Stock Transfer Form

Please also consider other existing requirements for stock transfers which can be found on the relevant Fund Groups page

Stock Transfer Guide

When completing stock transfers, whether between nominees or from a private client to a Nominee, the requirements remain the same:

  1. Receipt of a correctly completed original Stock Transfer Form;
  2. Money Laundering completed for transferor and, if applicable, transferee (If outstanding for a private client this will result in rejection of the request);
  3. Sufficient cleared units to transfer; and
  4. Gross Declaration (where applicable)
To assist you in correctly completing the Stock Transfer Form, please see the IMA Guidance Notes (see right).

Stock Transfer Form checklist

  1. Have you provided the correct fund name and ISIN code? Do they match?
  2. Have you provided the correct number of units or, alternatively, stated “All”?
  3. Do your figures and words match for number of units/shares to be transferred?
  4. Has the lodging agent stamped the form (if commission is to be paid to them)?
  5. Have you stated the correct registered address and designation?
  6. If you are transferring from or to a private client, do you need to provide an Agent Verification Certificate or Money Laundering Documents with your instruction?
  7. Has the form been signed by the appropriate authorised signatories and are their capacities stated?