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Useful information & forms

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Here are all the share dealing forms you'll need to get your account up and running:

  • To apply by post complete an application form for a Trading Account (510 KB) or Stocks and Shares ISA (510 KB) and post it to this address:

     
    Yorkshire Building Society Share Dealing Service
    c/o Jarvis Investment Management plc
    78 Mount Ephraim
    Tunbridge Wells
    Kent
    TN4 8BS
     
    Important Notice: If you have more than one nationality Jarvis will require you to record your National Identifier for each nationality. For further details please click here.

  • To transfer an existing share dealing account or ISA from another broker, complete a transfer form (544 KB) .
     
  • To set up a direct debit for your account complete a Direct Debit form. (209 KB)
     
  • To sell your share certificates by post (UK stocks only) simply complete certificate sale pack (524 KB) the and send this with your share certificates together with a signed Crest transfer form (53 KB) to the address above.
     
  • If you already have a Trading Account you can deposit any existing share certificates you hold into your account by completing a Crest transfer form (53 KB) for each stock and sending the forms and share certificates to the address above.
     
  • If you would like to authorise an individual to deal on your behalf, please complete 'Authority to Deal' form. (503 KB) and return this 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).
     
  • If you wish to invest in US shares, you will need to complete a W-8BEN Form before you can trade. Obtaining this documentation ensures that we can give you any appropriate tax relief on any income that is paid to you. Please refer below for additional links:

     

Quick Guide to Completing a W-8BEN (240 KB)

W-8BEN Form (61 KB)

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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'.

Find out which types of investment instrument are deemed 'Complex.'

 

Instrument Type

Subordinated Debt Instruments

Subordinated debt is a loan or security that ranks below other loans and securities with regard to claims on a company's assets or earnings. Subordinated debt is also known as a junior security or subordinated loan.

 

Unlisted Equity

An unlisted security is a financial instrument that is not traded on an exchange, but through the over-the-counter (OTC) market. Market makers facilitate the buying and selling of unlisted securities in the OTC market. Because they are not exchange traded, unlisted securities can be less liquid than listed securities.

Index-Linked Debt

An index-linked bond is a bond in which payment of interest income on the principal is related to a specific price index, usually the Consumer Price Index. This feature provides protection to investors by shielding them from changes in the underlying index.

Callable Bonds

A callable bond (also called redeemable bond) is a type of bond (debt security) that allows the issuer of the bond to retain the privilege of redeeming the bond at some point before the bond reaches its date of maturity.

Asset Backed Securities

An asset-backed security (ABS) is a security whose income payments and value are derived from and collateralized (or "backed") by a specified pool of underlying assets. The pool of assets is typically a group of small and illiquid assets which are unable to be sold individually.

Participating Capital and Convertible Preference shares

The term participating convertible preferred stock refers to a security commonly issued as part of venture capital financing. Participating convertible preferred stock provides the holder with the rights to both dividends as well as a conversion feature.

Perpetual Bonds

Perpetual bond, which is also known as a perpetual or just a perp, is a bond with no maturity date. Therefore, it may be treated as equity, not as debt. Issuers pay coupons on perpetual bonds forever, and they do not have to redeem the principal.

Convertible Debt

In finance, a convertible bond or convertible note or convertible debt (or a convertible debenture if it has a maturity of greater than 10 years) is a type of bond that the holder can convert into a specified number of shares of common stock in the issuing company or cash of equal value.

Subscription Shares

Newly issued 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.

Puttable Bonds

A Puttable bond is a bond with an embedded put option. The holder of the puttable bond has the right, but not the obligation, to demand early repayment of the principal. The put option is exercisable on one or more specified dates.

Stepped Coupon Bonds

An interest paying bond whose coupons change to pre-determined levels on specific dates.

Equity Linked Notes

An equity linked note (or ELN) is a debt instrument that varies from a standard fixed-income security in that the coupon is built on the return of a single stock, basket of stocks, or equity index, otherwise known as the underlying equity.

Derivatives and Structured/Hybrid Products

In structured finance, a structured product, also known as a market-linked investment, is a pre-packaged investment strategy based on a single security, a basket of securities, options, indices, commodities, debt issuance or foreign currencies, and to a lesser extent, derivatives. A hybrid product is a combination of two or more types of financial products. The combination of annuities and long-term care insurance provides an example of a hybrid product.

Mortgage Backed Securities

A mortgage-backed security (MBS) is a type of asset-backed security that is secured by a mortgage or collection of mortgages. The mortgages are sold to a group of individuals (a government agency or investment bank) that securitizes, or packages, the loans together into a security that investors can buy.

Exchange Traded Commodities

Commodity ETFs are exchange-traded funds (ETFs) that invest in physical commodities, such as agricultural goods, natural resources and precious metals. A commodity ETF is usually focused on either a single commodity, holding it in physical storage, or it is focused on investments in futures contracts.

Composite Units

A composite unit is a set of different products grouped together in proportion to their sales mix. In other words, its' a way to categorize and group products from different business segments together in an effect to manage sales, inventory levels, and break-even points.

Defaulted Bonds

In finance, default is failure to meet the legal obligations (or conditions) of a loan, for example when a home buyer fails to make a mortgage payment, or when a corporation or government fails to pay a bond which has reached maturity.

Contingent Convertible Debt (CoCo Bonds)

Contingent convertible securities, otherwise known as 'CoCos', are hybrid securities issued by banks as debt instruments (e.g. bonds) and automatically converted into equity shares if a contractually pre-defined 'trigger event' occurs.

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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. (195 KB)

 

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National Identifier

As part of the account opening process, we need to record your National Identifier. If you have more than one nationality, we need to record the relevant national identifier for each nationality.

As an example, if you are a British national we require your National Insurance number.

If you have both British and German nationality, we require both your UK National Insurance number and your German Personal Identity Card number.

A list of the identifiers can be found below:

Country

National Identifier

Austria

No national ID is required

Belgium

Belgian National Number (Numéro de registre national - Rijksregisternummer)

Bulgaria

Bulgarian Personal Number

Croatia

Personal Identification Number (OIB - Osobni identifikacijski broj)

Cyprus

National Passport Number

Czech Republic

National identification number (Rodné èíslo)
If you do not have a National Identification number use the following:
Passport Number

Denmark

Personal identity code 10 digits alphanumerical: DDMMYYXXXX

Estonia

Estonian Personal Identification Code (Isikukood)

Finland

Personal identity code

France

No national id required

Germany

Personal Identity Card Number (Personalausweisnummer)

Greece

10 DSS digit investor share

Hungary

No national ID required

Iceland

National Passport Number (Kennitala)

Ireland

No national ID required

Italy

Fiscal code (Codice fiscale)

Latvia

Personal code (Personas kods)

Liechtenstein

National Passport Number
If you do not have a National Passport Number use the following:
National Identity Card Number

Lithuania

Personal Code (Asmens kodas)
If you do not have a Personal Code use the following:
National Passport Number

Luxembourg

No national ID required

Malta

National Identification Number
If you do not have a National Identification Number use the following:
National Passport Number

Netherlands

National Passport Number
If you do not have a National Passport Number use the following:
National identity card number

Norway

11 digit personal ID (Foedselsnummer)

Poland

National Identification Number (PESEL)
If you do not have a National Identification Number use the following:
Tax Number (Numer identyfikacji podatkowej)

Portugal

Tax number (Número de Identificação Fiscal)
If you do not have a Tax Number use the following:
National Passport Number

Romania

National Identification Number (Cod Numeric Personal)
If you do not have a National Identification Number use the following:
National Passport Number

Slovakia

Personal number (Rodné číslo)
If you do not have a Personal Number use the following:
National Passport Number

Slovenia

Personal Identification Number (EMŠO: Enotna Matična Številka Občana)

Spain

Tax identification number (Código de identificación fiscal)

Sweden

Personal identity number

United Kingdom

UK National Insurance number

All other countries

National Passport Number

 

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Yorkshire Building Society share dealing service is provided by Jarvis Investment management Ltd (Jarvis), and Jarvis is entirely responsible for the performance of the services. Jarvis Investment Management Ltd is authorised and regulated by the Financial Conduct Authority. Jarvis is a member of the London Stock Exchange and NEX Exchange, and an approved HM Revenue & Customs ISA manager.

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