CLIENT INFORMATION AND RECORDS FORM

PURPOSE OF THIS FORM

This form is intended to help the Competent Person identify clients, account references, records held by clients, prior instructions and areas requiring further investigation. It is an information-gathering form only. It is not a formal claim form, withdrawal request, transfer instruction, compensation application, or confirmation of any balance, position, asset, loss or entitlement.

CURRENT POSITION

Regulatory restrictions affect transactions involving client accounts. The Competent Person is gathering and reviewing information from available company records, clients and relevant third parties. The present status of individual balances, positions, orders, securities, instructions and assets may not yet be established.

QUESTIONS THE FORM CANNOT CURRENTLY ANSWER

While the Competent Person will continue to act in the best interest of the clients, the completion of this form will not currently provide or determine: (1) an official procedure for claiming or withdrawing a remaining balance; (2) a timetable for reconciliation or return of funds or assets; or (3) final claim forms or identity-verification requirements for any future process. If a formal procedure is established, separate instructions will be issued.

WHAT COMPLETION OF THIS FORM WILL NOT CONFIRM

A verified balance; the present status of a position or order; whether an instruction was executed; the location or availability of particular funds or assets; a withdrawal, repayment or securities-transfer date; a reconciliation timetable; commencement of a claim or compensation process; or final document requirements for any future process.

1. Person providing the information
 

HOW TO COMPLETE THIS SECTION

Please copy account details from the latest statement, confirmation, screenshot or correspondence available to you. Do not provide passwords, platform credentials, PINs or security codes.

3. Records available to you

EVIDENCE-LED APPROACH

Please provide what records are available to you. The form asks what these records show; it does not ask you to establish the current position of the account.

DOCUMENT HANDLING

Provide only records relevant to the Trive account. Do not include passwords, credentials, PINs or unrelated personal information. Identity or authority documents should only be provided through an approved secure channel if specifically requested.

4. Matters covered by your information

5. Balance information shown in your records

IMPORTANT

Enter only figures shown in a statement, screenshot or other record available to you. These figures will be recorded as client-supplied information and will not be treated as verified balances or accepted entitlements.

6. Trading activity and prior instructions

IMPORTANT

Do not state that a position or order is currently open unless you have current verified information. Describe what was shown in the last records available to you and any instruction you previously submitted.

7. Securities and investment holdings shown in your records

IMPORTANT

Describe only securities or investments shown in records available to you. Receipt of this information does not confirm that the holding remains recorded, available for transfer or beneficially owned by the respondent.

8. Complaints and external correspondence

9. Final declaration

ACKNOWLEDGEMENT

The Competent Person will issue a submission reference after receipt. Please quote that reference in later correspondence. Avoid duplicate submissions unless you obtain material new information or are asked to provide clarification.

Data protection

Personal data provided through this form will be protected and processed in accordance with applicable data protection laws and Grant Thornton’s privacy policies. The information will be used only for purposes connected with the Competent Person’s functions, including client identification, account verification, reconciliation, review of supporting information, stakeholder communication and regulatory reporting, where applicable.