1. business and industrial

Company Account Application Form
HOW TO BECOME A CLIENT
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Read the list of
requirements
below.
Fill out your details
in the application
form.
Sign the
application form.
Complete the
checklist and
obtain supporting
documentation.
Send your application
form and supporting
documentation
to ANZ Securities.
COMPANY APPLICANT – LIST OF REQUIREMENTS
Please provide the following supporting documentation:
Certificate of incorporation – A copy of the Company’s Certificate of Incorporation.
Photo identification – A certified copy of any one of the following in the full name of each Director who has signed this application form and/or
has been authorised to trade and for any Authorised Representatives:
•Passport;
•
New Zealand Firearms Licence;
•
New Zealand Driver’s Licence AND bank-generated statement; or
•
Another combination of identification as agreed to by ANZ Securities.
Proof of Residential Address – An original or a certified copy of any one of the following in the full name of each Account Holder and for any
Authorised Representatives:
•
Bank statement (as delivered by mail, not via internet banking);
•
Utility or Rates bill;
•
IRD tax notice/certificate;
•
Insurance policy document; or
•
Another combination of identification as agreed to by ANZ Securities.
Proof of Bank Account – An original or a certified copy of any one of the following in the name of the Company:
•
Bank statement (as delivered by mail, not via internet banking);
•
A bank-generated deposit slip; or
•
A cheque.
Supplement form – the appropriate Supplement form for any Directors or Beneficial Owners who are an Entity
CERTIFICATION OF SUPPORTING DOCUMENTATION
Certified documents must be signed and include the name of the certifier, their occupation and the date. The certifier must be at least 16 years of age
and cannot be related to the person, the spouse or partner of the person or living at the same address as the person.
The document being certified and the signature of the certifier must not be dated more than three months before the date this application form is signed.
We must receive the original signature on the certification; we cannot accept a photocopy of the certification and the signature.
Acceptable certifiers are:
•
ANZ employee;
•
Justice of the Peace;
•
Lawyer (must be from a Financial Action Task Force (FATF) member country (including NZ);
•
Chartered Accountant (must be member of Chartered Accountants Australia and New Zealand);
•
A sworn employee of the NZ Police who holds the office of constable (any rank);
•
Notary Public;
•
New Zealand Honorary Consul;
•
Member of Parliament; or
•
Commonwealth representative; includes Ambassador, High Commissioner, Commissioner, Minister, Counsellor, Charge d’Affaires, Head of Mission,
Consular Officer, Pro-Consul, Trade Commission or Tourist Commissioner of a Commonwealth country.
Company Account Application Form
FOR OFFICE USE ONLY
Authorised by
Account number
2 0
Signature
Account type
SECTION 1. COMPANY DETAILS
COMPULSORY
Company Name
Country of Establishment Company Number COMPULSORY
Country of Primary Place of Business COMPULSORY
COMPULSORY
If the Country of Establishment or Country of Place of Primary Business is not New Zealand, refer to the “FAQS” page on the ANZ Securities website for
further instructions.
SECTION 2. TAX DETAILS
Your answers to the following questions will assist us to accurately and appropriately classify your company’s financial status.
Therefore, it would be beneficial to seek assistance from your accountant or tax advisor as you work through each question.
Industry/Activity Description COMPULSORY
Example: retail, manufacturing, dairy, building, transport, property, investment.
IRD Number COMPULSORY
Business Industry Classification (BIC) code COMPULSORY
Your BIC can be found on your most recent tax return.
Question 1
Select your company’s PRIMARY source of income.
Interest, dividends, coupons from investment in financial assets
Service fees or commissions
Rent from letting property
Sales proceeds from goods provided
Royalties from patents, copyrights etc
Other – please specify
Donations Question 2
Is your company EXEMPT from New Zealand Resident Withholding Tax?
Yes
No
RWT exemption and applicable RWT rates are described on the IRD website.
If No
RWT rate: If Yes
Effective Date of Exemption: COMPULSORY
%
COMPULSORY
Please supply a copy of your Certificate of Exemption.
Question 3
In order to answer Question 3, please obtain the “Financial Institution Worksheet” from the “Download Forms” page on the ANZ Securities website.
When you completed the “Financial Institution Worksheet”, did it indicate that your Company is a Financial Institution?
If No
Proceed to Question 4a
If Yes
Proceed to Question 3a
Question 3a
Does your Financial Institution have a Global Intermediary Identification Number (GIIN)? GIIN may be obtained through a registration process with the IRS - please refer to the IRS website.
You can also refer to the “Registration Guidance Notes” on the IRD website.
If No
Proceed to Question 3b
If Yes
Please supply your Financial Institution’s GIIN here: After providing the details above, proceed to Section 3. Directors.
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Yes
No
Yes
No
Company Account Application Form (cont)
Question 3b
Has another financial institution agreed to sponsor or document your financial institution?
If No
Proceed to Question 4a
If Yes
Financial Institution’s Name
Financial Institution’s Country of Establishment Financial Institution’s GIIN (if available) After providing the details above, proceed to Section 3. Directors
Question 4a
In your last financial year, did 50% or more of your company’s gross income come from
investments that yield interest, dividends, coupons, rent or royalties?
Yes
No
Yes
No
Yes
No
For a new company, you will need to estimate this based on the current financial year to date.
Question 4b
In your last financial year, were 50% or more of your company’s assets held for the
production of interest, dividends, coupons, rent or royalties?
For a new company, you will need to estimate this based on the current financial year to date.
If you have answered “No” to Question 4a and Question 4b, proceed to Section 3. Directors
If you have answered “Yes” to either Question 4a or Question 4b, proceed to Question 5.
Question 5
Are any of the parties associated with your company (such as those identified later in this application
form) US Citizens or Tax Residents (for associated individuals) or established in the US (for associated entities)?
Yes
No
Refer to the “FAQs” page on the ANZ Share and Bond Trading website for further instructions.
If No
Proceed to Section 3. Directors
If Yes
As part of this application, you must complete and provide a W-8-BEN-E for your company.
SECTION 3. COMPANY DIRECTORS
List all Directors below and complete Section 6 for each Director.
Please make extra copies of this page and attach them to your application if there are more than four Directors.
Please ensure you also complete Section 4 for any Beneficial Owners who have a shareholding of 25% or more.
Name of Director
Name of Director
Complete tick boxes below and Section 6.
Complete tick boxes below and Section 6.
Tick if this Director is the primary contact (only one person can
be the primary contact)
Tick if this Director is the primary contact (only one person can
be the primary contact)
Tick if this Director is authorised to trade on behalf of the Company
Tick if this Director is authorised to trade on behalf of the Company
Tick if this Director will receive contract notes by email
Tick if this Director will receive contract notes by email
Tick if this Director holds a shareholding of 25% or more.
Tick if this Director holds a shareholding of 25% or more.
Name of Director
Name of Director
Complete tick boxes below and Section 6.
Complete tick boxes below and Section 6.
Tick if this Director is the primary contact (only one person can
be the primary contact)
Tick if this Director is the primary contact (only one person can
be the primary contact)
Tick if this Director is authorised to trade on behalf of the Company
Tick if this Director is authorised to trade on behalf of the Company
Tick if this Director will receive contract notes by email
Tick if this Director will receive contract notes by email
Tick if this Director holds a shareholding of 25% or more.
Tick if this Director holds a shareholding of 25% or more.
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Company Account Application Form (cont)
SECTION 4. BENEFICIAL OWNERS
For anti-money laundering regulations we need to establish the individuals who have a controlling interest in the Company applying for this account.
List all Beneficial Owners who have a 25% or more shareholding, and complete either Section 6 or the appropriate supplement form for each
Beneficial Owner.
You do not need to repeat this Section if the Beneficial Owner is also a Director-Shareholder.
Name of Beneficial Owner
Name of Beneficial Owner
If the Beneficial Owner is an individual person, complete
Section 6.
I f the Beneficial Owner is an individual person, complete
Section 6.
If the Beneficial Owner is an Entity, download and print the
appropriate supplement form from the “Download Forms”
page on the ANZ Securities website.
If
the Beneficial Owner is an Entity, download and print the
appropriate supplement form from the “Download Forms”
page on the ANZ Securities website.
Name of Beneficial Owner
Name of Beneficial Owner
If the Beneficial Owner is an individual person, complete
Section 6.
I f the Beneficial Owner is an individual person, complete
Section 6.
If the Beneficial Owner is an Entity, download and print the
appropriate supplement form from the “Download Forms”
page on the ANZ Securities website.
If
the Beneficial Owner is an Entity, download and print the
appropriate supplement form from the “Download Forms”
page on the ANZ Securities website.
SECTION 5. ADDRESS DETAILS
Residential address for company
COMPULSORY
Postcode
Postal address for company
Country
Tick if your postal address is the same as your residential address.
COMPULSORY
Postcode
Country
Correspondence address for company
All correspondence from the share registries about your shareholdings will be sent to your Correspondence address. All shareholdings will be registered
to the address you select below.
The correspondence address is the same as the:
Registered Address
Postal Address
It is important that you keep your address details up-to-date with ANZ Securities and the applicable share registries. If a discrepancy is noted,
ANZ Securities is obliged to withhold the distribution of proceeds from the sale of securities.
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Company Account Application Form (cont)
SECTION 6. ASSOCIATED INDIVIDUALS
Complete Section 6 for any Directors and/or Beneficial Owners who are individuals.
Please make extra copies of this page and attach them to your application if there are more than four Directors and/or Beneficial Owners.
FIRST INDIVIDUAL PERSON
SECOND INDIVIDUAL PERSON
Tick to specify the role(s) of the individual named below.
Tick to specify the role(s) of the individual named below.
Director
Please tick:
Beneficial Owner with 25% or more shareholding
Mr
Mrs
Ms
Other
Beneficial Owner with 25% or more shareholding
Please tick:
First Name
First Name
Middle Name(s)
Middle Name(s)
Surname
Surname
Date of Birth COMPULSORY
Date of Birth COMPULSORY
Miss
Director
Country of Birth COMPULSORY
Mr
Mrs
Miss
Ms
Other
Country of Birth COMPULSORY
Phone (business)
Phone (home)
Phone (business)
Phone (home)
Mobile
Fax
Mobile
Fax
Email
Residential address Town/City
Occupation
Email
Residential address COMPULSORY
Town/City
Postcode
Occupation
COMPULSORY
COMPULSORY
Postcode
COMPULSORY
Provide Photo Identification for the individual as per the final checklist.
Provide Photo Identification for the individual as per the final checklist.
Provide Proof of Residential address for the individual as per the final checklist.
Provide Proof of Residential address for the individual as per the final checklist.
Is the individual named above a US resident for tax purposes? (Compulsory)
Is the individual named above a US resident for tax purposes? (Compulsory)
No
Yes – refer to the “FAQs” page on the ANZ Securities website
No
Is the individual named above a US citizen? (Compulsory)
No
Yes – refer to the “FAQs” page on the ANZ Securities website
Is the individual named above a US citizen? (Compulsory)
Yes – refer to the “FAQs” page on the ANZ Securities website
No
Yes – refer to the “FAQs” page on the ANZ Securities website
THIRD INDIVIDUAL PERSON
FOURTH INDIVIDUAL PERSON
Tick to specify the role(s) of the individual named below.
Tick to specify the role(s) of the individual named below.
Director
Please tick:
Beneficial Owner with 25% or more shareholding
Mr
Mrs
Ms
Other
Beneficial Owner with 25% or more shareholding
Please tick:
First Name
First Name
Middle Name(s)
Middle Name(s)
Surname
Surname
Date of Birth COMPULSORY
Date of Birth COMPULSORY
Miss
Director
Country of Birth COMPULSORY
Mr
Mrs
Miss
Ms
Other
Country of Birth COMPULSORY
Phone (business)
Phone (home)
Phone (business)
Phone (home)
Mobile
Fax
Mobile
Fax
Email
Residential address Town/City
Occupation
Email
Residential address Town/City
Occupation
COMPULSORY
Postcode
COMPULSORY
COMPULSORY
Postcode
COMPULSORY
Provide Photo Identification for the individual as per the final checklist.
Provide Photo Identification for the individual as per the final checklist.
Provide Proof of Residential address for the individual as per the final checklist.
Provide Proof of Residential address for the individual as per the final checklist.
Is the individual named above a US resident for tax purposes? (Compulsory)
Is the individual named above a US resident for tax purposes? (Compulsory)
No
Yes – refer to the “FAQs” page on the ANZ Securities website
No
Is the individual named above a US citizen? (Compulsory)
No
Yes – refer to the “FAQs” page on the ANZ Securities website
Is the individual named above a US citizen? (Compulsory)
Yes – refer to the “FAQs” page on the ANZ Securities website
No
5
Yes – refer to the “FAQs” page on the ANZ Securities website
Company Account Application Form (cont)
SECTION 7. BANK ACCOUNT DETAILS
Please provide the details of your bank account below. The bank account must be in the name of the Company.
Account Type
New Zealand Domestic
Australian Domestic (account held by an Australian bank, located in Australia)
Bank
Branch
Bank Account Name COMPULSORY
Bank Account Number COMPULSORY
If the Company does not have an Online Multi-Currency Account all $NZ sale proceeds and distributions will be credited to the bank account
nominated above.
If the Company has opened an Online Multi-Currency Account all sale proceeds and distributions will be credited to the ANZ Securities Call Account
or Online Multi-Currency Account (as applicable) by default.
To open an Online Multi-Currency Account, you can download an application from the ANZ Securities website or request for one to be posted
to you by calling 0800 805 777.
SECTION 8. FINANCIAL DETAILS
The information you provide will give us an insight into your financial profile.
What are the types of financial assets that you are likely to invest in? (compulsory)
Shares in NZ, AU, US or UK
New Issues
Fixed Interest securities (bond, notes, preference shares etc)
Unknown
How often do you intend to place buy/sell orders? (compulsory)
Once
Weekly Annually Daily
Monthly
Unknown
How much do you intend to spend per trade? (compulsory)
$0 - $2,500 $5,000 - $20,000 Over $50,000
$2,500 - $5,000
$20,000 - $50,000
Unknown
SECTION 9. SECURITY QUESTIONS
When contacting ANZ Securities You may be asked to verify your identity by correctly answering one or more security questions.
Suggested questions include: What is my Mother’s maiden name? What town was I born in? What was the name of my first pet? What was the model
of my first car? What was the name of my first school? Where did I go on my honeymoon?
Question Answer Question Answer Question Answer SECTION 10. YOUR NEW ZEALAND SHAREHOLDINGS
Trading in New Zealand (NZX)
To submit orders into the markets provided by NZX, your security holdings must be registered to a Common Shareholder Number (CSN).
CSNs are nine digits long, begin with the number 3 and must be in the full, legal name of the entity who owns the shares. If you do not have
a CSN, we will allocate one for you.
If you already have a CSN, please write it here If you have any existing share holdings which are not under a CSN, or if your existing registration details differ from your full legal name and
registration address, please contact ANZ Securities for guidance.
6
Company Account Application Form (cont)
SECTION 11. AUTHORISED REPRESENTATIVES
Any Authorised Representatives on your account are to be listed here.
Authorised Representatives are non-Account Holders authorised by you to trade on this account on on your behalf. Authorised Representatives
are not authorised to make changes to your account details.
ANZ Securities will accept trading instructions from any Authorised Representative or Account Holder without reference to the other Account
Holders, unless the Account Holders provide instructions to the contrary. Authorised Representatives should sign on next page – they do not need
to sign Section 12.
FIRST CONTACT
Please tick:
Mr
Mrs
Miss
SECOND CONTACT
Ms
Other
Please tick:
Mr
First Name
First Name
Middle Name(s)
Middle Name(s)
Surname
Surname
Mrs
Miss
Ms
Date of Birth COMPULSORY
Date of Birth COMPULSORY
Country of Birth
COMPULSORY
Country of Birth
COMPULSORY
Residential address
COMPULSORY
Residential address
COMPULSORY
Suburb
Suburb
Other
Town/City
Postcode
Town/City
Postcode
Phone (business)
Phone (home)
Phone (business)
Phone (home)
Email
Email
Occupation
COMPULSORY
Occupation
COMPULSORY
Employer
COMPULSORY
Employer
COMPULSORY
Relationship to applicant
Relationship to applicant
Is the individual named above a US resident for tax purposes? (Compulsory)
No
Is the individual named above a US resident for tax purposes? (Compulsory)
Yes – refer to the “FAQs” page on the ANZ Securities website
No
Is the individual named above a US citizen? (Compulsory)
No
Yes – refer to the “FAQs” page on the ANZ Securities website
Is the individual named above a US citizen? (Compulsory)
Yes – refer to the “FAQs” page on the ANZ Securities website
No
Yes – refer to the “FAQs” page on the ANZ Securities website
If the answer to one or both of the questions above is “Yes”, please refer to the “FAQs” page on the ANZ Securities website.
Provide Photo Identification for the individual as per the final checklist.
Provide Photo Identification for the individual as per the final checklist.
Provide Proof of Residential address for the individual as per the final checklist.
Provide Proof of Residential address for the individual as per the final checklist.
Tick if the Authorised Representative should receive contract notes by email.
Tick if the Authorised Representative should receive contract notes by email.
Signature
Signature
2 0
2 0
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Company Account Application Form (cont)
SECTION 12. SIGNATURE(S) REQUIRED HERE
into trades on our behalf in instances where we have entered into a
CHESS sponsorship agreement as a client of ANZ Securities) as ANZ
Securities considers appropriate having exercised this discretion with
reasonable care. I/We accept that ANZ Securities does not guarantee
and gives no warranty that this will produce the best or any particular
price. I/We acknowledge that ANZ Securities may submit Orders in this
manner unless I/ we give ANZ Securities instructions to the contrary
either generally or in relation to a specific Order.
If you are a Company or other corporate body, this Application
Form must be signed as a deed in accordance with the Companies
Act 1993 (or other applicable legislation) and your constitutional
documents. If there is only one director or your constitutional
documents allow a single director to sign deeds, then the director’s
signature must be witnessed as set out below, otherwise, two
directors should sign.
The Signature(s) below must reasonably match your signature
as per the identification that you have provided.
I/We authorise ANZ Securities to retain an encrypted copy of my/
our Faster Identification Number (FIN) which will be automatically
populated into all sell Orders submitted into my/our account. I/We
acknowledge that by permitting ANZ Securities to retain my/our
FIN, I/we are giving ANZ Securities unlimited ability to transfer my/
our security holdings to other persons.
I/We agree to be bound by the Terms and Conditions of ANZ Securities,
as amended from time to time.
I/We confirm that all the details set out in this Application Form are correct.
I/We agree that instructions may be given and Orders may be placed
by me/us or an Authorised Representative by letter, telephone,
facsimile, email or any other medium and in all cases ANZ Securities
is entitled to rely on such instructions and Orders and treat them as
genuine (without further enquiry as to the identity or authority of
the sender of the instructions or Orders) if the instructions or Orders
appear to ANZ Securities to have come from me/one of us or any
Authorised Representative.
ANZ Securities will encrypt your FIN as soon as reasonably
practicable and your FIN will only be used by ANZ Securities
in the implementation of your trading instructions or Orders
and provision of services to you. Additionally, ANZ Securities
undertakes that it will at all times use reasonable endeavours to
protect your FIN from unauthorised use or access.
Where your account is made up of more than one person, all such
persons accept that they are jointly and severally liable for any
instructions executed on your account and that ANZ Securities is
entitled to act upon the instructions of any one of those persons
unless written, signed instructions from all such persons are provided
to the contrary.
I/We authorise ANZ Securities to implement all Orders on this account
by placing them to the market in such a manner (including entering
DIRECTOR(S) SIGN HERE
The signatures below must reasonably match your signatures as per the identification that you have provided.
This application must be signed as a deed in accordance with the Companies Act 1993 (or other applicable legislation) and your
constitutional documents.
If there is only one (1) director or your constitutional documents allow a single director to sign, then the director’s signature must be witnessed
as set out below, otherwise two (2) directors should sign.
Signature
Signature
Full name
Full name
2 0
2 0
If only one Director has signed, please ensure the signature is witnessed below.
Signature
Full name
2 0
Occupation
Address
Turn to the next page for instructions about returning your application form, and the required documentation, to ANZ Securities.
8
Company Account Application Form (cont)
SECTION 13. FINAL CHECK LIST
WHAT’S NEXT?
A clear copy of the Certificate of Incorporation for the Company.
Return this application form and the required forms of identification
by post to:
A clear and certified copy of photo identification in the full name
of all Directors who have signed this application form.
ANZ Securities, PO Box 1790, Wellington 6140, New Zealand
A clear and certified copy of photo identification in the full name
of all Directors who are authorised to trade.
Application forms with your original signature must be delivered
by post; we cannot accept faxed or emailed copies because we are
required to hold your original signature on file.
A clear and certified copy of photo identification in the full name of
all Beneficial Owners who are named in Section 6.
If there are any issues with your application form or required forms
of identification you will be contacted.
An original or a clear and certified copy of proof of the residential
address for all Directors who have signed this application form.
When your application has been approved and established, you will
receive an email or letter advising:
An original or a clear and certified copy of proof of the residential
address for all Directors who are authorised to trade.
•
Your ANZ Securities Client Account Number
•
Instructions for Internet and Telephone Trading
A clear and certified copy of proof of a bank account in the name
of the Company.
•
Our contact details if you require any assistance.
The signature of at least two Directors in Section 12; or the
witnessed signature of the Sole Director in Section 12.
ANZ Securities on 0800 805 777.
An original or a clear and certified copy of proof of the residential
address for all Beneficial Owners who are named in Section 6.
If you want to know the status of your application, please contact
If a Director or Beneficial Owner is an Entity, a copy of the
appropriate supplement Form for that Entity.
Once received, your application form will be reviewed and verified
before your account is created. This can be a lengthy process and
you should allow at least 10 business days.
If you have nominated an Authorised Representative, a clear and
certified copy of their photo identification.
If you have nominated an Authorised Representative, an original
or a clear and certified copy of proof of their residential address.
If you want to trade on the Unlisted Market, the signature of at least
two Directors in Section 14; or The signature of the Sole Director in
Section 14.
A certified copy of a marriage certificate if any documents are in
the individual’s maiden name.
9
Company Account Application Form (cont)
6. No responsibility for information posted by Unlisted Companies:
Unlisted Companies have the ability to post announcements
and other information (“Information”) on the Website. EMS does
not in any way supervise, edit or control the content of such
Information. Accordingly:
SECTION 14. UNLISTED MARKET DISCLAIMER
1. Trading facility only: Unlisted is an internet facility provided by
Efficient Market Services Limited (“EMS”) for brokers to trade, on
behalf of their clients, in securities of companies participating in
Unlisted (“Unlisted Companies”). Unlisted does not provide any
facility for capital raising.
(a) no representation or warranty is given as to the reliability,
accuracy or completeness of such information;
2. Unlisted is not a registered exchange: Unlisted is not a
registered securities exchange or authorised securities exchange,
or regulated under New Zealand securities markets law. Unlisted is
an unregistered securities trading facility.
(b) if you rely on such Information you do so entirely at your
own risk;
(c) you acknowledge and agree that EMS will not be held
responsible in any way in respect of such Information.
3. You trade at your own risk: If you choose to trade in the securities
of Unlisted Companies, you do so entirely at your own risk.
In particular:
7. Exclusion of liability: Neither EMS nor any of its directors,
employees, agents or related companies shall be liable in
any way for any loss or damage of any kind (including direct,
indirect or consequential loss, loss of profits, or special damage)
howsoever arising (whether in negligence or otherwise) out of
or in connection with:
(a) companies traded on Unlisted will not be subject to the
investor protection legislation that applies to companies
listed on a registered exchange, such as the Takeovers Code
(except for New Zealand incorporated Unlisted Companies
with 50 or more shareholders and $20 million or more of
assets), the insider trading laws which apply to listed entities,
continuous disclosure requirements, director relevant interest
disclosure and substantial security holder requirements, nor
are there any of the other protections for investors that are
contained in the listing rules of a registered exchange;
(a) the Website, information contained on or omitted from the
Website, or the use of or inability to use the Website;
(b) any decision made in reliance on any information contained
on the Website;
(c) any trading of, or decision not to trade, securities of Unlisted
Companies, subject to any rights you may have under the
Consumer Guarantees Act.
(b) EMS does not monitor or enforce compliance by Unlisted
Companies with the law (including company and securities
laws). Further information about what the fact that Unlisted
is not a registered exchange means for investors is given in
clause 9 on the next page.
In the case of goods or services supplied or offered by EMS, its
directors, employees, agents or related companies, liability for
breach of any implied warranty or condition which cannot be
excluded is limited at EMS’s option to either:
4. Not investment advice: You should obtain independent
investment advice before you make any investment decisions.
The Unlisted website (“the Website”) provides general information
only. The content of the Website is not intended to be investment
advice and you should not treat it as such. We have not considered
the merits of, or the merits of investing in, the securities of, any
Unlisted Company. We make no recommendation or endorsement
regarding the Securities of, or investing in, any Unlisted Company
and you should not treat the quotation of Securities on Unlisted as
being a recommendation or endorsement by us.
(a) the supply of the goods (or equivalent goods) or services
again; or
(b) the payment of the costs of having the goods (or equivalent
goods) or services supplied again.
8. Governing Law: This disclaimer is governed by New Zealand law.
You agree that any dispute arising from or in connection with this
disclaimer is subject to the non-exclusive jurisdiction of the courts
of New Zealand.
9. What does the fact that Unlisted is not a registered exchange mean?
5. No responsibility in respect of brokers: Trading on Unlisted is
undertaken by certain licensed stockbrokers. You acknowledge
and agree that EMS has no responsibility, and will not be held
responsible in any way, for any act or omission of any broker.
Without limitation, EMS:
9.1 As an unregistered trading facility, Unlisted is not subject to the
same regulatory protections as a registered exchange.
9.2 Registered exchanges are required to have detailed rules relating
to the governance and conduct of listed companies, and the
conduct of participating brokers. Compliance with those rules is
monitored and enforced by the exchange. Unlisted will not offer
such protections.
(a) is not liable for any failure by any broker to pay any money
that is due to you, or any loss you may incur due to the
negligence, fraud or insolvency of any broker;
9.3 The rules of registered exchanges are vetted, and can be disallowed,
by the Minister of Commerce. Registered exchanges are also
subject to a specific Securities Commission monitoring regime.
No such vetting or monitoring applies to an unregistered trading
facility such as Unlisted.
(b) does not provide any guarantee in respect of any broker;
(c) has no responsibility for any investment advice provided by any
broker. Brokers are not the agents of EMS and have no authority
to make representations on behalf of, or to bind, EMS.
10
Company Account Application Form (cont)
9.4 Companies listed on a registered exchange (“Listed Companies”),
are subject to a number of requirements under the Securities
Markets Act. Issuers on Unlisted are NOT subject to these
requirements. In particular:
(a) Insider trading regime: Trading by a person who, due to some
connection with the Listed Company, has information not
generally available is prohibited on a registered exchange.
This is not the case on Unlisted. Directors of Unlisted
companies will, however, be subject to the more limited
insider trading restriction in the Companies Act.
(b) Continuous disclosure regime: Listed Companies are required
to inform the market of events and developments relevant to
the price of the company’s securities as they occur. Companies
on Unlisted are not subject to this requirement under the
Securities Markets Act.
(c) Director’s and officers relevant interest disclosure: Directors and
officers of Listed Companies must promptly report their security
dealings in the company. Companies on Unlisted are not subject
to this requirement under the Securities Markets Act.
(d) Substantial security holder disclosure: A person with an
interest in 5% or more of the voting securities of a Listed
Company must disclose that fact and any changes in their
holding. This is intended to ensure disclosure of major interests
and thereby to prevent abuse in transactions entered into by
such persons. Companies on Unlisted are not subject to this
requirement under the Securities Markets Act.
9.5 The Securities Commission oversees compliance of Listing
Companies with the Securities Markets Act. This is not the case for
companies on Unlisted. Companies on Unlisted will, however, be
subject to Securities Commission oversight for other regulatory
requirements (for example, compliance with the Securities Act).
9.6 Listed Companies are also automatically subject to the Takeovers
Code. Unlisted companies will only be subject to the Takeovers
Code if they are incorporated in New Zealand and have 50 or more
shareholders and at least $20 million in assets. The purpose of
the Takeovers Code is to ensure that everyone concerned is fully
informed and that a fair price should be paid for all shares acquired.
I have read and understood this disclaimer and in consideration for EMS
allowing me to trade (via a broker) using Unlisted, I agree in favour of
EMS to be bound by the terms of this disclaimer.
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ANZ New Zealand Securities Limited is a subsidiary of ANZ Bank New Zealand Limited.
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ANZ Staff Member Certifying Documents on behalf of Applicant
INSTRUCTIONS FOR APPLICANT
INSTRUCTIONS FOR ANZ STAFF MEMBER
HOW TO REQUEST CERTIFICATION FROM AN ANZ STAFF MEMBER
HOW TO CERTIFY DOCUMENT
1. Provide your identification documentation to the ANZ staff
member, as per the list of requirements on your ANZ Securities
Application form.
1. Sight the original documents
2. Take a copy of the original documents
3. Write the appropriate statement on each copy:
2. Present this form to the ANZ staff member who is certifying your
identification documentation.
3. The ANZ staff member will certify the identification documentation,
as per the instructions below.
4. The ANZ staff member will return all documentation to you.
5. Post your certified identification documentation and your
Application form to:
Photo ID – “I certify that this is a true copy, the original has
been seen, and the original is a true likeness of the customer.”
Bank account – “I certify that this is a true copy and the original
has been seen.”
Residential address – “I certify that this is a true copy and the
original has been seen.”
4. Write your full name, your occupation, today’s date, and your
branch ID on each copy
ANZ Securities, PO Box 1790, Wellington 6140, New Zealand.
5. Sign your name on each copy
Please contact ANZ Securities on 0800 805 777 if you have any
questions about the certification process.
6. Stamp each copy with your branch stamp
7. Repeat these steps for each copy that you have made
The client must post all documentation to ANZ Securities at the
address listed to the left – please do not post on behalf of the client.
IDENTIFICATION DOCUMENTATION
Clients who are applying to open a ANZ Securities account must
provide identification documentation.
Bank Account
ANZ Securities clients are asked to provide the following:
Applicants must provide a certified copy of one of the following:
•
Photo identification
•
Bank statement (as delivered by mail, not via internet banking);
•
Proof of bank account
•
A bank-generated deposit slip; or
•
Proof of residential address.
•
A cheque.
All forms of identification documentation must be certified.
Residential Address
The document being certified and the signature of the certifier
must not be dated more than three months before the date the
application form is signed.
Applicants must provide an original or a certified copy of one of
the following:
Photo Identification
Applicants must provide a certified copy of one of the following:
•
Passport;
•
New Zealand Firearms Licence; or
•
New Zealand Driver’s Licence AND bank-generated statement.
ANZ New Zealand Securities Limited is a subsidiary of ANZ Bank New Zealand Limited.
12
•
Bank statement (as delivered by mail, not via internet banking);
•
Utility or Rates Bill;
•
IRD tax notice/certificate; or
•
Insurance policy document.
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