Custodian Declaration Form for the United Kingdom

Custodian Declaration Form Template for England and Wales

A Custodian Declaration Form is a formal legal document used in England and Wales that establishes and confirms the relationship between a custodian and asset owner(s). It details the assets being held, the terms of custody, and the custodian's obligations under relevant financial regulations. The document serves as evidence of the custodial arrangement and compliance with UK regulatory requirements, particularly those set out by the Financial Conduct Authority (FCA) and other relevant regulatory bodies.

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What is a Custodian Declaration Form?

The Custodian Declaration Form is a crucial document in the financial services industry, particularly in England and Wales, where it serves to formalize and document custodial arrangements. This document is typically required when assets need to be held by a regulated custodian on behalf of their owner, ensuring compliance with regulatory requirements and establishing clear lines of responsibility. The form includes detailed information about the assets being held, the identity of beneficial owners, and the custodian's obligations. It's particularly important for regulatory compliance, audit trails, and establishing clear custody chains in financial transactions.

What sections should be included in a Custodian Declaration Form?

1. Declaration Header: Identity of custodian and date of declaration

2. Asset Details: Specific description of assets being held in custody

3. Beneficial Owner Information: Details of the beneficial owner of the assets

4. Custodian Obligations: Core responsibilities and duties of the custodian

5. Regulatory Compliance Statement: Confirmation of compliance with relevant regulations

6. Execution Block: Signature section and witness requirements

What sections are optional to include in a Custodian Declaration Form?

1. Sub-Custodian Arrangements: Details of any sub-custodian arrangements - include when assets are held through sub-custodians

2. Foreign Asset Provisions: Specific provisions for foreign-held assets - include when custody includes non-UK assets

3. Corporate Action Handling: Procedures for handling corporate actions - include when custodied assets include corporate securities

What schedules should be included in a Custodian Declaration Form?

1. Schedule 1 - Asset Register: Detailed listing of all assets held in custody

2. Schedule 2 - Fee Schedule: Details of custodian fees and charges if applicable

3. Appendix A - Regulatory Certifications: Copies of relevant regulatory licenses and certifications

4. Appendix B - Operating Procedures: Detailed procedures for asset handling and management

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

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Declaration Of No Conflict Of Interest

A legal document under English and Welsh law where an individual formally declares the absence of any conflicts of interest that could affect their professional duties.

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What is a Custodian Declaration Form?

What sections should be included in a Custodian Declaration Form?

What sections are optional to include in a Custodian Declaration Form?

What schedules should be included in a Custodian Declaration Form?

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