Documents

Fund name

Business Terms and Conditions for Providing Secure Access to Data

Documents on Secure Access to IAD ONLINE

This section contains forms for investing in mutual funds and saving schemes, and for setting up access to IAD ONLINE. These forms are intended for Slovak investors. If the place of payment is specified in the Czech Republic, please complete the Czech forms.

Forms for investing
in mutual funds

Request for Registration of Shareholder and Issue of Unit Certificates (SVK)

To be completed by those interested in investing in mutual funds. The following documents must be attached to the form:
  

  • A major natural person -a photocopy of an identity card;
  • A minor natural person - a copy of the birth certificate and completed Disposition Rights to Unit Certificates form;
  • A legal entity - original or a certified photocopy of an extract from the Business Register of the Slovak Republic or an extract from an official register or other official records (not older than three months), completed Disposition Rights forms and completedInvestor’s Declaration on Ultimate Beneficiary form; 
  • A natural person - entrepreneur - a photocopy of an identity card, original or a certified photocopy of an extract from an official register or other official records (not older than 3 months);
  • Association - a confirmation from the trade union, a confirmation from the Statistical Office on the assignment of Company ID and completedInvestor’s Declaration on Ultimate Beneficiary form.

The client is required to deliver the completed form with the relevant documents to IAD’s registered office. A completed form consists of four pages: A page with identification details to be completed by the investor and the financial agent, contractual arrangements (2 pages), information about mutual funds for payment transfer. If the request is completed in the absence of a financial agent or an authorised employee of IAD, the client’s signature on the form must be officially certified.

Politically exposed person - for a detailed definition of this term, see: Who is a politically exposed person.

US Resident - if the shareholder is a US resident (US citizen or US tax resident), the FATCA forms (see below) must be completed along with the Request for Registration of Shareholder.

Disposition Rights (SVK)

To be completed by a shareholder in two cases:

  • The shareholder wants to designate other persons who are entitled to act on behalf of the shareholder
  • The shareholder is a minor person, a person without legal capacity or a legal person.In such a case, the Disposition Rights form must be delivered with the Request for Registration of Shareholder and Issue of Shares (the Registration Request) or with the Saving Agreement and the Custody Agreement (the Agreement).

The client is required to deliver the form to IAD’s registered office. If the form is delivered to IAD with the Request to Issue Unit Certificates, the client’s signature on the form must be certified by a financial agent or an authorised employee of IAD; otherwise, it must be officially certified. If the form is delivered to IAD separately, the client’s signature on the form must be certified officially or by an authorised employee of IAD.

Consent to Provision of Information in Electronic Form (SVK)

The form needs to be delivered only if the client did not agree with the sending of information when completing the Request for Registration and Issue of Unit Certificates.

In the form, the client agrees with the sending of information to the client’s e-mail address (trade confirmations, annual statements from the shareholder’s account, other information about investing in mutual funds).

The client is required to deliver the form to IAD’s registered office. If the request is completed in the absence of a financial agent or an authorised employee of IAD, the client’s signature on the form must be officially certified.

Request for Payment of Unit Certificates (EN)

In the form, the client requests the payment of unit certificates; a photocopy of an identity card needs to be attached.

The client is required to deliver the form to IAD’s registered office. If the request is completed in the absence of an authorised employee of IAD, the client’s signature on the form must be officially certified.

Request for Provision of Services (SVK)

In the form, the client requests:

  • A change in shareholder personal or identification details (change of surname, address of permanent residence, mailing address, type and number of identity card, e-mail address for the sending of information in electronic form);
  • A change in a mobile phone number to IAD ONLINE (secure access to data); Regular payment of unit certificates;
  • A change of the financial agent;
  • Other changes.

In the event of a change in personal and identification detailsa photocopy of the identity card needs to be attached to the form.

The client is required to deliver the form to IAD’s registered office. If the form is completed in the absence of a financial agent or an authorised employee of IAD, the client’s signature on the form must be officially certified.

In the event of regular payment of unit certificates or a change in the mobile phone number to the IAD ONLINE service (secure access to data), the client’s signature must be certified by an authorised employee of IAD or officially.

FATCA Questionnaire for a Natural Person (SVK)

Attachments to the FATCA questionnaire for natural or legal persons - current IRS W-8 and IRS W-9 forms.

The Slovak Republic is included in the list of countries that agreed with the USA on the basic content of the Intergovernmental Agreement MODEL IGA 1. In this questionnaire, IAD identifies links of a natural or legal person to the USA and their FATCA classification.

FATCA is US Foreign Account Tax Compliance Act of 18 October 2010, effective from 1 July 2014. For foreign (and also Slovak) institutions, it imposes certain obligations to identify and verify clients, and an obligation to report information required by this Act about clients who are US tax residents. By obtaining this information, the Act will help the USA to prevent tax evasion. As at the effective date of FATCA, IAD Investments adopted measures to comply with the FATCA requirements and registered on the US Internal Revenue Service’s website with the status of a financial institution that is bound by the FATCA obligations under the Intergovernmental Agreement MODEL 1. IAD was assigned Global Intermediary Identification Number: L1409Z.99999.SL.703.

FATCA requires IAD to examine shareholder/investor links to the USA. If a shareholder/investor states in the Request for Registration and Issue of Unit Certificates that he/she/it is or will be a resident of the USA, IAD is required to deliver a completed FATCA questionnaire with attachments.

Notice of a Change in the Owner of Unit Certificates - TRANSFER of Unit Certificates (SVK)

Transfer of a unit certificate is a change in the owner of a unit certificate under a purchase agreement or a donation agreement concluded under the Securities Act. A transferor (client) and a transferee (new owner) of the unit certificate use this form to request a change in the owner of unit certificates. The form must be accompanied by the Request for Registration of Shareholder and Issue of Unit Certificates (if the transferee has not delivered the Request for Registration before) and the unit certificates if they are in the client’s possession.

The form must be delivered to IAD’s registered office. If the form is completed in the absence of an authorised employee of IAD, the signatures of the client and the new owner on the form must be officially certified.

Notice of a Change in the Owner of Unit Certificates - PASSING of Unit Certificates (SVK)

Passing of a unit certificate is a change in the owner of the unit certificate based on a final decision on inheritance, a final decision of another government authority or based on other legal facts laid down in acts of general application. The acquirer (heir) of a unit certificate uses the form to request a change in the owner of unit certificates and is required to attach, for example, a final resolution of the competent court in the inheritance proceedings, a certificate of the competent notary responsible for the inheritance proceedings or a final resolution of the competent court in other related proceedings.

The form must be accompanied by the Request for Registration of Shareholder and Issue of Unit Certificates (if the acquirer has not delivered the Request for Registration before).

The client (heir) is required to deliver the form to IAD’s registered office. If the request is completed in the absence of an authorised employee of IAD, the client’s signature on the form must be officially certified.

Consent with the Method of Providing the Key Investor Information Document (KIID)

The form is completed and signed by the client who wishes to invest in mutual funds managed by IAD Investments to confirm that the client has become familiar with the Key Investor Information document pursuant to the Collective Investment Act, and the client chooses the notification method.

If the client completes a current Request for Registration of Shareholder and Issue of Unit Certificates, this form does not need to be submitted.

Order to Register a Contract Lien (Book-Entry Unit Certificates), (SVK)

An authorised person (a creditor, pledgor or NBS pursuant to Article 45 (6) of the Securities Act) uses this form to request establishment, change and termination of a contract lien on book-entry unit certificates of a shareholder - pledgor. The list of documents to be attached is specified in the form.

The form must be delivered to IAD’s registered office. If the form is completed in the absence of an authorised employee of IAD, the authorised person’s signature on the form must be officially certified.

Order to Register a Statutory Lien (Book-Entry Unit Certificates), (SVK)

An authorised person (a competent government authority based on a final decision issued under special legislation) uses this form to request establishment, change and termination of a statutory lien on book-entry unit certificates of a shareholder. The list of documents to be attached is specified in the form.The form must be delivered to IAD’s registered office.

Contract Lien on Documentary Unit Certificates

An authorised person (a creditor, pledgor or NBS pursuant to Article 45 (6) of the Securities Act) submits an order to register the establishment, change and termination of a contract lien to Centrálny depozitár cenných papierov SR, a.s. in accordance with its Operating Rules. The authorised person is required to notify IAD using the Order to Register a Contract Lien form. The list of documents to be attached is specified in the form. The client is required to deliver the form to IAD’s registered office. The authorised person’s signature must be certified by IAD’s authorised employee or officially.

Statutory Lien on Documentary Unit Certificates

An authorised person (a competent government authority based on a final decision issued under special legislation) submits an order to register the establishment, change and termination of a statutory lien to Centrálny depozitár cenných papierov SR, a.s. in accordance with its Operating Rules. It is also required to submit unit certificates that are to be pledged or on which a change or termination of a statutory lien should be indicated.

Order to Register a Security Transfer of Unit Certificates (Book-Entry Unit Certificates), (SVK)

An authorised 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 authorised person also submits the Notice of a Change in the Owner - Transfer of Unit Certificates form. The list of documents to be attached is specified in the form. The form needs to be delivered to IAD’s registered office.
The authorised person’s signature must be certified by IAD’s authorised employee or officially.

Security Transfer of Documentary Unit Certificates

An authorised person (a creditor, debtor) submits an order to register the establishment, change and termination of a security transfer to Centrálny depozitár cenných papierov SR, a.s. in accordance with its Operating Rules.

Suspension of Right to Dispose of Unit Certificates (SVK)

An authorised person (owner of unit certificates, pledgee, securities trader based on an instruction or a contract with a shareholder, authorised 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 authorised person’s authorisation to submit the order to suspend the right to dispose needs to be delivered to IAD’s registered office. The authorised person’s signature must be certified by IAD’s authorised employee or officially.

Forms for the Profit, Top Life, VIP,
Istota Invest and Junior Invest Saving Schemes

Request for Change in the PROFIT and TOP LIFE Saving Products (SVK)

The client is required to deliver the form with the relevant documents to IAD’s registered office. If the form is completed in the absence of a financial agent or an authorised employee of IAD, the client’s signature on the form must be officially certified.

Request for Change of the Variabilný investičný program, Istota Invest and Junior Invest Schemes (SVK)

The client is required to deliver the form to IAD’s registered office. The client’s signature on the form must be officially certified.

IAD ONLINE Access Forms

Request to Set Up Secure Access to Data (SVK)

The request is intended for shareholders who have not set up the secure data access service.
For the PLUS access, the authenticity of the signature must be officially certified if it is not certified by an employee of IAD Investments.

Investor’s Consent (SVK)

It is used to authorise another investor to have passive secure access to the authorising investor’s data.

Request to Change Secure Access to Data (SVK)

The request is intended for shareholders who wish to change secure access to data.
The authenticity of the signature must be certified in accordance with the provisions of special acts of general application.

Request to Block Secure Access to Data (SVK)

The request is intended for shareholders who wish to block secure access to data due to a loss or theft of access data to the service.

Request to Unblock Secure Access to Data + Grant New Access (SVK)

The request is intended for shareholders who wish to unblock secure access to data.
The authenticity of the signature must be certified in accordance with the provisions of special acts of general application.

Year
Annual reports on results
Half-year reports on results
2010
-
-
-
-
2009
-
-
-
-

Report on the results of merged mutual funds

Fund name
Annual reports on results
Half-year reports on results
EURO Cash

The EURO Cash mutual fund
merged with
EURO Bond
mutual fund.
CREO
The CREO mutual fund
merged with
the Growth Opportunities mutual fund