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20/09/2018 10:06 a.m.
Trading
NZ/AU Markets   
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Exchange Traded Funds   
NZ Fixed interest   
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New Issues
Government Kiwi Bonds
ANZ Investment Funds
ANZ KiwiSaver Scheme
ANZ Insurance
Currencies & Cash
Online Multi-Currency Account   
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Existing ANZ Securities Customers - Register with Direct Broking now

If you are an existing ANZ Securities customer you can complete your registration for the Direct Broking service now by logging into your ANZ Securities account, clicking on the 'Get ready to trade with Direct Broking' button, and following the registration steps.

New ANZ Securities Customers - Apply for a new ANZ Securities account

To open an ANZ Securities account, please click on one of the 'Apply Now' buttons as determined by your account type, and follow the instructions.
 
Individual or Joint Accounts
Client Agreement - General Terms and Conditions (252 KB)
 
Company, Trust or Partnership
Client Agreement - General Terms and Conditions (252 KB)


Important note:
Companies, Trusts and Partnerships need to have an existing ANZ account to access this service. If you aren’t already an ANZ account holder, simply visit anz.co.nz or come into any branch to sign up
Terms and Conditions
Client Agreement - General Terms and Conditions (252 KB)

Online Multi-Currency Account

Application Form (46 KB)

AND please complete one of the following tax forms:

Individual - Tax Residency and Foreign Tax Information Form (180 KB)
Entity - Tax Residency and Foreign Tax Information Form (277 KB)

Trading in Australia


If you intend to trade shares on the ASX market, you need to download and read the UBS Terms and Conditions and return a completed CHESS application form to ANZ Securities - to complete the CHESS application form please refer to the instructions below.

UBS Terms and Conditions (including Financial Services Guide, Sponsorship Terms and Best Execution Arrangement (1 MB)

CHESS Application Form - Individual, Joint and Partnership accounts (1 MB)
CHESS Application Form - Company accounts.pdf (1 MB)
CHESS Application Form - Trust accounts.pdf (2 MB)

Instructions to complete CHESS application forms for Individuals, Joint, Partnership and Company accounts:
Please complete all fields in your CHESS application form marked as mandatory ("#"), for the following sections:
  • Section 1: You may leave the Govt ID type and ID number fields blank
  • Section 2: Account and Registration Details
  • Section 6: Acknowledgements
  • Section 9: Execution
  • Acknowledgement to UBS Securities Australia Limited

If you wish to transfer shares from an existing ASX Issuer-Sponsored holding or CHESS holding to UBS sponsorship, please also complete the CHESS Sponsorship Transfer form.

You do not need to complete the following sections:
  • Section 3: Banking Information
  • Section 4: Confirmations
  • Section 5: Additional Products Traded
  • Section 7: Customer Verification Requirements
  • Section 8: Copies of Documents
  • Direct Debit Request Form
  • Registered Holder Collateral Cover Authorisation

Instructions to complete CHESS application forms for Trust accounts:
Please complete all fields in your CHESS application form marked as mandatory ("#"), for the following sections:
  • Section 1: Trust Applicant(with Individual or Corporate Trustees)
    You may leave the Govt ID type and ID number fields blank
  • Section 2: Corporate Trustees
  • Section 3: Account and Registration Details
  • Section 7: Acknowledgements
  • Section 10: Execution
  • Acknowledgement to UBS Securities Australia Limited

If you wish to transfer shares from an existing ASX Issuer-Sponsored holding or CHESS holding to UBS sponsorship, please also complete the CHESS Sponsorship Transfer form.

You do not need to complete the following sections:
  • Section 4: Banking Information
  • Section 5: Confirmations
  • Section 6: Additional Products Traded
  • Section 8: Customer Verification Requirements
  • Section 9: Copies of Documents
  • Direct Debit Request Form
  • Registered Holder Collateral Cover Authorisation


Trading on the NXT market

NXT Acknowledgment Form (35 KB)

Trading on the unlisted market

Unlisted Disclaimer Form (153 KB)

The Foreign Account Tax Compliance Act (FATCA)

W-9 form (110 KB)
W-9 form instructions (157 KB)
W-8BEN form (68 KB)
W-8BEN form instructions (178 KB)
W-8BEN-E form (316 KB)
W-8BEN-E form instructions (226 KB)
W-8IMY form (249 KB)
W-8IMY form instructions (254 KB)

Important notes:
  1. We cannot accept a “W” form that has been corrected by hand or corrective substances (twink, white-out etc). If any corrections need to be made to your form, you must start over and complete a new copy of the form.
  2. When completing a W-9 form, please ensure you write the date as Month DD YYYY (e.g. January 1 2000) to avoid confusion between American and New Zealand date formatting.
  3. When completing a W-9 form, if you have changed your surname, for instance, due to marriage without informing the Social Security Administration of the name change, you should enter your first name, the surname name shown on your social security card and your new surname. You should then circle the parts of your name that are associated with your social security number (your first name and your previous surname).
  4. While revocation of US citizenship documents provide useful insights into your current status, we still need a W-8BEN to be completed by those who have previous connections to the US.
  5. We will not accept any "W" form that has been signed and dated more than 3 months prior to the date that the details of the form are recorded in our system.


Account Maintenance

Individuals, Sole Traders, Minors and joint-individuals, please complete the following change of details form.

Change details for Individual or Joint accounts (91 KB)

AND if the account holder is a tax resident of one or more countries other than New Zealand, please complete the following tax form (one per account holder).

Individual - Tax Residency and Foreign Tax Information Form (180 KB)

Company, Trust or Partnership, please complete the following change of details form.

Change details for Trust or Company accounts (100 KB)

AND if the entity or any Controlling Person is a tax resident of one or more countries other than New Zealand, please complete the following form:

Entity - Tax Residency and Foreign Tax Information Form (277 KB)

Important notes:
  1. It is your responsibility to inform all Share Registries (for NZ holdings and all non-CHESS AUS holdings) of these changes in writing
  2. Discrepancies between the registry records and ANZ Securities records will cause delays in settling transactions.
  3. CHESS Account Holders: as this is a broker sponsored account, it is our responsibility to advise your CHESS provider of these changes.

One-off Sale

How are your shares held?

In an Estate, I am the Executor (38 KB)
In an Estate, I am the Solicitor (37 KB)

Registry Forms

New Zealand off-market transfer form: Computershare (80 KB)
New Zealand off-market transfer form: Link Market Services (23 KB)

Supplement Forms

Financial Institution Worksheet (49 KB)
Power of Attorney Supplement Form (32 KB)
FATCA Reasonable Explanation Form (74 KB)