1. Details of Entity/Brand to appear on the TeX Register (the 'Applicant') This is how other TeX members will identify this company on the TeX Register.
Company Name*
Type of Entity* * Company Partnership LLP Individual Other
Please provide further details of the type of entity
Brand Name (if relevant) This will assist TeX members in identifying this company on the TeX Register.
Address*
Company Number* Companies House number of the TeX member, this should be the same as the companies house number against your listing on the FCA register.
VAT Registration Number*
VAT Country The country to which your VAT registration number is associated (if not the UK).
2. Joining Fee A joining fee is payable only once in respect of all applicants in a corporate group. If a joining fee has already been paid in respect of the Applicant’s corporate group, the Applicant can tick the second box and complete the section below identifying the group of which they are part and providing supporting evidence.
Joining Company Details* If Subsidiary: Joining Company Name or TeX Joining Reference Number (if known)
Confirmation of group relationship attached (if relevant). This may be useful where the relationship between the company and the Joining company may be unclear.
3. Member Category Further information on membership types is available here . Please note a Pension Provider does not form part of the Multi-Role Member category. If you are a Pension Provider in addition to any of Service Provider, Asset Manager or Multi-Role Member then you would need to submit two applications.
Member Category* * Service Provider Asset Manager Multi-Role Member Pension Provider
4. Regulatory Information Financial Services Register firm reference number (FRN) or equivalent EEA authority number* The FRN is the FCA’s Firm Reference Number or equivalent EEA Authority number. This is used to ensure that TeX members shown on the TeX Register have the required permissions to support their TeX membership. Where the register entity is a fund e.g. UCITS then the Firm Reference Number of the issuer is provided.
Regulatory Information Please confirm at least 1 of the following FCA permissions required for TeX membership is held by the applicant (or provide alternative details below if no relevant permissions are held).
EEA Passport N/A BCD MiFiD UCITS
Pension Provider If registering as a Pension Provider and not shown on the Financial Services Firm Register:
Details of membership of any alternative body/affiliations
Reference attached from the Chairman of the Trustees of any scheme for which the Applicant acts as administrator (jpg, pdf, doc or docx). Reference attached from the Chairman of the Trustees of any scheme for which the Applicant acts as administrator.
5. FURTHER INFORMATION ABOUT APPLICANT Electronic transfer information: This is the information used by TeX members to facilitate electronic messaging and is vitally important to TeX members.
Applicant elects to communicate and process transfers:* Electronic Solution Provider* We advise that new members check with their solution provider/vendor to confirm their readiness for being listed on TeX register and therefore ability to transact electronically.
* Equisoft Calastone Direct connection Origo
Business entity BIC* This is your identifying BIC which Identifies the business conducting the transfers and is included in the xml messages exchanged. It is not the BIC8 or BIC11. Your electronic solution provider will be able to provide further information and support if required.
SWIFT DN* Your electronic solution provider will be able to provide further information and support if required.
Market Practice Version Supported* The UKETRG market practice version your system supports. Currently all members are on version MPJUN22.
Additional electronic systems address information (if relevant): You may want to include your BIC8 and BIC 11 here;
A BIC8 is mandatory and is used for routing the messages to the correct place on SWIFT at the highest level. If a vender hosts the solution for the client this will be the Vendors BIC8 (eg Altus is ALUSGB2L or Calastone is CLAOGB2L). Your BIC8 may be the same as the identifying BIC if you are not using a hosted vendor solution.
A BIC11 can be used for routing to the correct place on SWIFT on the lower level “branch” at the organisation who owns the BIC8, quite often this is the BIC8 with ‘XXX’ appended on the end eg for Altus ALUSGB2LXXX or Calastone is CLAOGB2LXXX)
Transfer Notes
Applicant elects to communicate & process transfers per account type as follows: Select N/A if any not relevant to your business.
Ceding GIA* Manual Electronic N/A
Ceding ISA* Manual Electronic N/A
Ceding Pension* Manual Electronic N/A
Acquiring GIA* Manual Electronic N/A
Acquiring ISA* Manual Electronic N/A
Acquiring Pension* Manual Electronic N/A
General transfer information: ISA Manager reference number* Mandatory for TeX members transferring ISAs electronically.
Nominee Name Format Please provide an example of your standard Nominee name.
TeX Membership / Transfer Scope
Account Number Format* Provide details of your standard format(s) for account numbers for your customers within this brand, in alpha/numeric format eg ACNNNNN – Letters AC followed by 5 digits etc
Account Number Format Notes Provide any further information relevant to your standard format(s) for account numbers within this brand.
Preferred Chase communication Method on how you would like other firms to communicate with you when chasing up transfer queries.
Email Telephone Webchat
Chase contact information or process Provide contact details (if different to BAU contact) and any further useful information on how to chase transfer requests.
Transfer element information: This information has been requested by TeX members to provide a more efficient and effective transfer process, Please select N/A if any not relevant to your business.
Partial Wrapper transfers supported* Do you support part of a portfolio transfer (a customer’s whole account containing multiple investments) (either manually or electronically or both)?
Yes No N/A
Partial Asset transfers supported* Do you support the transfer of part of an asset/investment (either manually or electronically or both)?
Yes No N/A
Encash All supported* Do you as the ceding party accept an electronic instruction to sell all the assets/investments and transfer as cash (either manually or electronically or both)?
Yes No N/A
Book costs supported* Do you, as the ceding party, provide book cost details (original purchase price) in the transfer process (this is needed for tax purposes) (either manually or electronically or both)?
Yes No N/A
LISA transfers supported* Can you transfer a Lifetime ISA (either manually or electronically or both)?
Yes No N/A
JISA/CTF transfers supported* Can you transfer a Junior ISA and/or Child Trust Fund (either manually or electronically or both)?
Yes No N/A
IUH transfers supported* Can you support IUH transfers (either manually or electronically or both)? An Intermediate Unit Holder is an entity that holds unitised investments on behalf of a third party acting as a nominee for the end customer.
Yes No N/A
Partial Transfers In of Current Year ISA Subscription supported* Can you support the partial transfer in of the current year ISAs subscription (either manually or electronically or both)?
Yes No N/A
Partial Transfers Out of Current Year ISA Subscription supported* Can you support the partial transfer out of the current year ISAs subscription (either manually or electronically or both)?
Yes No N/A
Electronic Conversion Requests supported* If your member category is Asset Manager – please update to ‘Yes’ if you are ready to accept and respond to electronic conversion instruction messages. If your member category is Service Provider or Pension provider then update this field to ‘Yes’ if you are ready to accept and respond to electronic portfolio transfer instructions that contain at least one ‘convert and transfer’ instruction. If your member category is Multi-role and this differs based on service type please update ‘Yes’ and add any additional information required within the Transfer notes section. Please select N/A if not relevant to your business.
Yes No N/A
6. Share Class Conversions (SCC) .
Share Class Conversions* Please select N/A if not relevant to your business. If you support both Electronic & Manual please choose ‘Electronic’.
One of the following 3 fields must be provided unless this field is N/A.
Electronic Manual N/A
SCC Submission – Email ONLY a valid email address can be input here. Please use the notes field below if you want to add anything else.
SCC submission link – Website ONLY a valid website URL can be input here. Please use the notes field below if you want to add anything else.
SCC Submission – Fax ONLY a valid fax number can be input here. Please use the notes field below if you want to add anything else.
SCC submission notes
7. Contact Information Please note that the 1st and 2nd tier contacts must not be the same individual and email addresses must be a named person and not a generic or group email address.
TeX Relationship Manager – Name* The key contact for TeX matters.
TeX Relationship Manager – Role*
TeX Relationship Manager – Email* This MUST be a named individual email not generic or group email address.
TeX Relationship Manager – Telephone*
BAU Contact – Name* The person to whom TeX/other members should refer business as usual matters.
If you require more than one BAU contact to list on the TeX Register then please add the details (Name, Email, phone and Job Role) to the additional information section below.
BAU contact – Role*
BAU contact – Email* This may be a generic or group email address.
BAU Contact – Telephone*
First tier escalation – Name (cannot be the same as second tier escalation)* First tier (Operational Team) – The person to whom TeX/other members should refer operational matters.
First tier escalation – Role*
First tier escalation – Email* This MUST be a named individual email not generic or group email address.
First tier escalation – Telephone*
Second tier escalation – Name (cannot be the same as first tier escalation)* Second tier (Senior Management) – The person to whom TeX/other members should refer unresolved or escalation issues.
Second tier escalation – Role*
Second tier escalation – Email* This MUST be a named individual email not generic or group email address.
Second tier escalation – Telephone*
Nominated corporate representative – Name The person who may vote on behalf of the TeX member at TeX meetings. If the TeX Relationship Manager fulfils this role this field may be left blank.
Nominated corporate representative – Role
Nominated corporate representative – Email This MUST be a named individual email not generic or group email address.
Nominated corporate representative – Telephone
8. Optional If the Applicant appoints an agent who will deal with TeX and with other members of TeX in relation to TeX complete the details below. Applicant’s agent for service:
Agent Name
Agent Address
Agent Contact – Name
Agent Contact – Role
Agent Contact – Email
Agent Contact – Telephone
Scope of Agent's Authority
9. Applicant's UK agent for service Complete if applicant’s office is outside the United Kingdom.
UK Agent Name
UK Agent Address
UK Agent Contact – Name
UK Agent Contact – Role
UK Agent Contact – Email
UK Agent Contact – Telephone
10. Annual Membership Fee If the Applicant is part of a corporate group with two or more Marketing Groups which are TeX members of the same category, only ONE Annual Membership Fee is required in respect of each Marketing Group. Name
TeX Membership Number for the company named above (if known)
Invoice Details If no Annual Membership Fee for this category has been paid by another member of the same Marketing Group please complete the details below.
Invoice – Contact
Invoice – Email All invoices will be sent by email as standard. If an email address is not provided here it will be sent to the person submitting this application.
Purchase Order Reference Number (if required):
Company Name (for invoice) If different to above.
Invoice – Address
11. Additional Information (if required) Include here any additional information for which there is insufficient space in any other Section of this Registration Form e.g. If you require copies of any or all communications to be sent to a second contact (if so, please provide details of the name/role, email and telephone for that second contact) or contact details for any additional representative(s) responsible for day to day technical and/or operational matters in relation to TeX or further details as to scope of any agent’s authority.
Note that no Applicant may specify any additional provisions, conditions or limitations on the terms of the Membership Agreement and any additional provisions, conditions and/or limitations which are specified by any Applicant will be void and of no effect.
Additional Information
12. Verification Please provide details of the MLRO as listed on the FCA Register. We will contact the MLRO to verify that the person named in section 13 is employed and authorised to act on behalf of the company named on this form. Please note that the form will not be processed until we receive confirmation from the MLRO.
Name of MLRO of Company named in Section 1*
Forename
Surname
Email address of MLRO*
13. Declaration TeX will now carry out the necessary due diligence on the information submitted, once verified we will email a declaration to the signatory email address you have provided through our electronic platform Yoti. This declaration must be signed in order for your application to be processed, once we receive the signed agreement, we will instruct our finance department to issue your invoice.
Name of signatory*
Email address of signatory* Name of additional signatory (if required)
Email address of additional signatory (if required) Email address of person filling out this form* If you wish to receive a copy of this form please supply an email address here. The signatory you have supplied above will receive a copy of the form with the declaration.
Date of going live on TeX register* Please indicate when you want to go live on the TeX register, whether a date in the future or as soon as possible .
Date of new entrant Bulletin to other TeX members* This drives the communications that will go out to other members. You’ll need to ensure that you (and your vendor) have everything in place to conduct electronic transfers from this date. Most new registrations have the new entrant bulletin sent out on the same day as going live on the TeX register.
Name This field is for validation purposes and should be left unchanged.