the umber of Trustees to sig) All of the Trustees Idividual authorised ad regulated by the FCA, Employed by a firm that is authorised ad regulated by the FCA Accoutat or Solicitor who are registered o the ICEAW or Law Society register I additio to the above the Scheme Admiistrator/Practitioer Pesio Provider or Fiacial Itermediary must sig I/We, together with the Scheme Admiistrator/Practitioer cofirm that as Trustees ad Scheme Admiistrator/Practitioer of the Pesio Scheme we will esure that all trasactioal activity relatig to the Accout will comply with all legal, regulatory ad reportig requiremets to which we are subject i our positio as Trustees/Scheme Admiistrator/Practitioer of such Pesio Scheme. I/We hereby authorise the Bak to provide the Scheme s Auditors with such iformatio as they may request cocerig the Accout ad ay trasactios which may have take place via the Accout. I/We authorise Cater Alle Private Bak to disclose details of that Accout to my/our Fiacial Adviser, ad Scheme Admiistrator, as amed o this applicatio, or their successors i title. I/We ackowledge that my/our Fiacial Adviser may receive commissio from Cater Alle Limited i respect of the accout. The Bak is hereby authorised to comply with all withdrawal istructios give by facsimile, providig that such istructios are siged i accordace with the curret Madate to operate the Accout ad the Bak may act upo such istructios without the eed for further equiry. The Bak may act upo such istructios immediately ad without further equiry uless it has cause to be suspicious as the ature ad cotet of the request. Upo ay of the Trustees ceasig to be a Trustee of the Trust by death or otherwise, the Bak may i the absece of writte otice to the cotrary from us, treat the survivig or cotiuig Trustees for the time beig, as havig full power to carry o the purposes of the Accout Holder ad to deal with assets withi the Accout as freely as if there had bee o chage i the Trust. The above authority shall remai i force util the Bak receives writte otice of its revocatio, otwithstadig ay chage i the costitutio (or ame) of the Trust ad shall apply otwithstadig ay chage i the idetity of the Trustees by death, bakruptcy, retiremet or otherwise or the admissio of ay ew Trustee or Trustees. Chages to Sigatories The Bak will ot accept chages i Authorised Sigatories uless detailed o the Bak s appropriate Reewal Madate form. Closure of Accout The Bak will ot accept otificatio of closure of this Accout uless it is authorised by the correct sigatories as detailed o the valid Madate that is i existece at that poit i time. page 9/16

10 9 Data Protectio Statemet Applicat(s) to complete Itroductio My persoal data is data which by itself or with other data available to you ca be used to idetify me. You are Cater Alle Private Bak, the data cotroller. This data protectio statemet sets out how you ll use my persoal data. I ca cotact your Data Protectio Officer (DPO) at 201 Grafto Gate East, Milto Keyes, MK9 1AN if I have ay questios. Where there are two or more people amed o this form, this data protectio statemet applies to each perso separately. The types of persoal data you collect ad use Whether or ot I become a customer, you ll use my persoal data for the reasos set out below ad if I become a customer you ll use it to maage the accout, policy or service I ve applied for. You ll collect most of this directly durig the applicatio jourey either from me or from my Fiacial Adviser if I have oe. The sources of persoal data collected idirectly are metioed i this statemet. The persoal data you use about me as a persoal or busiess customer (if I am oe) may iclude: Full ame ad persoal details icludig cotact iformatio (e.g. home ad/or busiess address ad address history, address, home, busiess ad mobile telephoe umbers); Date of birth ad/or age (e.g. to make sure that I m eligible to apply); Fiacial details (e.g. salary ad details of other icome, ad details of accouts held with other providers); Records of products ad services I ve obtaied or applied for, how I use them ad the relevat techology used to access or maage them (e.g. mobile phoe locatio data, IP address, MAC address); Biometric data (e.g. figerprits ad voice recordigs for TouchID ad voice recogitio); Iformatio from credit referece or fraud prevetio agecies, electoral roll, court records of debt judgemets ad bakruptcies ad other publicly available sources as well as iformatio o ay fiacial associates I may have; Family, lifestyle or social circumstaces if relevat to the product or service (e.g. the umber of depedats I have); Educatio ad employmet details/employmet status for credit ad fraud prevetio purposes; ad Persoal data about other amed applicats. I must have their authority to provide their persoal data to you ad share this data protectio statemet with them beforehad together with details of what I ve agreed o their behalf. Providig my persoal data You ll tell me if providig some persoal data is optioal, icludig if you ask for my coset to process it. I all other cases I must provide my persoal data so you ca process my applicatio (uless I m a customer ad you already hold my details). Moitorig of commuicatios Subject to applicable laws, you ll moitor ad record my calls, s, text messages, social media messages ad other commuicatios i relatio to my dealigs with you. You ll do this for regulatory compliace, self-regulatory practices, crime prevetio ad detectio, to protect the security of your commuicatios systems ad procedures, to check for obscee or profae cotet, for quality cotrol ad staff traiig, ad whe you eed to see a record of what s bee said. You may also moitor activities o my accout where ecessary for these reasos ad this is justified by your legitimate iterests or your legal obligatios. Usig my persoal data: the legal basis ad purposes You ll process my persoal data: 1. As ecessary to perform your cotract with me for the relevat accout, policy or service: a) To take steps at my request prior to eterig ito it; b) To decide whether to eter ito it; c) To maage ad perform that cotract; d) To update your records; ad e) To trace my whereabouts to cotact me about my accout ad recoverig debt. 2. As ecessary for your ow legitimate iterests or those of other persos ad orgaisatios, e.g.: a) For good goverace, accoutig, ad maagig ad auditig your busiess operatios; b) To search at credit referece agecies at my home ad/or busiess address (if I am a busiess customer) if I m over 18 ad apply for credit; c) To moitor s, calls, other commuicatios, ad activities o my accout; d) For market research, aalysis ad developig statistics; ad e) To sed me marketig commuicatios, icludig automated decisio makig relatig to this. 3. As ecessary to comply with a legal obligatio, e.g.: a) Whe I exercise my rights uder data protectio law ad make requests; b) For compliace with legal ad regulatory requiremets ad related disclosures; c) For establishmet ad defece of legal rights; d) For activities relatig to the prevetio, detectio ad ivestigatio of crime; e) To verify my idetity, make credit, fraud prevetio ad ati-moey lauderig checks; ad f) To moitor s, calls, other commuicatios, ad activities o my accout. 4. Based o my coset, e.g.: a) Whe I request you to disclose my persoal data to other people or orgaisatios such as a compay hadlig a claim o my behalf, or otherwise agree to disclosures; b) Whe you process ay special categories of persoal data about me at my request (e.g. my racial or ethic origi, political opiios, religious or philosophical beliefs, trade uio membership, geetic data, biometric data, data cocerig my health, sex life or sexual orietatio); ad c) To sed me marketig commuicatios where you ve asked for my coset to do so. I m free at ay time to chage my mid ad withdraw my coset. The cosequece might be that you ca t do certai thigs for me. Sharig of my persoal data Subject to applicable data protectio law you may share my persoal data with: The Satader group of compaies* ad associated compaies i which you have shareholdigs; Sub-cotractors ad other persos who help you provide your products ad services; Compaies ad other persos providig services to you; Your legal ad other professioal advisors, icludig your auditors; Fraud prevetio agecies, credit referece agecies, ad debt collectio agecies whe you ope my accout ad periodically durig my accout or service maagemet; Other orgaisatios who use shared databases for icome verificatio ad affordability checks ad to maage/collect arrears; page 10/16

11 9 Data Protectio Statemet (cotiued) Applicat(s) to complete Govermet bodies ad agecies i the UK ad overseas (e.g. HMRC who may i tur share it with relevat overseas tax authorities ad with regulators e.g. the Prudetial Regulatio Authority, the Fiacial Coduct Authority, the Iformatio Commissioer s Office); Courts, to comply with legal requiremets, ad for the admiistratio of justice; I a emergecy or to otherwise protect my vital iterests; To protect the security or itegrity of your busiess operatios; To other parties coected with my accout e.g. guarators ad other people amed o the applicatio icludig joit accout holders who will see my trasactios; Whe you restructure or sell your busiess or its assets or have a merger or re-orgaisatio; Market research orgaisatios who help to improve your products or services; Paymet systems (e.g. Visa or MasterCard), if you issue cards liked to my accout, who may trasfer my persoal data to others as ecessary to operate my accout ad for regulatory purposes, to process trasactios, resolve disputes ad for statistical purposes, icludig sedig my persoal data overseas; ad Ayoe else where you have my coset or as required by law. Iteratioal trasfers My persoal data may be trasferred outside the UK ad the Europea Ecoomic Area. While some coutries have adequate protectios for persoal data uder applicable laws, i other coutries steps will be ecessary to esure appropriate safeguards apply to it. These iclude imposig cotractual obligatios of adequacy or requirig the recipiet to subscribe or be certified with a iteratioal framework of protectio. Further details ca be foud i the Usig My Persoal Data booklet. Idetity verificatio ad fraud prevetio checks The persoal data you ve collected from me at applicatio or at ay stage will be shared with fraud prevetio agecies who will use it to prevet fraud ad moey-lauderig ad to verify my idetity. If fraud is detected, I could be refused certai services, fiace or employmet i future. You may also search ad use your iteral records for these purposes. Further details o how my persoal data will be used by you ad these fraud prevetio agecies, ad my data protectio rights, ca be foud i the Usig My Persoal Data booklet. Credit referece checks (this does t apply the followig accouts: Asset 30 Accout, Sovereig 30 Accout ad Term Deposits) If I ve applied for a credit product the i order to process my applicatio, you ll perform credit ad idetity checks o me at my home ad/or busiess address (if I am a busiess customer) with oe or more credit referece agecies. To do this you ll supply my persoal data to the credit referece agecies ad they ll give you iformatio about me. Whe you carry out a search at the credit referece agecies they ll place a footprit o my credit file. A credit search may either be: a) a quotatio search where a soft footprit is left. This has o effect o my credit score, ad leders are uable to see this; or b) a hard footprit where I ve agreed/requested Cater Alle to proceed with my applicatio for credit. This footprit will be viewable by other leders ad may affect my ability to get credit elsewhere. You ll also cotiue to exchage iformatio about me with credit referece agecies while I have a relatioship with you. The credit referece agecies may i tur share my persoal iformatio with other orgaisatios. If I am a busiess customer, the persoal data shared with the credit referece agecies will relate to me ad my busiess. Details about my applicatio (whether or ot it s successful) will be recorded ad you ll give details of me, the busiess (where applicable) ad my accouts ad how I maage them to credit referece agecies. If I do ot repay ay debt i full or o time, they ll record the outstadig debt ad supply this iformatio to others performig similar checks, to trace my whereabouts ad to recover debts that I owe. Records remai o file for 6 years after they are closed, whether settled by me or defaulted. A fiacial associatio lik betwee joit applicats will be created at the credit referece agecies. This will lik our fiacial records ad be take ito accout i all future applicatios by either or both of us util either of us apply for a otice of disassociatio with the credit referece agecies. The idetities of the credit referece agecies, ad the ways i which they use ad share persoal iformatio is explaied i more detail i the Usig My Persoal Data booklet, or via the Credit Referece Agecy Iformatio tice (CRAIN) documet which ca be accessed via ay of the followig liks: experia.co.uk/crai equifax.co.uk/crai callcredit.co.uk/crai My marketig prefereces ad related searches You ll use my home address, phoe umbers, ad address ad social media (e.g. Facebook, Google ad message facilities i other platforms) to cotact me accordig to my prefereces. I ca chage my prefereces or usubscribe at ay time by cotactig you. I the case of social media messages I ca maage my social media prefereces via that social media platform. If I m over 18, you may search the files at credit referece agecies before sedig marketig commuicatios to me about credit. The credit referece agecies do t record this particular search or show it to other leders ad it wo t affect my credit ratig. You do this as part of your resposible ledig obligatios which is withi your legitimate iterests. From time to time you d like to cotact me about products, services ad offers that may iterest me or to get my opiio o how you are doig. I uderstad you wo t bombard me ad I ca choose to stop receivig iformatio at ay time by cotactig you. Applicat 1 I have ticked ay box(es) I WOULD NOT like you to use: , text, social media ad messagig services Phoe Post Market research, icludig customer satisfactio surveys All of the above I uderstad that I may receive details of products ad services from other Satader group compaies if I have agreed with them to receive such iformatio. Applicat 2 I have ticked ay box(es) I WOULD NOT like you to use: , text, social media ad messagig services Phoe Post Market research, icludig customer satisfactio surveys All of the above I uderstad that I may receive details of products ad services from other Satader group compaies if I have agreed with them to receive such iformatio. Applicat 3 I have ticked ay box(es) I WOULD NOT like you to use: , text, social media ad messagig services Phoe Post Market research, icludig customer satisfactio surveys All of the above I uderstad that I may receive details of products ad services from other Satader group compaies if I have agreed with them to receive such iformatio. page 11/16

12 9 Data Protectio Statemet (cotiued) Applicat(s) to complete Applicat 4 I have ticked ay box(es) I WOULD NOT like you to use: , text, social media ad messagig services Phoe Post Market research, icludig customer satisfactio surveys All of the above I uderstad that I may receive details of products ad services from other Satader group compaies if I have agreed with them to receive such iformatio. Automated decisio makig ad processig Automated decisio makig ivolves processig my persoal data without huma itervetio to evaluate my persoal situatio such as my ecoomic positio, persoal prefereces, iterests or behaviour, for istace i relatio to trasactios o my accouts, my paymets to other providers, ad triggers ad evets such as accout opeig aiversaries ad maturity dates. You may do this to decide what marketig commuicatios are suitable for me, to aalyse statistics ad assess ledig risks. All this activity is o the basis of your legitimate iterests, to protect your busiess, ad to develop ad improve your products ad services, except as follows; whe you do automated decisio makig icludig profilig activity to assess ledig ad isurace risks, this will be performed o the basis of it beig ecessary to perform the cotract with me or to take steps to eter ito that cotract. Further details ca be foud i the Usig My Persoal Data booklet. Other iformatio about me as a busiess customer (if I am oe) You may also hold all the iformatio I give to you (i.e. ame, address, date of birth, atioality) i order to udertake periodic due diligece checks which baks are required to udertake to comply with UK legislatio. Criteria used to determie retetio periods (whether or ot I become a customer) The followig criteria are used to determie data retetio periods for my persoal data: My rights uder applicable data protectio law My rights are as follows (otig that these rights do t apply i all circumstaces ad that data portability is oly relevat from May 2018): The right to be iformed about your processig of my persoal data; The right to have my persoal data corrected if it s iaccurate ad to have icomplete persoal data completed; The right to object to processig of my persoal data; The right to restrict processig of my persoal data; The right to have my persoal data erased (the right to be forgotte ); The right to request access to my persoal data ad iformatio about how you process it; The right to move, copy or trasfer my persoal data ( data portability ); ad Rights i relatio to automated decisio makig icludig profilig. I have the right to complai to the Iformatio Commissioer s Office. It has eforcemet powers ad ca ivestigate compliace with data protectio law: ico.org.uk. For more details o all the above I ca cotact your DPO or request the Usig My Persoal Data booklet by callig or I ca view it olie at cateralle.co.uk. Data aoymisatio ad aggregatio My persoal data may be coverted ito statistical or aggregated data which ca t be used to idetify me, the used to produce statistical research ad reports. This aggregated data may be shared ad used i all the ways described above. *Group compaies For more iformatio o the Satader group compaies, please see the Usig My Persoal Data booklet. Retetio i case of queries. You ll retai my persoal data as log as ecessary to deal with my queries (e.g. if my applicatio is usuccessful); Retetio i case of claims. You ll retai my persoal data for as log as I might legally brig claims agaist you; ad Retetio i accordace with legal ad regulatory requiremets. You ll retai my persoal data after my accout has bee closed or has otherwise come to a ed based o your legal ad regulatory requiremets. page 12/16

13 10 Authorised Sigatories Applicat(s) to complete Ayoe who wishes to be able to trasact o this accout eeds to be idetified below as a Authorised Sigatory. If you are ot idetified as a Authorised Sigatory, the Bak caot accept your sigature as authorisatio to carry out a trasactio, e.g. o a letter, o a cheque, o a faxed request, etc. Where Pesio Trustee(s) are the oly authorised sigatories I the evet that Pesio Trustee(s) are the oly required authorised sigatories required o the accout, please read the followig statemet ad cofirm your acceptace by sigig the sigature box ad the progressig to the ext sectio: The followig Authorised Sigatories wish to operate this accout ( The Accout ) with Cater Alle Private Bak ( The Bak ). By sigig this Applicatio Form we cofirm that: The Trustees have authority from the Idividual Scheme Members to allow Cater Alle to udertake appropriate olie refereces searches both ow ad at ay time i the future o the Scheme Members for the purpose of verifyig their idetity ad or their address. Cater Alle may also request from the Trustees documets cofirmig the Scheme Members idetity ad or address. The Trustees udertake to esure that Idividual Scheme Members are made aware of Cater Alle s requiremets to use their data i this respect. We have read the statemet above ad agree that the Bak ca use our iformatio as stated. We have received ad accept the Terms ad Coditios of this Accout ad agree to also be boud by ay subsequet amedmets advised to us by the Bak from time to time. Our persoal iformatio cotaied i the Persoal Details sectio of this Applicatio is true ad correct. For Corporate Trustees who will be sigig o this Accout, we will supply a list of authorised sigatories o compay letterhead ad at least oe sigatory from that list will be icluded withi this sectio. Sigature of Trustee Full ame Sigature of Trustee Full ame Positio Positio Sigature Sigature Where Pesio Trustees ad Idividual Scheme Members are the authorised sigatories The followig Authorised Sigatories wish to operate this accout ( The Accout ) with Cater Alle Private Bak ( The Bak ). By sigig this Applicatio Form we cofirm that: We have read the data protectio statemet ad agree that the Bak ca use our iformatio as stated. We have received ad accept the Terms ad Coditios of this accout ad agree to also be boud by ay subsequet amedmets advised to us by the Bak from time to time. Our persoal iformatio cotaied i the Persoal Details sectio of this Applicatio is true ad correct. For Corporate Trustees who will be sigig o this accout, we will supply a list of authorised sigatories o compay letterhead ad at least oe sigatory from that list will be icluded withi this sectio. Sigature of first Authorised Sigatory Full ame Sigature of secod Authorised Sigatory Full ame Positio Positio Sigature Sigature page 13/16

14 10 Authorised Sigatories (cotiued) Applicat(s) to complete Sigature of third Authorised Sigatory Full ame Sigature of fourth Authorised Sigatory Full ame Positio Positio Sigature Sigature 11 Scheme Admiistrator/Practitioer Scheme Admiistrator/Practitioer to complete I/We, the Scheme Admiistrator/Practitioer, verify that the above siged ames are the legitimate Trustees ad Authorised Sigatories i the amed Scheme ad that I/we will comply with my/our obligatios as set out i the Declaratio ad Madate (sectio 8) of this applicatio form. Full ame/ame of firm Positio/Capacity Address Sigature 12 Importat checklist Applicat(s) to complete Impersoatio checks/o face-to-face verificatio As a meas of verifyig idetity, electroic checks are udertake by the Bak o all applicats ad related parties icluded withi the Persoal details sectio. Specific supportig documets are required for submittig i cojuctio to these electroic checks. Additioal supportig documetatio may be requested upo completio of these electroic checks. Please read the followig sectios ad complete the tick box if required; Specific documets to be icluded with all applicatios Certified copy of the portio of the Trust Deed (ad ay deed of amedmet) showig the ame of scheme ad ames ad addresses of all Trustees. Ay relevat deed/s of removal ad/or appoitmet. For cliets itroduced by a FCA authorised ad regulated fiacial adviser My/our FCA authorised ad regulated fiacial adviser has completed sectio 7 (Cofirmatio of Verificatio of Idetity, CVIC ) to verify all parties to the Accout. If a CVIC is ot beig provided I/We have completed the separate Customer Idetificatio Requiremets Sheet (available via ad provided copies of the ecessary ID documets that have bee certified as a true copy of the origial by a professioal (Lawyer, Accoutat or tary) i the UK or a equivalet jurisdictio. Certificatio of these documets (via a sigature) must iclude the positio ad cotact details of the certifier. If these documets are ot certified by a professioal, the the Bak will be required to carry out additioal idetity checks. or if the documets are ot certified: I/We have completed the separate Customer Idetificatio Requiremets Sheet (available via ad provided copies of the ecessary ID documets. I/We have eclosed a persoal cheque writte from a accout i my/our ame with a bak i the UK or a equivalet jurisdictio for the total amout I/we wish to place o deposit ad made payable to the ame of the Accout. (Please ote this cheque caot be writte from a Cater Alle accout.) or: I/We ackowledge that a impersoatio check i the form of a letter will be set to each applicat s home address by the Bak ad that I/ we will complete the relevat sectio of this letter ad retur it to Cater Alle i order that the verificatio process ca be completed ad the Accout activated. Please ote that if this optio is take, the Accout will ot be activated util the siged letter is received by Cater Alle. Oce you have selected from the relevat optio above, please progress to the Acceptace sectio. Please ote: Absece of ay of the above required documets will result i delays to the opeig of your Accout. page 14/16

15 14 Acceptace Applicat(s) to complete All Trustees (icludig Corporate Trustees) must sig below. By sigig this applicatio form I/we agree that: I/We have completed all relevat sectios of this applicatio form. I/We have read the Declaratio ad Madate ad Data Protectio Statemet, ad agree that the Bak ca use my/our iformatio as stated i the Data Protectio Statemet. I/We have received ad accept the Terms ad Coditios of this Accout ad agree to also be boud by ay subsequet amedmets advised to me/us by the Bak from time to time. I/We hereby certify that the iformatio provided i this applicatio form is, to the best of my/our kowledge ad belief, accurate ad complete i all respects. Cater Alle Private Bak is duly authorised to operate the Accout. I have received a copy of the FSCS Iformatio Sheet ad Exclusios List. Sigature of first applicat Full ame Sigature of secod applicat Full ame Positio Positio Sigature Sigature Sigature of third applicat Full ame Sigature of fourth applicat Full ame Positio Positio Sigature Sigature Sigature(s) of Trustees ad/or Scheme Members who are ot Authorised Sigatories o the Accout. Sigature of first perso Full ame Sigature of secod perso Full ame Positio Positio Sigature Sigature page 15/16

16 Additioal iformatio Please use this space for ay further iformatio or requests pertaiig to this applicatio. For CAPB completio oly Marketig Code Cater Alle Private Bak is able to provide literature i alterative formats. The formats available are: Large Prit, Braille ad Audio CD. If you would like to register to receive correspodece i a alterative format please cotact us o For the hard of hearig ad/or speech impaired please use the Text Relay service. Further details ca be foud at Cater Alle Private Bak is the ame used for bakig services provided by Cater Alle Limited. Registered Office: 2 Trito Square, Reget s Place, Lodo, NW1 3AN. Registered i Eglad umber Authorised by the Prudetial Regulatio Authority ad regulated by the Fiacial Coduct Authority ad Prudetial Regulatio Authority. Our Fiacial Services Register umber is Cater Alle Limited is part of the Satader group. Cater Alle ad the flame logo are registered trademarks. Calls may be recorded or moitored. Telephoe CATER ALLEN, PART OF THE SANTANDER GROUP page 16/16 CAPB 0226 MAY 18 H