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Mainstream Online Web Portal

Investors can view their accounts online via a secure web portal. After registering, you can access your account balances, periodical statements, tax statements, transaction histories and distribution statements / details.
Advisers will also have access to view their clients’ accounts online via the secure web portal.

Application Forms

Please ensure that you have read and understood the Product Disclosure Statement (PDS) or Information Memorandum (IM), (as the case may be), for the relevant fund you are investing in prior to completing an Application Form.

Self-Certification Forms

Customer Identification Forms

If you are a new investor in any Pendal investment fund you will need to download and complete the relevant Customer Identification Form/s below with the relevant application form.

I am a/an:

Individual, Joint Investor or Sole Trader

What Customer Identification Form(s) do you need?

Individuals, Joint Investors* and Sole Traders Customer Identification Form

iImportant Note

*Each Joint investor must complete a separate Customer Identification Form.

Australian and Foreign Companies

What Customer Identification Form(s) do you need?

Australian Company Customer Identification Form Foreign Company Customer Identification Form

If you are a Proprietary Company, each Shareholder* who is an individual must also complete an  Individuals, Joint Investors and Sole Trader Form. (up to 4)

If no Shareholders can be identified, then each Controlling Party* must complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

iImportant Note

*A Shareholder is an individual who ultimately owns 25% or more of the company’s issued capital.*A Controlling Party is any individual who directly or indirectly controls the company. This includes exercising control through the capacity to determine decisions about financial or operating policies; or by means of trusts, agreements, arrangements, understanding and practices; voting rights of 25% or more; or power of veto. If no such person can be identified then the most senior managing official/s of the company (such as the managing director or directors who are authorised to sign on the company’s behalf).

Trusts and Trustees

What Customer Identification Form(s) do you need?

Regulated Trust Customer Identification Form Unregulated Trust Customer Identification Form

If you are an Unregulated Trust, a separate Individuals, Joint Investors and Sole Traders form and/or Australian and Foreign Companies form will also need to be completed for each Trustee based on their nature. (up to 4)

Each Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

iImportant Note

* A Controlling Party is any individual who directly or indirectly controls the Trust. Control includes the capacity to influence the way in which the Trust conducts its affairs, including by having the ability to determine decisions about the Trust’s financial and operating policies.

Partnerships and Partners

What Customer Identification Form(s) do you need?

Partnerships and Partners Customer Identification Form

Each Beneficial Owner/Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

If no Beneficial Owners can be identified, then each Controlling Party* must complete an Individuals, Joint Investors and Sole Traders form – (up to 4)

If no Beneficial Owners or Controlling Parties can be identified, then the most senior managing official/s of the partnership (such as the Managing Partner or Senior Managing Official).

iImportant Note

*A Beneficial Owner is an individual who ultimately owns 25% or more of the partnership, or is entitled (either indirectly or directly) to exercise more of the voting rights of the partnership, including power of veto. * A Controlling Party is any individual who directly or indirectly controls the Partnership. Control includes exercising control through the capacity to determine decisions about financial or operating policies; or by means of trusts, agreements, arrangements, understanding and practices.

Associations

What Customer Identification Form(s) do you need?

Associations Customer Identification Form

Each Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

iImportant Note

* A Controlling Party includes any individual member that directly or indirectly controls the Association, such as the Chairman, President, Treasurer or Secretary of the Association.

Government Bodies

What Customer Identification Form(s) do you need?

Government Bodies Customer Identification Form

If you are a Foreign Government Body, each Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

iImportant Note

* A Controlling Party is any individual that directly or indirectly controls the Government Body, such as the Chairman, President, Treasurer or Secretary of the Government Body.

Registered Cooperatives

What Customer Identification Form(s) do you need?

Registered Cooperatives Customer Identification Form

Each Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

iImportant Note

* A Controlling Party includes any individual that directly or indirectly controls the Registered Cooperative, such as the Chairman, President, Treasurer or Secretary of the Registered Cooperative.

Other

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