Fillable BUSINESS ACCOUNTS RENEWAL MANDATE FORM This Renewal Mandate (Cater Allen Private Bank)

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BUSINESS ACCOUNTS RENEWAL MANDATE FORM This Renewal Mandate (Cater Allen Private Bank)

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BUSINESS A CC OUNT S RENEW AL MAND A TE FORM Please ensure y ou visit cater allen. c o. uk to do wnload the FSCS Information Sheet and Exclusions List befor e completing this rene wal mandate . Y ou will be ask ed to acknowledge r eceipt of the Information Sheet in the Acc eptanc e section of this renew al mandate . Please c omplete this f orm in BL OCK CAPIT ALS and black ink and ret urn it in the pre-paid envelope pr ovided to: Cater Allen Privat e Bank, 9 Nelson Street, Br adford BD1 5AN . If you need any help c ompleting this form, pl ease call us on 0800 092 3300 prior t o submitting this form.

This Renew al Mandat e will supersede any previous Mandat es held in relation to this Ac count and will only c ome into forc e once w e have

c onfirmed to you that this Mandate has been ac cept ed. Please note: e veryone who wishes to r emain a party to this Ac count (e.g. Dir ectors,

Compan y Secretaries, A uthorised Signatories, Major Sha reholders/p artner (25% or more), Partner , Limited Liability P artner , Sole T raders) as

well as all thos e who are new t o the acc ount will need to c omplete this form. Guidanc e notes Applicant(s) to r ead 1 Please tell us your organisation ’s details Applicant(s) to c omplete Name of existing ac count Please advise as t o type of account: Reserve Account Contact name Position in or ganisation What is the legal name of your organisation? F or limit ed companie s, this is the name regist ered with Comp anies House. If you have a tr ading name, please specify . What is your industry SIC c ode? Please provide any additional SIC codes on the Additional Information page . Y ou can provide up t o four . A full list of SIC codes can be f ound on Gov .uk Please pro vide a detailed description of what your busines s does. The description must include information about the goods and/ or servic es you pro vide and the locations you oper ate in/fr om Is your company a or a Community Joint Venture Interest Company In which country is y our or ganisation established / regist ered / incorpor ated / f ormed? From which c ountry(ies) are pa yments expect ed to be made and r eceived? Please pro vide all key suppliers and their geographic locations . Please pro vide the names and locations of any agents or distributors . Please pro vide details of key trading partners and their geographic If your comp any is unincorporat ed, please provide c ountry(ies) of legal For action by Intermediary onl y Master Acc ount (£) number Master Acc ount (€) number Master Acc ount ($) number

Please tick t o confirm that you are not submitting this mandate from a Cr edit Union, money servic e provider , payment service

provider or an y business that oers r elated service s such as West ern Union or MoneyGr am

Please tick t o confirm this application is for a company which doe s not have B earer shar e arrangements in plac e

Please c onfirm which of the following you ar e: Partnership Limited Liability P artnership Public Limited C ompany Privat e Limited Compan y Sole T r ader Publicly list ed companies (appr oved exchange only) If your comp any is listed, please specify which exchange

1 Please tell us your organisation ’s details (c ontinued) Applicant(s) to c omplete List the location(s) of majority-owned subsidiaries (25%+ ownership), branche s and repr esentative oc es Please pro vide the date of incorpor ation / formation or registration – whichever date oc curs earlier Date of inc orporation / D D M M Y Y Y Y Date of r egistration D D M M Y Y Y Y Date st arted tr ading D D M M Y Y Y Y Country of Inc orporation/formation Principal trading addres s Post code Country If your Registered oc e address or Address for corr espondence diers t o that of your Principal trading address, pl ease complet e the follo wing address sections. Regist ered oc e address (this inf ormation must mat ch Companies House rec ords) Post code Country Addres s for corr espondence Post code Country Business TIN (wher e organisation is regist ered outside the UK) Regist ered number Business t elephone number

1 Please tell us your organisation ’s details (c ontinued) Applicant(s) to c omplete How much will you be depositing per month T ell us what sour ces thes e credits will come fr om (select all the apply). Pleas e also indicate the v alue and c ountry the funds origined Income fr om employment Retirement Income Property Relat ed Income Inheritanc e Related Income fr om Stocks, Shares , Bonds, Debentur es or Managed Investments Income fr om legal settlement Income fr om divestment/ divestit ure of assets Income fr om ownership/ sale virtual currencies Income fr om gifts (more than £10,000) Income r eceived fr om another person/entity Income fr om savings Other: please specify Accumulat ed Profit Intra-gr oup financing (including intr a-group Loans (thir d party) Property/Fixed As sets (e. g. rental inc ome) Income fr om divestment/ divestit ure of assets Income/as sets generating funds Other: please specify How much will you be withdrawing per month What is your actual business turno ver? Anticipat ed number of tr ansactions through this ac count Do you have a nominee shar eholding agreement in place If Y es , by ticking this box you confirm you hav e provided an explanation of the nominee shar eholding agreement From which c ountry(ies) are pa yments expect ed to be made and r eceived?

1 Please tell us your organisation ’s details (c ontinued) Applicant(s) to c omplete Do you anticipat e any seasonal v ariance s to your turnov er? What will this ac count be used for? Main acc ount (e. g. sole acc ount for all busines s relat ed activities) Sec ondary bank ac count (e. g. business expenses, t ax payments, empl oyee payroll, Investing f or the purposes of Tier 1 UK VISA (sole tr aders only) Pensions Other If ‘ Other ‘ , please stat e How many employ ees does the busines s have? Changes t o signatories on this ac count W e wish to add (how many): Executive Dir ector Authorised Signat ory Comp any Secret ary Po wer of Att orney 25% Shareholder Executor Administrat or Partner Limited Liability P artner Sole T r ader Nominee Shareholder W e wish to remove (how many): Executive Dir ector Authorised Signat ory Comp any Secret ary Po wer of Att orney 25% Shareholder Executor Administrat or Partner Limited Liability P artner Sole T r ader Nominee Shareholder Name(s) to be added/ removed (please del ete as appr opriate) If you aren ’t able t o complet e your full na me in the spac e provided pl ease do this in the ‘ Additional Inf ormation’ section End date of r elated party D D M M Y Y Y Y End date of r elated party D D M M Y Y Y Y End date of r elated party D D M M Y Y Y Y End date of r elated party D D M M Y Y Y Y End date of r elated party D D M M Y Y Y Y All those who wish to r emain /become a p arty to the acc ount must compl ete their personal details in section 3 of this Renewal Mandate . Changes to V isa Debit Car d holders Do you wish t o remove fr om any of the existing car d holders from this If ‘Y es‘ , please detail their names her e Name of first individual card hol der to be r emoved Name of second individual card holder to be r emoved Please not e a maximum of two cardholders allo wed per account, a nd both must be a signatory on the Acc ount (please see section 8 – A uthorised Signatories). Do you wish t o add any new card holders t o this acc ount ? If you have indicat ed ‘Y es’ then we will send you the Visa Debit Card Application Form f or Existing Clients with Busines s Acc ounts for you to compl ete and return t o us.

2 Details about your Intr oducer Applicant(s) to c omplete When you opened this Ac count were y ou introduc ed by a Financial Adviser or Ac countant? If ‘ No ’ move t o section 3 If ‘ Ye s ‘ , are they still your Financial Adviser/ Acc ountant ? If ‘ Ye s ’ move t o section 3 If ‘ No ‘ , do you have a new Financial Adviser/ Acc ountant? If ‘ No ’ move t o section 3 If ‘ Ye s ‘ , please c omplete the details belo w . Name of Introduc er Post code Country Contact name T elephone Do you have an alias y ou are, or have been, f ormally known by ? Date of birth D D M M Y Y Y Y Nationality Do you have dual nationality? If ‘Y es’ pl ease specify which countries Current residential addres s. This is the addre ss where your Personal Acc ess C ode (PA C) and Internet Banking Passwor d (IBP) will be post ed. C/O and PO Box addr esses ar e not ac ceptabl e. Post code Country How long hav e you been at your curr ent residential addres s? T elephone 3 Personal details Applicant(s) to c omplete

In order to ensure that the Bank’ s information is alw ays up to dat e, and to c omply with Anti-Money Laundering Regulations, we are r equired to

identify and verify all applicants for acc ounts, as well as certain other parties to the r elationship.

In some circumstanc es we may not be able t o proc ess this request without this information.

If this Renew al Mandat e does not provide you with enough sp ace for everyone ’ s personal det ails of all required partie s, please print this

section of the mandate and c omplete f or each additional person, attaching all r elevant pages t o this application.

Required pa rties: Direct ors, Company Secr etaries, Authorised Signat ories, Major Shareholders/partners (25% or more), Pa rtner , Limited

Liability Partner , Sole T raders.

Please note: 25%+ Shar eholders who are not Authorised Signat ories on this Ac count must also sign the ac c eptanc e section at the end of

this mandate. If you are an e xisting Cater Allen Client, please pro vide your Cat er Allen acc ount number What is your relationship t o the business? Executive Dir ector Authorised Signat ory Comp any Secret ary Po wer of Att orney 25% Shareholder Executor Administrat or Partner Limited Liability P artner Sole T r ader Nominee Shareholder Please t ell us your ownership rights percent age: Please t ell us your voting rights percent age: Partnerships only: tell us your pr ofits percent age: Mr Mrs Ms Miss Other If ‘Other’ please stat e For ename(s) If you aren ’t able t o complet e your full name in the space provided pl ease do this in the ‘ Additional Information ’ section. Middle name(s) If applicable, pl ease provide your maiden name First applicant

Mandatory section f or c ompletion by Financial Institutions (FI) If you have r egistered as an FI or as a Sponsored Entity please pro vide your Global Intermediary Identification Number (GIIN) If you are a Sponsor ed closely held Investment V ehicle please provide the GIIN of the sponsoring Name of sponsor If unable t o provide a GIIN, please tick the reason wh y your organisation doe s not have a GIIN; The Entity has applied, or is going to appl y , for a GIIN (but has not yet receiv ed it) The Entity is an ‘Exempt B eneficial Owner’ (e .g. cert ain International Organisations) The Entity is or intends t o be an “Owner-documented FI” with Cater Allen Privat e Bank The Entity is a ‘Certified or otherwis e Deemed C ompliant FI’ (e.g. UK regist ered charity) Other reason (Pl ease specify) Do you share a mailbo x? (e.g. block of flats) If ‘Y es’ w e will make special arrangements should you need t o receiv e a chequebook, paying-in book, and other items which should be kept secure, such as identification c odes. 3 Personal details (c ontinued) Applicant(s) to c omplete Previous r esidential addr ess if les s than three years at addres s shown within ‘Current residential addres s’ field. (If more than one addr ess in the last three years, please pr ovide details of all other addres ses on a separat e sheet.) Post code Country How long did you liv e at this address? Mandatory section f or c ompletion by key ac count parties Country of birth What is your oc cupation? Country of Fiscal residenc e (i.e. the c ountry in which you are currentl y resident and employed) T ax Identification Number for C ountry of Fiscal Re sidence (if not UK) Do you make a t ax contribution in any other country due t o residenc e or citizenship? If yes, pl ease specify the countries t o which you make tax contributions and pr ovide your c orresponding TIN (T ax Identification Number). Please pro vide details for up to fiv e additional countrie s in the Additional Information section of this f orm. First applicant (c ontinued)

Sec ond applicant 3 Personal details (c ontinued) Applicant(s) to c omplete If you are an e xisting Cater Allen Client, please pro vide your Cat er Allen acc ount number What is your relationship t o the business? Executive Dir ector Authorised Signat ory Comp any Secret ary Po wer of Att orney 25% Shareholder Executor Administrat or Partner Limited Liability P artner Sole T r ader Nominee Shareholder Please t ell us your ownership rights percent age: Please t ell us your voting rights percent age: Partnerships only: tell us your pr ofits percent age: Mr Mrs Ms Miss Other If ‘Other’ please stat e For ename(s) If you aren ’t able t o complet e your full name in the space provided pl ease do this in the ‘ Additional Information ’ section. Middle name(s) If applicable, pl ease provide your maiden name Do you have an alias y ou are, or have been, f ormally known by ? Date of birth D D M M Y Y Y Y Nationality Do you have dual nationality? If ‘Y es’ pl ease specify which countries Current residential addres s. This is the addre ss where your Personal Acc ess C ode (PA C) and Internet Banking Passwor d (IBP) will be post ed. C/O and PO Box addr esses ar e not ac ceptabl e. Post code Country How long hav e you been at your curr ent residential addres s? T elephone Previous r esidential addr ess if les s than three years at addres s shown within ‘Current residential addres s’ field. (If more than one addr ess in the last three years, please pr ovide details of all other addres ses on a separat e sheet.) Post code Country How long did you liv e at this address? Mandatory section f or c ompletion by key ac count parties Country of birth What is your oc cupation? Country of Fiscal residenc e (i.e. the c ountry in which you are currentl y resident and employed) T ax Identification Number for C ountry of Fiscal Re sidence (if not UK) Do you make a t ax contribution in an y other c ountry due to r esidenc e or citizenship? If yes, pl ease specify the countries t o which you make tax contributions and pr ovide your c orresponding TIN (T ax Identification Number). Please pro vide details for up to fiv e additional countrie s in the Additional Information section of this f orm.

3 Personal details (c ontinued) Applicant(s) to c omplete Mandatory section f or c ompletion by Financial Institutions (FI) If you have r egistered as an FI or as a Sponsored Entity please pro vide your Global Intermediary Identification Number (GIIN) If you are a Sponsor ed closely held Investment V ehicle please provide the GIIN of the sponsoring Name of sponsor If unable t o provide a GIIN, please tick the reason wh y your organisation doe s not have a GIIN; The Entity has applied, or is going to appl y , for a GIIN (but has not yet receiv ed it) The Entity is an ‘Exempt B eneficial Owner’ (e .g. cert ain International Organisations) The Entity is or intends t o be an “Owner-documented FI” with Cater Allen Privat e Bank The Entity is a ‘Certified or otherwis e Deemed C ompliant FI’ (e.g. UK regist ered charity) Other reason (Pl ease specify) Sec ond applicant (continued) Do you share a mailbo x? (e.g. block of flats) If ‘Y es’ w e will make special arrangements should you need t o receiv e a chequebook, paying-in book, and other items which should be kept secure, such as identification c odes. I/we woul d like Int ernet Banking acc ess (all acc ounts will appear within Internet Banking): Please do not tick the follo wing box if you already hav e Cater All en Internet Banking acce ss. First applicant Sec ond applicant

Please not e that only fully tr ansactional st erling acc ounts, r equiring a single signatur e to transact, hav e full Internet Banking functionality . All other

acc ounts will hav e ‘view only’ acc ess. 4 Internet Banking acc ess Applicant(s) to c omplete

Sec ond applicant Full name (including any middle names) Date of birth D D M M Y Y Y Y Current residential addres s Post code Country

This section should onl y be compl eted by FCA authorised and regulat ed Financial Advisers – if you do not have an FCA authorised and

regulated Financial Adviser , please proc eed to section 6.

If you are a FCA authorised and r egulated Financial Advis er who has full y verified the identities of your client(s) as listed in section 3 of this f orm,

please read a nd confirm the f ollowing details by c ompleting and signing this section. Full name of introducing firm Regulat or r eferenc e number First applicant Full name (including any middle names) Date of birth D D M M Y Y Y Y Current residential addres s Post code Country I/W e confirm that: (a) the information provided in this section w as obtained by me/us in relation t o the customer; (b) the evidence I/we hav e obtained to verify the identity of the customer(s) (tick onl y one); (c) where identity has been verified by an electr onic identification service, we have met the client face t o face. Meets the standard e vidence set out within the guidanc e for the UK Financial Sector issued by the Joint Money Laundering Steering Group (“ JMLSG”); or Exc eeds the standard e vidence (writt en details of the further verification evidenc e taken are attached t o this confirmation) FCA Authorised and R egulated Financial Adviser’s Signat ure D D M M Y Y Y Y 5 Confirmation of V erification of Identity (CVIC) FCA Authorised and Regulat ed Financial Adviser t o complete Confirmation

6 Declaration and Mandat e Applicant(s) to c omplete Partnership/Limit ed Liability Partnership/Public Limited C ompany/ Privat e Limited Compan y/Sole T rader INSERT COMP ANY NAME (the ‘ Acc ount Hol der’) being a Partnership /Limited Liability Partnership/Public Limited C ompany/Private Limit ed Company/Sol e T rader hereby amend and rene w the Mandate to oper ate my/ our Acc ount (‘the Acc ount’) with Cater Allen Private Bank (‘the Bank’) on th e pu bl is he d T erm s an d Conditions ther eof (‘the Conditions’), which we ack nowl edg e ha ving r eceiv ed and to which we agree t o be bound and a ny s ub se qu en t amendments which the Bank may inf orm us of from time t o time, and in acc ordance with the Mandat e below which shall remain in ef fect until a new Mandat e is executed, and which we understand and ac cept and hereby r equest and authorise the Bank: (a) T o honour and c omply with all cheques drawn on our behalf and debit such cheques t o the Account; (b) T o honour and comply with all instructions for withdr awal fr om the Acc ount; (c) T o c ollect f or cr edit to the Acc ount, all instruments endorsed on behalf of the Acc ount Holder as named above. Provided that such cheques, instructions or endorsements are signed by our Authorised Signat ories as detailed belo w (please c omplete and tick the appropriat e boxes): Y ou can choose the number of signatories you wish t o have on your acc ount. Please tick only ONE of the boxes bel ow . T otal number of Authorised Signat ories t o be held on this ac count: (Please writ e only one number in this box) Please note that if any Vis a Debit Cards are issued on the Ac count, then the Ac count must be set up so that only ONE signature is requir ed to authorise any transaction. Y ou can choose the number of signatories r equired to authorise any singl e transaction. Pl ease tick any one of the boxes below . any one signatur e any two signatur es more than two signat ures, please specify ho w many The instructions of the signatorie s appearing in section 8, when appearing in acc ordanc e with the current Mandate t o operate the abo ve acc ount, will be honoured whether the Acc ount is in cr edit or debit. Provided further that the Bank be furnished with a list giving the full names and specimen signatur e and documentary proof of name and home addres s of each of the persons referr ed to in section 8, certified, wher e applicable, by the C ompany Secretary and that the Bank rec eives notic e in writing of any change there may be or any further such list, in each case and the Bank may be assur ed that any Re solutions have not been amended or rev oked until it rec eives notice in writing ther eof. I/W e authorise the Bank to mak e enquiries and to take up r eferenc es as it considers appropriat e in connection with this application f orm and this authorisation is to r emain effectiv e until the Bank rec eives our written notification to the c ontrary . I/W e agree that any indebtedne ss or liability incurred to the Bank under this authority shall, in the absence of any e xpres s written agreement by the Bank to us , be due and payable on demand. I/W e shall, as and when neces sary , supply to the Bank lists of curr ent Direct ors /Partners/Designated Members and, if applicabl e, other of ficials authorised to sign, with specimen signat ures in acc ordanc e with the current Mandate t o operate the abo ve Acc ount. Upon any Partners/Designat ed Members /Directors c easing to be a member of the Compa ny by death or otherwise, the Bank may , in the absence of writt en notice t o the contrary fr om us treat the surviving continuing P artners /Designated Members/Direct ors for the time being as having full power t o carry on the business of the Comp any and to deal with its assets as fr eely as if there had been no change in the C ompany . I/W e authorise the Bank to discl ose details of my/our Acc ount t o my/our Financial Adviser as named in this application form, or their suc ces sors in title (unle ss advised t o the contr ary). I/We acknowl edge that my Financial Adviser may rec eive commis sion in respect of the Ac count. The Bank is hereby authorised t o comply with all withdrawal instructions given by facsimil e, pro viding that such instructions ar e signed in acc ordanc e with the current Mandate t o operate the abo ve Acc ount. The Bank may act upon such instructions immediately and without further enquiry unles s it has cause to be suspicious as to the nat ure and cont ent of the request. The above authority shall remain in for ce until the Bank receiv es written notice of its r evocation, notwithstanding any change in our constitution (or name), and shall apply notwithstanding any change by death, bankrupt cy , retirement or otherwise. Changes to Signat ories The Bank will not acc ept changes in Authorised Signat ories unless detailed on our appropriate Rene wal Mandat e form. Closure of A c count The Bank will not acc ept notification of closure of this Acc ount unles s it is authorised by the c orrect signatories as det ailed on the valid Mandat e that is in existenc e at that point in time.

Introduction My personal data is data which by itself or with other data availabl e to you can be used to identify me . Y ou are Cat er Allen Privat e Bank, the data contr oller . This data protection stat ement sets out how you’ll use my personal data. I can c ontact your Data Pr otection Offic er (DPO) at 201 Graft on Gate East, Milton K eynes, MK9 1AN if I hav e any questions. Where ther e are two or more people named on this f orm, this data prot ection statement applies to each person separ ately . The types of personal data you c ollect and us e Whether or not I bec ome a customer , you’ll use my personal data for the reasons set out below and if I become a cust omer you’ll use it t o manage the acc ount, policy or servic e I’ve applied for . Y ou’ll collect most of this directl y during the application journey either from me or from my Financial Adviser if I have one. The sour ces of personal data coll ected indirectl y are mentioned in this statement. The personal data you use about me as a personal or business customer (if I am one) may include: Full name and personal details including c ontact information (e. g. home and/ or business addr ess and addre ss hist ory , email addres s, home, business and mobil e tel ephone numbers); Date of birth and/ or age (e. g. to make sur e that I’m eligibl e to apply); Financial details (e .g. salary and details of other income, and details of acc ounts held with other providers); Recor ds of products and service s I’ve obtained or applied f or , how I use them and the rele vant t echnology used to ac ces s or manage them (e. g. mobile phone location data, IP addr ess, MA C addres s); Biometric data (e.g. fingerprints a nd voic e recor dings for T ouchID and voic e recognition); Information fr om credit ref erenc e or fr aud prev ention agencies, elect oral r oll , court rec ords of debt judgements and bankruptcies and other publicly available sour ces as w ell as inf ormation on any financial associat es I may have; Family , lif estyle or social cir cumstances if r eleva nt to the product or service (e .g. the number of dependants I have); Education and employment details/employment status f or credit and fraud pr evention purposes; and Personal data about other named applicants. I must have their authority to pr ovide their personal data to you and shar e this data protection statement with them befor ehand together with details of what I’v e agreed on their behalf . Providing m y personal data Y ou’ll tell me if providing some personal data is optional , including if you ask for my consent to pr oces s it. In all other cases I must provide my personal data so you can proc ess my application (unle ss I’m a customer and you already hol d my details). Monitoring of c ommunications Subject to applicable laws, you’ll monitor and rec ord my calls, emails, te xt mes sages, social media message s and other c ommunications in relation t o my dealings with you. Y ou’ll do this for r egulatory c ompliance , self-regulat ory practice s, crime prevention and det ection, to prot ect the security of your communications systems and pr ocedure s, to check f or obscene or profane c ontent, f or quality c ontrol and staff training, and when you need to see a r ecord of what’ s been said. Y ou may also monitor activities on my ac count where nece ssary for these reasons and this is justified by your legitimate int erests or your l egal obligations. Using my personal data: the legal basis and purposes Y ou’ll proc ess my personal data: 1. As nece ssary to perform y our c ontract with me for the relev ant acc ount, policy or servic e: a) T o take steps at my request prior to ent ering into it; b) T o decide whether t o enter int o it; c) T o manage and perform that contract; d) T o update your recor ds; and e) T o trac e my whereabouts t o cont act me about my ac count and rec overing debt. 2. As nece ssary for your own l egitimate intere sts or those of other persons and organisations , e.g.: a) For good governanc e, ac counting, and managing and auditing your business oper ations; b) T o sear ch at cr edit refer ence agencie s at my home and/ or busines s addres s (if I am a business customer) if I’m o ver 18 and apply f or c) T o monitor emails , calls, other c ommunications, and activities on my d) For market resear ch, analysis and developing statistics; and e) T o send me marketing c ommunications, including aut omated decision making relating t o this. 3. As neces sary to c omply with a legal obligation , e.g.: a) When I exercis e my rights under data prot ection law and make b) For c ompliance with legal and regulat ory requirements and relat ed disclosure s; c) For establishment and defence of l egal rights; d) For activitie s relating t o the prevention, det ection and investigation e) T o verify my identity , make credit, fraud pr evention and anti-money laundering checks; and f) T o monitor emails , calls, other c ommunications, and activities on my 4. Based on my consent , e .g.: a) When I request you t o disclose my personal data to other people or organisations such as a c ompany handling a claim on my behalf , or otherwise agree t o disclosures; b) When you proce ss any special categories of personal data about me at my request (e.g. my r acial or ethnic origin, political opinions, religious or philosophical beliefs , trade union membership, genetic data, biometric data, data c oncerning my health, sex lif e or sexual orientation); and c) T o send me marketing communications wher e you’ve asked for my consent to do s o. I’m free at any time to change m y mind and withdraw my c onsent. The consequenc e might be that you can’t do cert ain things for me. Sharing of my personal data Subject to applicable data pr otection law y ou may share my personal The Santander gr oup of companies* and as sociated comp anies in which you have shar eholdings; Sub-contr actors and other persons who help y ou provide your products and service s; Companie s and other persons providing servic es to you; Y our legal and other profe ssional advisors, incl uding your audit ors; Fraud pr evention agencie s, credit ref erence agencie s, and debt coll ection agencies when you open my acc ount and periodicall y during my ac count or service management; Other or ganisations who use shared databases f or inc ome verification and aff ordability checks and to manage/ coll ect arr ears; Government bodies and agencies in the UK and overs eas (e. g. HMRC who may in turn shar e it with rel evant overseas tax authorities and with regulat ors e.g. the Prudential Regulation Authority , the Financial Conduct Authority , the Information Com missioner’ s Office); Courts, t o comply with l egal r equirements, and f or the administration of In an emergency or t o otherwise prot ect my vital int erests; T o pr otect the security or integrity of your business oper ations; T o other parties connect ed with my acc ount e .g. guarant ors and other people named on the application including joint acc ount holders who will see my transactions; When you restruct ure or sell your business or its assets or hav e a merger or r e-organisation; Market resear ch organisations who help to impr ove your products or 7 Data Pr otection Stat ement Applicant(s) to c omplete

Payment systems (e. g. Visa or Mast erCard), if you issue car ds linked to my ac count, who may tr ansfer my personal data t o others as necess ary to oper ate my ac count and for regulat ory purposes, to pr ocess transactions , resolve disput es and for statistical purposes , including sending my personal data overseas; and Anyone else where you hav e my cons ent or as requir ed by law . International transf ers My personal data may be transf erred outside the UK and the European Ec onomic Area. While some c ountries have adequat e protections f or personal data under applicable laws, in other countries st eps will be nece ssary to ensur e appropriat e safeguards appl y to it. The se include imposing contr actual obligations of adequacy or requiring the recipient to subscribe or be certified with an ‘int ernational fr amework’ of prot ection. Further details can be found in the ‘Using My P ersonal Data ’ booklet. Identity verification and fr aud prevention checks The personal data you’ve c ollected fr om me at application or at any stage will be shared with fr aud prevention agencies who will use it to pr event fraud and money-laundering and t o verify my identity . If fraud is det ected, I coul d be refused certain servic es, financ e or employment in future . Y ou may also search and use y our int ernal r ecords f or these purpose s. Further details on how my personal data will be used by you a nd these fraud prev ention agencies, and my data prot ection rights, can be found in the ‘Using My Personal Data ’ booklet. Credit refer ence checks (this doe sn’t apply to the f ollowing acc ounts: Asset 30 Acc ount and So vereign 30 Ac count) If I’ve applied f or a credit product then in order to proc ess my application, you’ll perform credit and identity checks on me at my home and/or business addr ess (if I am a business cust omer) with one or mor e credit ref erence agencie s. T o do this you’ll supply m y personal data to the cr edit ref erence agencie s and they’ll give you inf ormation about me. When you carry out a search at the credit ref erence agencie s they’ll place a f ootprint on my credit file. A cr edit sear ch may either be: a) a quotation search wher e a soft footprint is left. This has no eff ect on my credit score, a nd lenders are unable t o see this; or b) a hard f ootprint wher e I’ve agreed/r equested Cater Allen to pr oceed with my application f or credit. This f ootprint will be viewabl e by other lenders and may af fect my ability to get credit elsewhere . Y ou’ll also c ontinue to exchange inf ormation about me with credit ref erence agencies whil e I have a relationship with you. The credit ref erence agencie s may in turn shar e my personal information with other organisations . If I am a business customer , the personal data shar ed with the credit ref erence agencies will relat e to me and my business . Details about my application (whether or not it’ s succ essful) will be rec orded and you’ll give details of me, the business (wher e applicable) and my acc ounts and how I manage them t o credit ref erence agencie s. If I do not repay any debt in full or on time, they’ll r ecord the outstanding debt and supply this information t o others performing similar checks, to tr ace my whereabouts and to r ecover debts that I owe. Rec ords remain on file f or 6 years aft er they are cl osed, whether s ettled by me or defaulted. A financial association link between joint applicants will be cr eated at the credit ref erence agencies. This will link our financial rec ords and be taken int o acc ount in all future applications b y either or both of us until either of us apply for a notice of dis association with the credit ref erence agencie s. The identities of the credit ref erence agencie s, and the ways in which they use and share personal information is explained in mor e detail in the ‘Using My Personal Data ’ booklet, or via the Cr edit Ref erenc e Agenc y Information Notic e (CRAIN) document which can be ac ces sed via any of the foll owing links: experian. c o.uk/ crain equifax. co. uk/ crain transunion/ crain My marketing pr eferenc es and related sear ches Y ou’ll use my home addres s, phone numbers, and email addres s and social media (e. g. Facebook, Google and mes sage facilities in other platf orms) to c ontact me acc ording t o my pref erence s. I can change my pref erenc es or unsubscribe at any time by contacting you. In the case of social media message s I can manage my social media pref erenc es via that social media platform. If I’m o ver 18, you may sear ch the files at credit ref erence agencie s befor e sending marketing communications t o me about cr edit. The credit ref erence agencie s don ’t r ecord this particular search or show it to other lenders and it won ’t af fect my credit rating. Y ou do this as part of your responsibl e lending obligations which is within your legitimat e inter ests. From time t o time you’ d like t o cont act me about pr oducts, servic es and off ers that may int erest me or t o get my opinion on ho w you are doing. I understand you won ’t bombard me and I can choose to st op rec eiving information at any time by c ontacting you. Applicant 1 The boxes I have tick ed below indicate the channels I W OULD NOT like you to use t o contact me, as explained in the Data Pr otection Stat ement in section 2 of this form: Market resear ch, including customer satisfaction surveys All of the above I understand that I may rec eive details of pr oducts and service s from other Santander group companie s if I have agreed with them to r eceive such information. Applicant 2 The boxes I have tick ed below indicate the channels I W OULD NOT like you to use t o contact me, as explained in the Data Pr otection Stat ement in section 2 of this form: Market resear ch, including customer satisfaction surveys All of the above I understand that I may rec eive details of pr oducts and service s from other Santander group companie s if I have agreed with them to r eceive such information. Aut omated decision making and proc essing Aut omated decision making involv es proc essing my personal data without human intervention t o evaluat e my personal situation such as my ec onomic position, personal pref erences , intere sts or beha viour , for instanc e in relation t o transactions on my ac counts , my payments to other providers , and triggers and events such as acc ount opening anniversaries and maturity dat es. Y ou may do this t o decide what mark eting communications ar e suitable for me, to anal yse statistics and asses s lending risks. All this activity is on the basis of your legitimate int erests , to pr otect your busines s, and to devel op and improve your products and service s, except as foll ows; when you do automated decision making including pr ofiling activity to as sess lending and insuranc e risks, this will be performed on the b asis of it being necessary t o perform the c ontract with me or to tak e steps to ent er int o that c ontract. Further details can be found in the ‘Using My Personal Data ’ booklet. Other information about me as a business customer (if I am one) Y ou may also hol d all the information I giv e to you (i.e . name, address , date of birth, nationality) in order to undertake periodic due diligenc e checks which banks ar e requir ed to undertake t o comply with UK legislation. Criteria used t o determine r etention periods (whether or not I bec ome a customer) The foll owing crit eria are used t o determine data ret ention periods for my personal data: Retention in case of querie s. Y ou’ll retain my personal data as long as nec essary to deal with my queries (e. g. if my application is unsucc essful); Retention in case of claims. Y ou’ll r etain my personal data for as long as I might legally bring claims against you; and Retention in ac cor danc e with legal and regulatory r equirements. Y ou’ll retain my personal data after my acc ount has been closed or has otherwise come t o an end based on your legal and regulatory requir ements. My rights under applicable data pr otection law My rights are as f ollows (noting that these rights don’t apply in all circumstanc es and that data portability is only relev ant fr om May 2018): The right to be informed about your pr ocessing of my personal data; The right t o have my personal data correct ed if it’s inac curate and t o have inc omplete personal data c ompleted ; The right to object to pr oce ssing of my personal data; The right to restrict proc essing of my personal dat a; 7 Data Pr otection Stat ement (c ontinued) Applicant(s) to c omplete

8 Authorised Signat ories on this Acc ount Applicant(s) to c omplete

Any individual who wishes to be able t o view and/or transact on this acc ount must be identified as an Authorised Signat ory below . If an individual is not

identified as an Authoris ed Signatory then w e will not ac cept their signature as authoris ation to carry out a transaction, e .g. on a lett er , on a cheque, on

a faxed reque st, etc. This listing of Authorised Signat ories will supersede the list currently held with Cat er Allen Privat e Bank.

Individual Authorised Signatories

The foll owing Signat ories are authoris ed to oper ate this acc ount (“ The Acc ount”) with Cater Allen Private Bank (“The Bank”).

By signing this renew al mandat e I/we agree that:

n W e have read the D eclaration and mandate and Dat a Prot ection Statement and agree that you can use our inf ormation as stated in the

Data Prot ection Statement.

n W e have rec eived and ac cept the T erms and Condition of Acc ount (or those Acc ounts applied for) and agr ee to also be bound by an y subsequent

amendments advised to us by the Ba nk from time t o time.

n W e hereby c ertify that the inf ormation provided in this rene wal mandat e is, to the best of my knowledge and belief , ac curate and c omplete

in all respect. First signatory D D M M Y Y Y Y Sec ond signatory D D M M Y Y Y Y The right to have my per sonal data erased (the “right to be f orgott en”); The right to request acc ess t o my personal data and information about how you pr oce ss it; The right to mo ve, c opy or transf er my personal data (“ data portability”); and Rights in relation to aut omated decision making including profiling. I have the right to c omplain to the Information C ommissioner’ s Offic e. It has enforc ement po wers and can inve stigate complianc e with data prot ection law: ic o. org.uk . For more details on all the above I can contact your DPO or reque st the ‘Using My Personal Data ’ booklet by calling 0800 092 3300 or I can view it online at caterallen. co .uk . Data anonymis ation and aggregation My personal data may be c onvert ed into statistical or aggregat ed data which can ’t be used t o identify me, then used to pr oduce statistical resea rch and r eports. This aggregated data ma y be shared and used in all the ways described abo ve. *Group c ompanies For more information on the Sant ander gr oup companie s, please see the ‘Using My Personal Data ’ booklet. 7 Data Pr otection Stat ement (c ontinued) Applicant(s) to c omplete

9 Required documents Applicant(s) to c omplete Impersonation checks/ non face-t o-face v erification

As a means of verifying identity , electr onic checks are undertaken by the Bank on all applicants and relat ed parties included within the Pers onal det ails

section. Specific supporting documents are r equired for submitting in conjunction t o these electronic checks. Additional supporting documentation may

be request ed upon completion of the se electronic checks. Please read the f ollowing sections and c omplete the tick box if r equired; Documentation requir ed for V erification of Business Entity

Specific document requirements f or Sole T r aders and Partnerships only - from the f ollowing tabl e, please supply one it em from each of the two

lists mentioned below and tick t o confirm inclusion ac cor dingly . Required documents Sole T rader Partnership HM Revenue & Customs Certificat e Customs and Excise/V A T Certificat e Business Bank Stat ement (if l ess than 3 months old)  Lett er from an Ac countant or S olicitor Rec ent utility bill or statement in the name of the Business for the Business Pr emises Extract from the Busines s' ocial websit e  Current Business L etterhead or Company L etterhead If your business is a majority owned and c onsolidated subsidiary: Confirmation of majority o wned status Confirmation of c onsolidated status Partnerships must provide the partnership agr eement /deed and a list of all current partners. Privat e Limited Compan y and Limited Liability P artnerships

If you are a Privat e or a P ublic Limited C ompany , no documentary evidenc e relating to the entity is r equired HOWEVER if the Sharehol ders /Directors/

Comp any Secret ary/Designat ed Members details have rec ently changed, please supply c opies of the appropriat e Companie s House forms .

If c ompleted b y a custodian / guardian / PoA:

I / We enclose pr oof and evidence of the nat ure of legal authority over the principal ac count holder

Documentation requir ed for V erification of Personal Identity For clients introduc ed by an FCA and/ or PRA authorised and regulat ed Financial Adviser

My/ our FCA authorised and regulat ed Financial Adviser has complet ed section 7 (Confirmation of V erification of Identity , ‘CVIC’) to

verify all parties to the Ac count If a CVIC is not being provided

I/W e have c ompleted the separ ate Customer Identification Requirements Sheet (available on cat erallen. co .uk) and provided

copie s of the necessary ID documents that have been c ertified as “a true copy of the original” by a “pr ofessional” (Lawy er ,

Acc ountant or Notary) in the UK or an equivalent jurisdiction* . C ertification of these documents (via a signature) must include the

position and cont act details of the certifier . If these documents are not certified b y a “prof essional” , then we will be requir ed to

carry out additional identity checks.

I/W e have c ompleted the separ ate Customer Identification Requirements Sheet (available on www .cat erallen. co. uk) and

provided c opies of the nece ssary ID documents. I/W e have enclosed a personal cheque written fr om an acc ount in my/our name

with a bank in the UK or an equivalent jurisdiction for the t otal amount I/we wish t o place on deposit and made payable t o the

name of the Acc ount. Please note this cheque cannot be writt en from a Cat er Allen ac count.

Please note: Absenc e of any of the abov e required documents will result in delays to the opening of your Acc ount.

10 Acce pt a n ce Applicant(s) to c omplete This ac c eptanc e should be signed by all applicants. Sole T r aders – the Sole T r ader is requir ed to sign Partnership – by a minimum of 2 partners Limited Liability Partnerships – b y a minimum of 2 Designat ed Members

Privat e Limited C ompany – by 2 Direct ors or by 1 Dir ector and the Company S ecretary , or if there is no C ompany Secretary and onl y a Sole Dir ector ,

or if the Sole Dir ector is also the Company S ecretary then the Sol e Director must sign. In this instanc e the Sole Direct or must sign in the presenc e of a

witness who att ests the signature . PL C – by a minimum of 2 Direct ors or 1 Direct or and the C ompany Secretary 25%+ Shareholders who are not A uthorised Signatorie s on the Acc ount By signing this Application Form I/we agr ee that: I/W e have c ompleted all relevant sections of this application form

I/We ha ve read the D eclaration and Mandate and Dat a Prot ection Statement, and agree that you can use my/ our inf ormation as stated in the D ata

Prot ection Statement

I/We ha ve rec eived and acc ept the T erms and Conditions of this Acc ount and agree t o also be bound by any subsequent amendments advised t o me/

us by the Bank from time t o time

I/W e confirm the v alidity of the Authorised Signatorie s detailed in the Authorised Signat ories section of this Renewal Mandate

Cater Allen Privat e Bank is duly authorised to operat e the Acc ount

I/W e hereby c ertify that the inf ormation provided in this application f orm is, to the best of my knowledge and belief , ac curat e and complet e in

all respects

I undertake t o advise Cater Allen Privat e Bank within 30 days of any change in circumstanc es which aff ects my tax re sidenc y status or causes the

information c ontained herein t o become inc orrect I have r eceiv ed a copy of the FSCS Information Sheet and Exclusions List.

10 Ac ceptanc e (continued) Applicant(s) to c omplete Signature of first applicant Signature of sec ond applicant Signature(s) of 25%+ Shar eholders who are not Authorised Signatorie s on the Ac count Signature of first person D D M M Y Y Y Y Signature of sec ond person D D M M Y Y Y Y

T o be c ompleted only by a W itness who is attesting the signature of a Sol e Director of a Private Limited C ompany .

W e do not r equire any personal document ation for you. Permanent re sidential addr ess Oc cupation

Cat er Allen Privat e Bank is able t o provide lit eratur e in alternative f ormats. The f ormats available ar e: Large Print, Br aille and

A udio CD. If you would lik e to r egister to r eceive c orrespondenc e in an alt ernative f ormat please c ontact us on 0800 092 3300. For

the hard of hearing and/ or speech impaired pl ease use the T ext Relay servic e. Further details can be f ound at http:/ /ngts. org. uk /

Cater Allen Privat e Bank is the name used for banking service s provided by Cat er Allen Limit ed. Registered Of fice: 2 T riton Squar e, Regent’s Plac e, London,

NW1 3AN. Register ed in England and Wale s number 383032. A uthorised by the Prudential Regulation Authority a nd regulat ed by the Financial Conduct Authority

and Prudential Regulation Authority . Our Financial Services Regist er number is 178737. Y ou can check this on the Financial Servic es Register by visiting the FCA ’s

websit e www .fca.or g.uk /regist er . Cater Allen Limited is p art of the Santander group . Cater Allen and the flame logo are regist ered trademarks . Calls may be recor ded

or monit ored. T elephone 0800 092 3300. ww w .cat erallen.c o.uk CA TER ALLEN, P ART OF THE SANTANDER GR OUP CAPB 0249 JAN 21 H Additional information Applicant(s) to c omplete

Please use this section t o provide further details of your organisation 's business activitie s; or any other additional inf ormation relev ant t o your