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Registration

Please complete the online form below. We will then contact you to arrange provision of appropriate supporting documentation and complete account opening.

Open an Account

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11. APPLICANT
TYPE

22. ACCOUNT DETAILS

33. CHESS SPONSORSHIP

44. DIRECT DEBIT/CREDIT

55. TRADE CONFIRMATION

Type of Applicant*

Individual

Joint

Superannuation Fund

Trust

Company

Other

Registration Address:

Registration Address Line 2:

State:

Postcode:

Country:

A/C DESIGNATION:

(e.g. Trust Name, Super Fund Name. Not to be used for Individual Accounts)

How Many Joint Holders/Trustees or Directors

One

Two

Three

Trustee/ Superannuation Client

Applying as a Corporate, Individual or Joint Trustee

Corporate

Individual / Joint

How many Joint / Individuals are there?

One

Two

Three

Name of Trust:

ABN/ARSN:

If this is for the trust, it should be ABN and ARSN only. A trust cannot have an ACN or ARBN.

TFN:

Country of Establishment:

Business Name of the Trustee (If any):

Is the trust an Australian resident for tax purposes?

Yes

If no, please specify country of tax residence:

Type of Trust:

Registered managed investment scheme

Govt superannuation fund

Regulated Trust (e.g. SMSF)

Unregistered managed investment scheme*

Other

*only wholesale clients which does not make small scale offerings under section 1012E of the Corporations Act 2001 (Cth). If "other" then please specify eg/ Family, Unit, Charitable, Estate

Company / Corporate Client

Number of Directors?

One

Two

Three

Company Type

Public

Proprietary

Generally listed companies does NOT include the word Pty or proprietary. Only private companies name ends with Proprietary Ltd or Pty Ltd

Company Name:

ABN/ACN/ARBN:

Country of Incorporation:

Registered Office Address:

State:

Postcode:

Country:

Have a different Postal Address?

Yes

Postal Address:

State:

Postcode:

Country:

Shareholder Details

Please provide full name and residential address of each individual who owns, through one or more shareholdings, more than 25% of the issued capital of the Company

Number of Shareholders with 25% or more Ownership

None

One

Two

Three

SHAREHOLDER (#1)

Title

Name

Given names Surname

Residential Address:

State:

Postcode:

Country:

SHAREHOLDER (#2)

Title

Name

Given names Surname

Residential Address:

State:

Postcode:

Country:

SHAREHOLDER (#3)

Title

Name

Given names Surname

Residential Address:

State:

Postcode:

Country:

Individual Client / Director (#1)

Your name must match your ID exactly. Date of Birth is required as part of the AML Identification Requirements

Please Select one

Applicant / Trustee

Director

Title

Name

Given names Surname

Residential Address:

(Not PO Box)

Residential Address Line 2:

State:

Postcode:

Country:

Have a different Postal Address?

Yes

Postal Address:

State:

Postcode:

Country:

Mobile

Work Phone

Home Phone

Date of Birth

DD slash MM slash YYYY

Country of Birth

Occupation

Tax File Number

Individual Client / Director (#2)

Your name must match your ID exactly. Date of Birth is required as part of the AML Identification Requirements

Please Select one

Applicant / Trustee

Director

Title

Name

Given names Surname

Residential Address:

(Not PO Box)

Residential Address Line 2:

State:

Postcode:

Country:

Have a different Postal Address?

Yes

Postal Address:

State:

Postcode:

Country:

Mobile

Work Phone

Home Phone

Date of Birth

DD slash MM slash YYYY

Country of Birth

Occupation

Tax File Number

Individual Client / Director (#3)

Your name must match your ID exactly. Date of Birth is required as part of the AML Identification Requirements

Please Select one

Applicant / Trustee

Director

Title

Name

Given names Surname

Residential Address:

(Not PO Box)

Residential Address Line 2:

State:

Postcode:

Country:

Have a different Postal Address?

Yes

Postal Address:

State:

Postcode:

Country:

Mobile

Work Phone

Home Phone

Date of Birth

DD slash MM slash YYYY

Country of Birth

Occupation

Tax File Number

Appointee & Settlor Details - Unregulated Australian Trust

Appointee Details

Name

Given Names: Surname:

Address:

State

Postcode:

Country:

Settlor Details

The Settlor details are not required if the material asset contribution to the trust by the settlor at the time the trust is established is less than $10,000

Name

Given Names: Surname:

Address:

State

Postcode:

Country:

NOTE: FinEx (and its related bodies corporate and affiliates) only recognises the Trustee(s) as the investor and not the beneficiary. However, FinEx (and its related bodies corporate and affiliates) is also required to record the individual beneficiary details if you have ticked "Other" in the section "Type of Trust" above.

Beneficiary 1 (Name):

Date of Birth/ABN

ABN only applicable if Beneficiary is a Company

Beneficiary 2 (Name):

Date of Birth/ABN

ABN only applicable if Beneficiary is a Company

Beneficiary 3 (Name):

Date of Birth/ABN

ABN only applicable if Beneficiary is a Company

Are you a resident of Australia for tax purposes?

Yes

If no, please specify country of tax residence:

Chess Sponsorship / Settlement Details

Select one of the following options:

NEW CHESS SPONSORSHIP

TRANSFER YOUR EXISTING CHESS SPONSORSHIP FROM ANOTHER BROKER

ISSUER SPONSORED

By ticking this box, you appoint FinClear Execution Ltd to act as your agent to transfer your existing CHESS sponsored HIN to FinClear Execution Ltd.

By ticking this box, you appoint FinClear Execution Ltd (FinEx )to establish a new SPONSORED HIN and act as your CHESS sponsoring broker.

Name of existing Broker

PID:

HIN:

Account Name:

Designation:

Street Address:

State

Postcode:

Country:

If client is a Company, please tick the appropriate box:

Sole Director / Sole Secretary

Two or more directors – (two or more directors must sign)

Direct Debit / Credit Authority

For Direct Debits all bank account holders must sign this section.

A. Default/Nominated Bank Account

The Applicant authorises FinEx’s Third Party Clearer (FinClear Pty Ltd (FinClear)) to directly credit/debit the Nominated Bank Account

Please tick applicable box:

Credit

Debit

Both

Financial Institution Name:

Account Name:

BSB:

Account Number:

B. Non Default Bank Account

(only complete if required for Dividend purposes)

Financial Institution Name:

Account Name:

BSB:

Account Number:

C. Non Default Bank Account

(only complete if required for Dividend purposes)

Dividend bank account choice

I / we request that FinEx provide the Default / Nominated Bank Account (as specified in Section A above) to all share registers where available, for the purposes of dividends.

I/we request that FinEx provide the Non Default Bank Account (as specified in Section B above) to all share registries where available, for the purpose of dividends.

If client is a Company, please indicate which office held:

Sole Director / Sole Secretary

Two or more directors – (two or more directors must sign)

If you have elected to authorise FinEx’s Third Party Clearer to direct debit your Nominated Bank Account and by signing this Direct Debit / Credit Authority Form, you agree to be bound by the Third Party Clearer’s Direct Debit Terms and Conditions and the Direct Debit Request Service Agreement.

Trade Confirmations

Authorisation of the dispatch of Trade Confirmations (previously Contract Notes) via e-mail

By completing this section and providing an a-mail address for the despatch of Trade Confirmations you authorise Trade Confirmations to be dispatched electronically to you at:

Primary Email Address:

Additional Copies of Trade Confirmation:

FinEx will arrange for a copy of your Trade Confirmations to be sent to your FSP. If you would like additional copies to be sent to other parties, please provide the email address/es below:

Email Address 1:

Email Address 2:

Email Address 3:

Email Address 4:

Registration

Open an Account

Trustee/ Superannuation Client

Company / Corporate Client

Shareholder Details

SHAREHOLDER (#1)

SHAREHOLDER (#2)

SHAREHOLDER (#3)

Individual Client / Director (#1)

Individual Client / Director (#2)

Individual Client / Director (#3)

Appointee & Settlor Details - Unregulated Australian Trust

Appointee Details

Settlor Details

Chess Sponsorship / Settlement Details

Direct Debit / Credit Authority

A. Default/Nominated Bank Account

B. Non Default Bank Account

C. Non Default Bank Account

Trade Confirmations

Authorisation of the dispatch of Trade Confirmations (previously Contract Notes) via e-mail

Additional Copies of Trade Confirmation:

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