Stock Transfer Guide
When completing stock transfers, whether between nominees or from a private client to a Nominee, the requirements remain the same:
To assist you in correctly completing the Stock Transfer Form, please see the IMA Guidance Notes (see right).
- Receipt of a correctly completed original Stock Transfer Form;
- Money Laundering completed for transferor and, if applicable, transferee (If outstanding for a private client this will result in rejection of the request);
- Sufficient cleared units to transfer; and
- Gross Declaration (where applicable)
Stock Transfer Form checklist
- Have you provided the correct fund name and ISIN code? Do they match?
- Have you provided the correct number of units or, alternatively, stated “All”?
- Do your figures and words match for number of units/shares to be transferred?
- Has the lodging agent stamped the form (if commission is to be paid to them)?
- Have you stated the correct registered address and designation?
- 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?
- Has the form been signed by the appropriate authorised signatories and are their capacities stated?