TeX Registration Form – TISA Exchange

Please note this form can be saved and completed later – to do this, please scroll to the bottom and complete ‘email address of person filling out this form’, then click ‘Save & Continue’ to receive a link to return and complete. This form should be completed in conjunction with the ‘Notes to the Contract Club Joining Form and Registration Form’ and the TeX Register Data Dictionary.

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

Brand name (If relevant)

Address

Street Address

Address Line 2

City

Post Code

Country

Company Number

VAT Registration Number

VAT Country

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 please tick the second box and complete the section providing supporting details.

Joining Company Details *

Joining Form submitted electronically to accompany this Registration Applicant is a Subsidiary Undertaking of below

If Subsidiary: Joining Company Name or TeX Joining Reference Number

Confirmation of group relationship attached (if relevant)

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 separate applications.

Member Category

4. Regulatory Information

Financial Services Register Firm Reference Number (FRN) or equivalent EEA authority number

Regulatory Information

Agreeing to carry on a regulated activity Arranging (bringing about) deals in investments Arranging safeguarding and administration of assets Safeguarding and administration of assets (without arranging) Managing a UCITS Managing an authorised AIF Managing an unauthorised AIF

EEA Passport

Details of membership of any alternative body/affiliations (if not listed on the Financial Services Firm Register)

Reference attached from the Chairman of the Trustees of any scheme for which the Applicant acts as administrator (jpg, pdf, doc or docx).

5. Further Information About Applicant

Electronic transfer information:

This is the information used by TeX members to facilitate electronic messaging and is vitally important.

Applicant elects to communicate and process transfers:

Manually only Manually and electronically

Electronic Solution Provider

Business entity BIC

SWIFT DN

Market Practice Version Supported

Additional electronic systems address information (if relevant):

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

Ceding ISA

Ceding Pension

Acquiring GIA

Acquiring ISA

Acquiring Pension

General transfer information:

ISA Manager reference number

Nominee Name Format

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

Brand / Book Details

Account Number Format

Example

Account Number Format Notes

Common Rejection Reasons

Preferred Chase communication

Chase contact information or process

Supported Transfer Details:

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

Partial Asset transfers supported

Encash All supported

Book costs supported

LISA transfers supported

JISA/CTF transfers supported

IUH transfers supported

Partial Transfers In of Current Year ISA Subscription supported

Partial Transfers Out of Current Year ISA Subscription supported

Electronic Conversion Requests supported

Supported Transfers Extra Notes

6. Share Class Conversions (SCC)

Share Class Conversions

SCC Submission – Email

SCC Submission Link – Website

SCC Submission – Fax

SCC Submission Notes

7. TeX Register Contacts

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

TeX Relationship Manager – Role

TeX Relationship Manager – Email

TeX Relationship Manager – Telephone

BAU contact – Name

BAU contact – Role

BAU contact – Email

BAU contact – Telephone

First tier escalation – Name (cannot be the same as second tier escalation)

First tier escalation – Role

First tier escalation – Email

First tier escalation – Telephone

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

Second tier escalation – Telephone

Nominated corporate representative – Name

Nominated corporate representative – Role

Nominated corporate representative – Email

Nominated corporate representative – Telephone

8. Applicant’s Agent for service

If the Applicant appoints an agent who will deal with TeX and other TeX members complete the details below.

Agent Name

Agent Address

Street Address

Address Line 2

City

Post Code

Country

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

Street Address

Address Line 2

City

Post Code

Country

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.

New Marketing Group Tick here if an Annual Membership Fee for this category has already been paid in respect of another entity in the same Marketing Group and identify the relevant entity/ies below:

Name

TeX Membership Reference 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

Purchase Order Reference Number (if required):

Company Name (for invoice)

Invoice – Address

Street Address

Address Line 2

City

Post Code

Country

11. Additional Information (if required)

Include any additional information here e.g. contact details for any additional BAUs. Note that no Applicant may specify any additional provisions, conditions or limitations on the terms of the Membership Agreement.

Additional Information

12. Verification

Please provide details of the MLRO listed on the FCA Register. We will contact the MLRO where required to verify the person named in section 13 is employed and authorised to act on behalf of the company. Please note that the application cannot be processed until we receive confirmation.

Name of MLRO of Company named in Section 1

Name

Email address of MLRO

13. Declaration

TeX will now carry out the necessary due diligence on the information submitted, once verified we will email the TeX declaration to the signatory provided through our digital signature platform. This must be signed for your application to be processed. We will issue any invoices due on receipt of the signed declaration.

Name of signatory

Email address of signatory

Enter Email

Confirm Email

Name of additional signatory (if required)

Email address of additional signatory (if required)

Enter Email

Confirm Email

Email address of person filling out this form.

We will send a copy of this form to this email address. The signatory you have supplied above will receive a copy of the form with the declaration.

Enter Email

Confirm Email

Date of going live on TeX register

Date of new entrant Bulletin to other TeX members