Useful Forms

Brochure, application and account transfer forms

CREST and Stock Transfer forms

  • Crest Transfer Form - a CREST Transfer Form is used to deposit certificated stock into a Nominee Account. Please download and print out the form and make sure that you fill in the following details:
    • "Name of Undertaking" - The Company Name (i.e. Barclays or Vodafone)
    • "Description of Security" - Security Description (i.e. ORD GBP1 or ORD USD0.10)
    • "Words" - Number of Shares in Words.
    • "Figures" - Number of Shares in Figures.
    • "In the name(s) of" - Please enter your FULL name and address, exactly as it appears on your certificate.
    • "Please Sign Here" - All of the registered holders of the certificate need to Sign the Form.

    You can leave the rest of the form blank as we will complete any additional details. Remember to return your certificate with the transfer form if we do not already have it. If you are still unsure how to complete the transfer form, please look at the Crest Transfer Form Sample

  • Stock Transfer Form - a Stock Transfer Form is used to deposit any stock into a Nominee Account that cannot settle electronically (i.e. through CREST). Securities such as Unit Trusts fall into this category. Please download and print out the Stock Transfer Form and fill in the following details:

    • "Name of Undertaking" - The Company Name (i.e. Artemis Fund Managers)
    • "Description of Security" - Security Description (i.e. High Income Trust)
    • "Words" - Number of Units/Shares in Words.
    • "Figures" - Number of Units/Shares in Figures.
    • "In the name(s) of" - Please enter your FULL name and address, exactly as it appears on your certificate.
    • "Signature(s) of transferor(s)" - All of the registered holders need to Sign here. You also need to sign page 2 at the top and enter the current date.

    If you are still unsure how to complete the transfer form, please look at the following sample forms:

US Stocks - Important Documentation

Canadian Stocks - Important Documentation

  • CRA Form - if you wish to trade in Canadian shares, you will need to complete a CRA form before you can trade. This form ensures that you are afforded the appropriate tax relief on any income that is paid to you


  • Direct Debit Form

  • Authority to Deal Form - Please complete and return this form to authorise an individual to deal on your behalf. Please note - third party authorisation does not extend beyond placing trades on behalf of the account holder(s) and all account administration requests can only be accepted from the named account holder(s).

  • Gifting Cash and Gifting Shares form

    Please complete and return, if you wish to gift cash to a spouse/ civil partner or child you will need to complete "Gifting Cash form".

    If you wish to gift shares to your spouse/civil partner's trading account (non-isa) please complete "Gifting Shares form"

  • Complex Instruments Appropriateness Test - The Markets in Financial Instruments Directive's appropriateness requirements apply where firms sell products without advice. Defining a product as 'complex' means firms selling these products without advice will need to assess whether a potential purchaser has the necessary experience and knowledge to understand the product they wish to purchase - this is the 'appropriateness test'.

    Understanding Complex Instruments

    Buying investment products such as shares, investment trusts and exchange-traded funds (ETFs) is a simple and quick process in the majority of cases, however if a more 'complex' product is what you are looking to purchase, we need to confirm that you understand the product you are looking to purchase.

    A 'complex' product is a financial instrument that may be difficult to understand because of its structure or features. Often, they will have different risks associated with them compared to what you would find when investing in equities. Because of this, they may not be suitable for all investors.

    Investing in complex instruments can involve additional risks, these may not always be obvious or easy to understand. Some of the risks associated with complex instruments may include;

    • Market risk- this is the risk of losses due to movements in market prices. Complex instruments may invest in many underlying markets, therefore leaving you exposed to more market risks.
    • Leverage risk- some complex instruments will use leverage, which are financial strategies to multiply potential gains or losses, like using derivatives. The use of leverage can potentially result in higher losses.
    • Liquidity risk- some complex products may be illiquid, which means it may be difficult to sell the instruments quickly or easily.

    A couple of examples of instruments which may be deemed complex are listed below;

    Instrument Type
    Index-Linked Debt An index-linked bond is a bond in which payment of interest income on the principle is related to a specific price index, usually the Consumer Price Index.
    Subscription Shares Newly issues securities that an investor has agreed or stated their intent to buy prior to the issue date. When investors use rights, they expect to own the designated number of shares to which they have subscribed once the offering is complete.
    Exchange Traded Funds One type of complex ETF is a leveraged ETF. While a typical exchange-traded fund (ETF) aims to track the returns of a sector, market or index, a leveraged ETF aims to match and then amplify those returns. Basically, they use complex financial techniques to try and increase the potential return of the investment. Bear in mind, this means the potential losses of the investment are also amplified. That's what makes leveraged ETFs more volatile, risker and complex.

    If you would like to invest in a complex Instrument, you will need to complete and return a Complex Instrument Appropriateness Test. Please click here to download the form.

CRS Self-certification declaration form for an individual

Entity tax residency Self Certification Form

CRS Self cerification form with Appendix (Individual)

You may have been asked to confirm or provide additional personal details relating to your share dealing account

This is because your account details indicate that you are, or appear to be, tax resident outside the UK, and Regulations based on the OECD Common Reporting Standard (CRS) require Financial Institutions to collect and report certain information about an account holder's tax residence.

How does this affect you?

If you have received this request, please confirm your details as required on the online form which can be accessed by clicking the button below. Please keep in mind that if you have a joint account, both individuals are required to complete separate CRS Self-certification declaration forms. Should you have any questions about this request please contact the Client Services team at

Unfortunately without this additional information you will not be able to continue trading after this date.