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Service Contract Savings Plan

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1. Our Proposition

We provide a summary of the services we offer, and the associated costs in our Terms of Business. We advise you to read these terms carefully. 


We agree to provide the services you have selected, and you agree to pay us for those services. We require you to confirm this by electronically signing and dating our service contract. Our proposition offers services of both an initial and/or ongoing nature. We will only provide ongoing services as part of the agreed ongoing service contract for which you agree to pay the commensurate fee. Where you engage with one of our ongoing service propositions, this will be provided as a follow up to the initial service unless we make an alternative arrangement.

 

We are only able to provide you with advice or recommendations once we have made a detailed assessment of your current circumstances, financial objectives, investment experience, your capacity for loss and attitude to any risk that may be involved. We will also take into account any restrictions that you may wish to place on the type of products you would be willing to consider. SIM do this on our behalf by conducting an online factfind  with you and documenting the answers that you provide.

2. Services and Charges Agreed

Advice on regular savings plan

Stage 1 - Online Fact find to determine:

  • Your objectives and needs
  • Assess your investment experience, attitude to risk and capacity for loss
  • Collect your Know Your Client documentation

No charge

Stage 2 

  • Strategy formulation
  • Provision of detailed written recommendations

No charge

Stage 3

  • Implementation of recommendations

No charge

Ongoing Services

Guarantee that we will store meticulous records of your original transactions with us.

 

Regulatory protection for the advice we provide.

 

The benefit of AWML’s product research capability, investment manager due diligence, and extensive review process. This includes the cost of its licensed investment research software and the time spent in monitoring, maintaining and enhancing its suite of solutions.

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Communications and Marketing Preferences

Occasionally, we or associated parties, may send you marketing/promotional communications via email, telephone or post. Recipients will be carefully selected, and information will only be sent where we or the associated party feel it to be appropriate. Should you wish to opt out in the future, you can do so at any time. Please indicate your preferences using the boxes below (by placing a tick in the appropriate box).

 

(Optional)

Marketing Preferences

I would like to OPT IN to receiving marketing as detailed above
Client 1
Client 2

How would you like to receive our marketing?

Client 1
Post
Email
Phone/SMS
Client 2
Post
Email
Phone/SMS

4. Client 1 Politically Exposed Person (PEP) Questionnaire

A PEP connection includes the applicant, family members or close associates (including anyone with a close business relationship, e.g. joint ownership of a company, a partnership, or anyone benefiting from any company/other entity owned by the applicant) please specify if you currently hold or have held the position of:

Member of Parliament/Government*
Yes
No
Member of the board or senior executive of a central bank or state-owned enterprise*
Yes
No
High ranking officer in the armed forces*
Yes
No
Honorary consul*
Yes
No
Minister or deputy minister*
Yes
No
An ambassador, charge d’affaires or other high-ranking officer in a diplomatic service*
Yes
No
Senior member of management of, or a member of, the governing body of an international entity or organisation*
Yes
No

Client 2 Politically Exposed Person (PEP) Questionnaire

Member of Parliament/Government
Yes
No
Member of the board or senior executive of a central bank or state-owned enterprise
Yes
No
High ranking officer in the armed forces
Yes
No
Honorary consul
Yes
No
Minister or deputy minister
Yes
No
An ambassador, charge d’affaires or other high-ranking officer in a diplomatic service
Yes
No
Senior member of management of, or a member of, the governing body of an international entity or organisation
Yes
No

5. Client 1 US/Canada Residency Questionnaire

Are you a US or Canadian citizen?*
Yes
No
Will a US or Canadian correspondence address be used for your business with us?*
Yes
No
Were you born in the USA or Canada?*
Yes
No
Will there be a power of attorney or signing authority granted to a person with a US or Canadian address?*
Yes
No

Client 2 US/Canada Residency Questionnaire

Are you a US or Canadian citizen?
Yes
No
Will a US or Canadian correspondence address be used for your business with us?
Yes
No
Were you born in the USA or Canada?
Yes
No
Will there be a power of attorney or signing authority granted to a person with a US or Canadian address?
Yes
No
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How did you generate the money that will be paid into your savings plan? *
Which organisation will your money be sent from? *

By signing the declaration below, you confirm that you have read and understood the Terms of Business document provided to you, the fees agreed for the service(s) AWML are providing to you, your marketing preferences, your PEP status (if applicable) and you confirm your connections to the US and Canada.

Date issued
Client 1 Name *
Client 1 Email Address *
Client 1 Contact Number *
Client 1 Date of Birth (DD/MM/YY) *
Client 1 Address *
Client 1 Signature *
Clear
Date issued
Client 2 Name
Client 2 Email Address
Client 2 Contact Number
Client 2 Address
Client 2 Date of Birth (DD/MM/YY)
Client 2 Signature
Clear
Accept Terms *

I have read and agree to the Terms of Business.

Submit

This button will take you to the Spring Investment Platform to secure your login account and get started. Please note that Spring will be a controller of your personal information you can access their privacy policy here.

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Save today for the things that matter tomorrow

Save today for the things that matter tomorrow