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Paper processes

Date: 26 October 2022

4 minute read

When will you need to send us a form?

Quilter's platform allows the majority of our applications and account management processes to be carried out online, helping you to instruct and manage business quicker and more easily.

There are a small number of instructions where a paper form will be required, the most common of which are detailed below. In most cases, it’s quick and easy to email the scanned form straight through to our processing teams using Prompt – our online processing tool. Prompt allows you to securely email instructions, eliminating delays, postal costs and the need for a covering letter.

Access Prompt View document list

Online processes that may require supporting paperwork

Instruction type Forms required - as applicable

Lump sum investment

(for employer payments on CRA)

 Employer Payer Declaration

Regular investment by Direct Debit

(Paper Direct Debit Instruction – required if:

  • More than one signature is needed for the bank account;
  • The payer is not the account holder;
  • The payer is not present when the application is submitted;
  • The investor is an entity (eg trust, company, pension scheme).
 DD Instruction - ISA/CIA/JISA
DD Instruction - CRA
Employer Payer Declaration – for employer payments on CRA (this form includes a DD Instruction)

Cash transfers/transfers by re-registration

(Paper transfer authorities – required for:

  • Transferring JISAs;
  • Other products if transferring provider cannot transfer electronically using Origo)
 View a list of firms that currently use Origo.
Pre-populated transfer authorities can be generated during the online application process.
All applications made under a Power of Attorney Power of Attorney form (including CoVI)
All new applications in the name of an entity (eg a trust, company or pension scheme) Tax declaration and CoVI form CIA/CIB

 

Instructions that aren’t online and where a form is required

Money in

Instruction type Form required

CRA application

(to transfer disqualifying pension credits and pre-A Day crystallisations)

 CRA application to transfer a Disqualifying Pension Credit

CRA application to transfer Pre-A Day benefits
CIA application for a charity CIA Application – charity applicant
ISA APS – spouse inherited ISA application ISA APS - spouse inherited ISA application

 

Money out

Instruction type Form required

Withdrawal requests

(eg for non-private clients, joint account holders, or for payments over £75,000)

Withdrawal/Closure Request – ISA
Withdrawal/Closure Request – CIA
Withdrawal/Closure Request – CIB
Income Instruction – CRA
Tax free lump sum & income instruction - CRA

Set up and maintain regular withdrawals when not submitted as part of an application

(eg for non-private clients or joint accounts)

 Regular withdrawal form – CIB
Regular withdrawal form – ISA/CIA

Setting up bank accounts for withdrawals

(where we cannot automatically verify that the account belongs to the client)

 We need a copy of a recent bank statement or a voided cheque to verify the bank account before allowing withdrawals.
Transfer out

ISA/CIA/JISA - Authority from the new provider

CRA - a Pension Credit Transfer Form

CRA - a Transfer Discharge Form - available by contacting us

Ill health claims

(CRA and JISA)

 CRA – Serious Ill-Health Lump Sum
CRA - Early Retirement because of Ill Health 
JISA - Serious Ill Health Withdrawal Request
Small pots - pension withdrawals Small pots pension lump sum
Open Market Option - CRA Withdrawal to buy an annuity
QROPS transfer - CRA We will provide this form to you in transfer pack

Crystallisation when you have previously taken Pre-A Day benefits

 Tax-free lump sum and income withdrawal form

 

Managing client accounts

Instruction type Form required

Transfer of Ownership

(eg from a CIA or a deceased investor’s ISA)

 Transfer to a CIA (individuals) 
Transfer to a CIA (entity, eg a trust, company or pension scheme)

Direct Debit Amendments

(eg for non-private clients, joint account holders, and employer/third party payers)

 DD Amendment - CRA
DD Amendment - ISA/CIA

Add phased investment

(when not submitted as part of an application)

 Phased Investment Request

Changes to client details and accounts

(where we need to see written evidence, e.g. change of name or adding a Power of Attorney)

 Suitable evidence must be supplied along with the request in writing.

Useful forms:
Change of personal details
Power of Attorney form
Transfer an ISA APS allowance to another ISA manager ISA APS Allowance Transfer
Request assets to be treated as ‘treasured’ Treasured Asset Request

Change of registered contact

(JISA)

 Change of Registered Contact (JISA)

Appoint a Lead Account Holder

(CIA and CIB)

 Appoint a Lead Account Holder

Further support

Step-by-step training

View our ‘how do I’ video guides on how to use the platform, manage your clients’ investments and create reports.

Watch training videos

Platform support

Get instant access to online resources such as training videos and Q&As that will help with your daily tasks.

View platform support

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