FAQs

Common Shareholder Number (CSN)

All investors who purchase securities listed on the NZX through a broker, will be allocated a CSN which will be your common identifier across all NZX listed securities (all New Zealand registrars will use that number).

Holder Number

The Registrar for the issuer in which you hold your securities allocates this number to you. You will have a different number given to you from each registry, unless you apply for a CSN across all registries through a broker. A holder number is allocated to you when you become the owner of securities by any other means than buying them through a broker.

Either a CSN or a Holder Number will appear on your Securities Transaction Statements, Payment Advices and other related documents you may receive.

Important: your CSN/Holder Number and Authorisation Code (FIN) identify you as the owner of your securities and should be stored securely.

This is a four-digit number, similar to a PIN on a bankcard. You will need to quote your FIN to your broker when you trade (buy or sell) securities. It should be stored in a secure place and not be divulged for any other purpose than trading your shares.

If you are unable to locate your FIN please contact us.

Please be aware that for security purposes, we will not be disclose FINs over the phone. Instead, a replacement FIN card can be despatched to you to your mailing address as held on the register on request.

MUFG Corporate Markets can only place a stop trade on a holding if specifically instructed under legal authority (eg. under court order), or if documents relating to your holding have been lost or stolen.

If your Authorisation Code (FIN) card has been stolen, please contact us immediately and we will make arrangements for a new one to be issued to you.

Brokers provide a variety of services to their clients. Primarily, they facilitate securities trading - that is, the buying and selling of shares. If you want to buy or sell shares you need to do so via a broker.

To find a broker, visit the NZX website.

MUFG Corporate Markets understands that privacy is important to you. MUFG Corporate Markets is subject to the requirements of the Privacy Act, which governs, among other things, how organisations handle personal information.

If you think that one of your holding statements, payment advices, or Authorisation Code (FIN) card has been stolen, you should notify us straight away. We will assist you with an urgent replacement of your documents and make arrangements with you to have a new FIN issued.

For information about the company in which you invest you can;

• Register for email updates - announcements, annual reports, newsletters, etc via the Investor Centre;
• Visit the NZX website; and
• Visit the website of the company

Investors can elect how they receive annual and other financial reports through the Investor Centre. Past reports are available on the issuer website.

Some issuers may specifically preclude shareholdings from registration in a minor's name.

Where not specifically precluded, minors are able to hold shares in their name, however this may present several impracticalities and legal constraints. The following problems could occur:

• The contract to purchase the securities may not be valid.
• They may not be legally entitled to sell shares or sign any transfer out of their name.
• They are not legally allowed to appoint a proxy or vote at meetings.
• They may not be allowed to issue instructions regarding change of address, banking requests and dividend elections.

To overcome these difficulties securities to be held for a minor should be registered in the name of a parent or guardian with an account designation using the minor's name for identification purposes.

To transfer the shares into the name of the parent of guardian, please complete a Minor Statement and Indemnity Form and a Transfer of Ownership Form. The forms should be submitted with a certified copy of the minor's full birth certificate or documentation that appoints you as the guardian.

Please note that above is a summary only and you should seek your own independent advice if you are considering registering shareholdings in the name of a minor.

A certified copy is a copy of an original document that has been certified as a true and correct copy by a person who is authorised to witness a statutory declaration. These include:

• a Justice of the Peace (JP)
• a solicitor or notary public — you may have to pay for their services
• a Registrar or Deputy Registrar of the District Court or the High Court
• a member of Parliament.

To sell your securities, you will need to contact your broker. If you do not have a broker, you can find one on the NZX website.

Please ensure you have your CSN/Holder Number and Authorisation Code (FIN) before you place your sell order.

To merge your holdings, all holdings must have identical names, addresses, IRD numbers and/or payment instructions. If your payment instructions are different, please advise correct bank account instructions for the merged holding. You will need to complete the Merge Multiple Holdings form, quoting your Common Shareholder Number (CSN) or Holder Number. Please nominate the number you wish to retain.

The names, addresses, IRD numbers and/or banking instructions of all holdings must be identical before we can merge your holdings. You can compare and amend most of these details via the Investor Centre.

Yes. However, how you transfer your securities will depend upon your individual circumstances.

If you are CHESS Sponsored, you will need to contact your sponsoring broker who will arrange the transfer on your behalf. If you are Issuer Sponsored and wish to transfer your listed securities - i.e. securities listed on the Australian Stock Exchange - to another person you will need to complete an Off-market Transfer Form (Transfer of Ownership).

If you are Issuer Sponsored and wish to transfer your unlisted securities - i.e. securities not listed on the Australia Stock Exchange - to another person you will need to:

• complete an Off-market Transfer Form;
• have stamp duty assessed and paid on the transfer (in the state of incorporation); and
• lodge the stamped document with MUFG Corporate Markets Market Services Limited.

You will need your SRN or HIN to sell your shares. Transfers must be validly completed and signed and must meet the issuer's conditions of transfer.

Under the Anti-Money Laundering and Counter Terrorism Financing Act 2006, some security issuers must take steps to identify new investors. If the securities you want to transfer are issued by a stapled structure, a trust or a managed fund, then the buyer may need to complete an AML/CTF Investor Identification Information Form and send it to us with your completed transfer form and certified identity documents. Please contact MUFG Corporate Markets in Sydney on +61 1300 554 474 to find out whether the buyer must complete this form. Do this before submitting the transfer to MUFG Corporate Markets for processing!

Information such as address, payment instructions, IRD/tax details and communication elections can be confirmed online by logging into the Investor Centre. Changes made through posted forms may take up to five working days be processed. 

If your change request has not been effected after this period, please contact us.

MUFG Corporate Markets takes the security of your holdings very seriously, therefore there are restrictions on the extent of changes that may be conducted online. Availability is based on several factors, including industry regulations, transaction type and shareholding value. If the update you require is not available online, please complete and sign the relevant form and forward it to us for processing of your instruction.

You can record or change your IRD number by logging into the Investor Centre.

You can update your address details for Individual, Joint and Company holdings by logging in the Investor Centre and selecting 'Update Address' under the 'Communications' section. This change can be applied to one or multiple holdings.

Please note that the Single Holding Login is read only. All updates, subject to restrictions, must be completed via your Portfolio login.

How you change your name on your holding will depend upon your individual circumstances. You can change your name by completing a Name Correction Request and Indemnity Form (Name Correction). Please note that we are unable to accept requests by email or phone.

The completed form should be completed and signed correctly and accompanied by relevant supporting documentation. If you are signing under a power of attorney, a certified copy of the original power of attorney must be lodged with us for noting (if not already noted).

Supporting documentation requirements differ, depending on the reason for the change of name:

• Change of name by marriage - We also require a certified copy of your marriage certificate;
• Change to maiden name - if you wish to revert to your maiden name, we require a certified copy of your marriage certificate;
• Change of name by Deed Poll - We require a certified copy of the deed poll;
• Change of Company Name - We require a certified copy of the Certificate of Registration of Change of Name.

In most cases this simply requires completion of a Name Correction Request and Indemnity Form (Name Correction). Where the error has occurred in our office, we will immediately make the correction without asking you for any further documentation.

Please contact us to request a cancellation and reissue of your payment. Reissued payments are made by direct credit. You can update your payment instructions on the Investor Centre.

Banks will reject direct credits if your bank account details are incorrect, or your bank account has been closed.

We notify all investors of payments that have been rejected by the bank and an updated bank account will be requested to enable payment. All future payments will be credited to the updated bank account provided.

Some issuers allow dividends/distributions to be paid into third-party accounts - that is, accounts with names that don't match that of the register holder. In all cases, the dividends/distributions of joint holdings can be credited into the account of any one of the joint holders.

For information regarding a particular issuer's payment policies, please contact us.

Dividends must be declared in the same tax year in which they are paid. The New Zealand tax year is 1 April through 31 March.

You will find all the payment information required to complete your annual tax return on your payment advices.

If you have invested in a trust and have received distributions, your annual tax statement provides all the information required to complete your annual tax return.

If you are unable to locate your advices and/or tax statements, login to the Investor Centre and download them from the Payment & Tax section.

Alternatively, you can purchase an annual tax summary here.

Please note that taxation will vary depending on your own personal circumstances. You should seek advice from your personal financial adviser or accountant. Tax laws may change over time and the summary above is a broad overview only. It is for information purposes only.

Your dividend history and advices are available online and details the net amount paid to you.

What happens to dividends I haven't received? (Withheld payments and unclaimed monies procedures)

You can obtain details of withheld payments for your shareholding by contacting us.

Payments made more than five years ago if not claimed will be forwarded to Inland Revenue. 

You can find more information here.

Copies of the Dividend Reinvestment Plan (DRP) Rules are frequently available on the issuer's website. Alternatively, please contact us.

To find out if the company in which you invest offers a Dividend Reinvestment Plan (DRP) login to the Investor Centre, if any of your holdings has a current DRP it will appear under Payment & Tax > Reinvestment Plans.

You can update payment instructions for Individual, Joint and Company holdings by logging into your portfolio on the Investor Centre and selecting 'Update Payment Instruction' from the 'Payment & Tax' section.

This change can be applied to one or multiple holdings. For security reasons if a holding is of a certain value or relates to a deceased estate then you will not be able to update this online and you will need to download a 'Request for Direct Credit of Payments' Form from the 'Forms' section.

Please note that the Single Holding Login is read only. All updates, subject to restrictions, must be completed via your portfolio login.

To find out the value of your shares you multiply the number of securities (balance) by the current market price. You can view the value of your holding as of the last close by logging on to the Investor Centre.

For information regarding the tax implications of share ownership, please consult your tax adviser or accountant. Alternatively, visit the Inland Revenue website.

When a holder dies, their assets form part of their estate. The administration of an estate can be complex, time consuming and sometimes distressing. At MUFG Corporate Markets we have created a range of services for assistance when dealing with an estate.

Our Guide to Dealing with the Security Holding of a Deceased Investor is a helpful tool for first-time administrators.

A grant of probate is obtained from the court when the value of an estate exceeds a certain amount. (See Administration Amendment Act 1998).

Probate is a court order saying that the will is valid, and that the executor has the right to administer the estate.

Probate is required to be resealed in New Zealand where the total value of the securities of the estate exceeds a specified amount (see Administration Amendment Act 1998).

Send us the resealed probate along with completed 'Estate Transmission Form' for each security held by the estate.

If the deceased has not left a will, one of the beneficiaries should apply for Letters of Administration. The estate is then administered under the law relating to intestacy (i.e. dying without a will).

Not necessarily, however, executors often enlist the help of a solicitor to administer the estate. Sometimes an experienced professional can provide valuable assistance such as when an estate is intestate.

No, do not send the original documents. All legal documents provided should be certified copies only. 

The necessary forms must be completed and duly signed by the authorised signatories of the estate. For example the executor(s) or administrator(s)

For information regarding the terms and conditions of your employee share plan, please contact your share plan administrator at your place of employment.

If MUFG Corporate Markets administers your company's employee share plan please contact the administrator of the plan for further details on how to contact us.

For information regarding the terms and conditions of your employee share plan, please contact your share plan administrator at your place of employment.

If MUFG Corporate Markets administers your company's employee share plan please contact the administrator of the plan for further details.