When investing in unit certificates of funds managed by IAD, the Investor enters into a contractual relationship with IAD on the basis of Investor registration form and issue of participation certificates (hereinafter the “Investor registration form”), General Terms and Conditions (SK), Data Processing and Security Terms, Common Operating Rules a the IAD Price List. Investments in funds are governed by the Statutes of funds and Sales prospectuses for funds in which the Investor will invest.
Forms
In this section you will find forms for investing in funds, savings programs and for IAD ONLINE Approach. These forms are intended for Slovak investors. For investors registered on the basis of the distribution of participation unit certificates in the Czech Republic, the forms are available at https://www.iad.sk/cs/dokumenty/
Fund investment forms
The form is used for registration of a new Investor who is obliged to provide, together with the Investor registration form, documents necessary for identification of the Investor as well as of every natural person acting on behalf of the Investor and their verification pursuant to Article B. 2.9 General Terms and Conditions .
Below you will find a list of necessary documents from the Investor, who is required to deliver the individual documents with the Investor registration form to the IAD headquarters whereas IAD may also request other identity verification documents:
- Natural person: identity document (e.g. identity card or passport or residence permit in Slovak Republic if you are a foreigner residing in the territory of Slovak Republic),
- Minor natural person: birth certificate, completed Disposition Rights form (SK) and proof of identity of legal representative,
- Natural person and entrepreneur identity document and extract from the official register or other official register in which he is registered (not older than three months),
- Legal entity and business company or cooperative: extract from the business register, official register or other official register in which the Investor is registered (not older than three months), proof of identity of the natural person acting on behalf of the Investor, completed Disposition Rights form (SK) and completed Client identification form for legal entities (EN),
- An association of natural or legal persons or legal entity other than a company or cooperative (e.g. civic association, association, trade union, political party or political movement, church or religious society, local government, interest group of legal entities), special-purpose association of property (e.g. foundation, institute or fund created as an association of assets), territorial self-governing units (e.g. a municipality or a higher territorial unit) or other entity stipulated by the law (budgetary or contributory organization and others), Investor, extract from an official register or other official register in which it is registered (not older than three months), proof of identity of the natural person acting on behalf of the Investor, completed Disposition Rights form (SK) and completed Client identification form for legal entities (EN),
- Investor represented by a proxy holder – in addition to the documents referred to Article B. 2.9 point. a) to e) of the General Terms and Conditions as well as written power of attorney with a certified signature of the Investor as well as documents necessary for identification of the trustee and their verification to the reasonable extent according to Article B. 2.9 point. a) to e) of the General Terms and Conditions, and identity document of the natural person authorized to act based on a power of attorney,
- U. S. Resident – if the Investor is a U.S. resident (U.S. citizen or with the U.S. State Tax Residency), he/she is obliged to complete the FATCA forms for the physical resp. legal entity.
FATCA questionnaire for natural person (SK)
Attachments to the FATCA questionnaire for physical resp. Legal entity – actual forms can be found here: IRS W-8 and IRS W-9
Slovak Republic is included in the list of states that have reached an agreement with the USA on the basic content of the intergovernmental treaty MODEL IGA 1. IAD identifies the links of the shareholder via these questionnaires – natural or legal person of U.S. and its inclusion for FATCA purposes.
FATCA is the US Foreign Account Tax Compliance Act of 18 October 2010, effective as of 1 July 2014. For foreign (and Slovak) institutions, it entails certain obligations in identifying and verifying clients, as well as reporting information required by law to help U.S. prevent tax evasion. On the effective date of FATCA, IAD has taken measures to comply with FATCA requirements and has registered on the U.S. Internal Revenue Service (IRS) site with financial status of an institution which is bound by FATCA obligations under the intergovernmental contract MODEL 1. IAD has been assigned a Global Intermediary Identification Number (GIIN): L1409Z.99999.SL.703.
IAD is required to review Investor’s relations with the US according to FATCA. If the Investor states in the Shareholder registration form and Issuance of participation units, or in another contractual documentation US residency, or if it happens in the future, it is obliged to deliver the completed FATCA questionnaire together with the annexes to the IAD.
The investor is obliged to deliver the Shareholder registration form with the relevant documents to the IAD’s headquarters. The form consists of 4 pages. The Investor’s signature on the Shareholder registration form shall be verified by IAD or by the Intermediary that accepts the Shareholder registration form (written with the Investor), otherwise the Investor’s signature on the Shareholder registration form must be officially verified.
The Investor shall, together with the Investor registration form and issuance of participation certificates, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
The form shall be attached to the Shareholder registration form in the case of an underaged client, legal entity, or proxy.
The form shall be completed by the Investor if:
- the Investor notifies IAD of the natural person authorized (the power of attorney) to dispose of Investor’s unit certificates on behalf of the Investor on its behalf, including requesting their redemption, the manner and its specimen signature; if the Investor has granted authorization (power of attorney) to several natural persons, IAD must at the same time notify whether they must act jointly or each may act independently,
- an investor that is a legal entity notifies IAD of the natural persons authorized to act on behalf of the Investor as statutory bodies or members of the statutory body of the Investor and their specimen signatures,
- an investor who is underage or has no legal capacity notifies IAD of the natural person authorized to act on behalf of the Investor as the Investor’s legal representative and its specimen signature.
The Signature of the Investor must be verified by IAD or by the Intermediary who accepts the Disposition Rights (written with the Investor); the Intermediary shall be entitled to verify the Investor’s signature on the Disposition Rights form only if he simultaneously accepts (written with the Investor) the first Investor’s Application for Registration. Otherwise, the investor’s Signature on the Disposition Rights form must be verified officially.
The investor may at any time change or cancel the Disposition Rights. The Investor makes and submits the change or cancellation of the Disposition Rights to the IAD in writing via the Service Request Form. The investor’s signature on such a Service Request form must be verified by the IAD, otherwise the Investor’s signature on the Service Request form must be officially verified.
The Investor shall, together with the Disposition rights, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
Using the Request for Redemption Form, the Investor may request the redemption of Unit certificates upon application for:
- redemption of unit certificates from the investor´s assets
- redemption of unit certificates of one mutual fund connected with subsequent issue of unit certificates of another mutual fund (“Transfer between mutual funds”)
The Investor’s signature on the Request for Redemption of Unit certificates or on the Service request form made and filed by the Investor shall be verified by the IAD in writing, otherwise the Investor’s signature on such Request for Redemption of Unit certificates or on the Service Request Form shall be officially verified.
The Investor shall, together with the Application for the Redemption of Unit certificates or the Fund transfer form, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions .
The Investor shall, together with the Application for Redemption of Unit certificates, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
The form is used for reporting changes of: personal or identification data of the shareholder, email address for online communication, phone number.
By means of this form, the Investor can apply for:
- Change of investor data The Investor is obliged to notify and prove any change in the data relating to the Investor contained in the Investor registration form and any change of documents necessary for identification and verification of a person submitted to IAD immediately after its occurrence by means of the Service Request Form; especially:
– change of name, surname, permanent address, correspondence address, type and number of identity document, state of tax residence, e-mail address used for online communication, phone number for the purpose of IAD ONLINE, the status of a politically exposed person, the status of a US resident.The Investor’s signature on such Service Request form is verified by IAD or by the Intermediary (but the Intermediary may not verify the Investor’s signature on the Service Request form notifying the investor´s phone number change for the purpose of providing the IAD ONLINE Access); otherwise the Investor’s signature must be verified officially.Together with the Service Request form, the Investor is obliged to submit to IAD the documents proving the change of the data relating to the Investor included in the Investor Registration form and actual documents necessary for identification and verification of the person submitted by the Investor to IAD.
- Change of Intermediary The Investor may use the Service Request form (SK) to change the Intermediary (to notify IAD of the new Investor´s intermediary).
- Disposition rights The investor may at any time cancel the granted rights of disposal through the Service Request Form.The investor’s signature on such a Service Request form must be verified by IAD, otherwise the Investor’s signature on the Service Request form must be officially verified.
The Investor shall, together with the Service request form, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
Transfer of unit certificates is a change of the ownership made pursuant to a contract according to the Securities Act (a contract for the purchase of bonds, bonds donation agreement). The Transferor and the transferee apply for a change in the ownership of Unit certificates in the List of shareholders and for the transfer of Units and the procedure shall be governed by the Common Operating Rules.
Orders for registration of transfer of unit certificates shall be given by the Transferor and the Acquirer in writing and together in one form, Notice of Change of Unit Holder – Transfer of Units. The authenticity of the signatures of the Transferor and the Acquirer shall be verified by the IAD, otherwise their signatures shall be officially verified.
The Acquirer is obliged to attach to the form a photocopy of the identity document and completed Investor registration form, if not done so yet.
The Investor shall, together with the Announcement regarding change of the Ownership of Unit Certificates – transfer of unit certificates, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
Passing of unit certificates is a change of the owner of the unit certificate based on a legally valid inheritance decision, a valid decision of another government authority or on the basis of other legal facts stipulated by generally binding legal regulations and the procedure is regulated by the Common Operating Rules.
To register the transfer of unit certificates (change in the person of the unit holder) shall be submitted by the Acquirer in writing on the announcement regarding change of the owner of unit certificates – Passing of Units certificate. The signature of the Acquirer shall be verified by IAD, otherwise the signature shall be officially verified.
The acquirer is obliged to attach to the form a document, original or an officially certified copy thereof proving the entitlement to acquire a unit certificate (eg a final judgment of the competent court in succession proceedings, certificate of the competent notary in charge of the succession court, final judgment of the competent court in other related proceedings), otherwise, IAD shall not register the transfer of the participation certificate.
The Acquirer shall attach to the form a photocopy of the identity document and a duly completed Application for Registration of the Unitholder and Issuance of Units if he has not already done so in the past.
The Investor shall, together with the Announcement regarding change of the Ownership of Unit Certificates – passing of unit certificates, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
In the form, the authorized person (a creditor, a pledge or NBS pursuant to Section 45 (6) of the Securities Act) uses this form to create, change and terminate the contractual lien on the book-entry unit certificates of the shareholder – pledge. The list of documents which should be attached is given in the form.
The contractual lien on the unit certificates shall be registered in the register of liens on unit certificates kept by IAD and the procedure is governed by the Common Operating Rules. The form must be delivered to IAD headquarters. If investor’s signature is not verified by IAD, the authenticity of the signature must be verified officially.
The Investor shall, together with the Application for contractual lien registration, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
Application for statutory lien registration (SK)
The authorized person (competent state authority based on a final decision issued pursuant to special regulation) asks for the creation, change and termination of the legal lien on the book-entry unit certificates of the shareholder. The list of documents to be attached is given in the form.
The statutory lien on the unit certificates shall be registered in the register of liens on unit certificates kept by the IAD and the procedure shall be governed by the Common Operating Rules. The form must be delivered to the IAD headquarters. If investor’s signature is not verified by IAD, the authenticity of the signature must be verified officially.
The Investor shall, together with the Application for statutory lien registration, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
Order to Register a Secure Transfer of Unit Certificates (SK)
An authorized person (a creditor or debtor) uses this form to request the establishment, change or termination of a security transfer of unit certificates of a shareholder – debtor. If a security transfer is established or terminated, an authorized person also submits the Notice of a Change in the Owner – Transfer of Unit Certificates form. The list of documents to be attached is given in the form.
The security transfer to the unit certificates is registered in the register of security transfers of unit certificates kept by IAD and the procedure is regulated by the Common Operating Rules. If investor’s signature is not verified by IAD, the authenticity of the signature must be verified officially.
The Investor shall, together with the Order to register a secure transfer of unit certificates, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
Suspension of the right to dispose of (“PPN”) Unit certificates (SK)
An authorized person (owner of unit certificates, pledgee, securities trader based on an instruction or a contract with a shareholder, authorized government authority, bailiff, oversight authority, IAD) uses this form to submit an order to register the suspension of the right to dispose with unit certificates (establishment, termination).
The form with documents proving the authorized person’s authorization to submit the order to suspend the right to dispose needs to be delivered to IAD’s headquarters. If investor’s signature is not verified by IAD, the authenticity of the signature must be verified officially.
The Investor shall, together with the Suspension of the right to dispose of unit certificates, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
Forms for the Profit, Top Life, VIP, Istota Invest and Junior Invest Saving Programs
Investor requests a change in the amount of the monthly contribution in PROFIT and TOP LIFE savings program or a change in the contractual period of TOP LIFE saving.
The client is required to deliver the form with the relevant documents to IAD’s headquarters. If investor’s signature is not verified by IAD, the authenticity of the signature must be verified officially.
The Investor shall, together with the Request for change in the Profit and Top Life Saving products, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
Investor requests a change of e.g. change of target amount, change of saving period, extra deposit or other in given programs.
The client is required to deliver the form with the relevant documents to IAD’s headquarters. If Investor’s signature is not verified by IAD, the authenticity of the signature must be verified officially.
The Investor shall, together with the Request for change of the Variabilný investičný program, Istota Invest and Junior Invest Schemes, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
The form must be delivered to IAD headquarters. If the investor’s signature is not verified by IAD, the authenticity of the signature must be verified officially. The financial agent can verify the signature of the Investor only if the Investor makes a request to the IAD for New access data for IAD ONLINE or Consent to the information by electronic means.
By means of this form, the Investor can submit the following applications:
- Request to create Secure Access to IAD ONLINE
The request is intended for shareholders who have not set up the secure data access service.
- Request to change the Secure Access to IAD ONLINE
The request is intended for shareholders who wish to change secure access to data.
- Request to Unblock Secure Access to IAD ONLINE
The request is intended for investor who wish to unblock secure access to data. At the same time, Investor can request new access to IAD ONLINE.
- Request for new access data for IAD ONLINE Access
The Investor requests the IAD to assign it new Access Data for the IAD ONLINE Access assigned to the IAD (Password and Encryption Key).
- Consent to the provision of information in electronic form
The investor gives the IAD consent to the provision of information through electronic means of communication.
The Investor shall, together with the Requests for IAD ONLINE access and consent to provide information by electronic means, provide IAD with the documents necessary for the identification and verification of the person and their verification pursuant to Article B. 2.9 General Terms and Conditions.
