Transfer into investment accounts from external source

Getting started

You can transfer into your Macquarie Investment account:

Broker-sponsored securities (HIN Transfer)
Issuer-sponsored securities (SRN Transfer)
Broker-sponsored securities or managed funds from an external platform or custodian
Managed funds from direct holdings
Limited Power of Attorney (LPOA) transfers.

Things you should know before you get started:

For transfers of Managed Funds that are held with an external platform/custodian, please contact the platform/custodian, and provide them with any documents/information required to initiate the transfer on their end.

The assets must be available on the applicable Investment Menu to be held on platform
For all equity transfers that involve a Change of Beneficial Ownership, the market value must be greater than $500 as at transfer date
Where cost base information isn’t provided, a default cost base is entered as follows:
- Purchase date = Transfer date
- Cost = NIL.
- Please note until this has been rectified, your client’s tax reporting may be incorrect, and any realised gains may be overstated. Once the correct cost base is forwarded to us, we’ll amend the details (this will incur a cost base adjustment fee if not provided within 60 days - please refer to the relevant offer document for more information on this fee)
For assets coming from a company account or an account with a corporate trustee, the forms must be signed by the correct individuals, as per the following guidelines:
- Two Directors, or
- A Director and Company Secretary, or
- The Sole Company Director and Sole Company Secretary
If the external account is a company account or has a corporate trustee, the signatories’ signing positions must be indicated in the designated section, below the signature box (eg Director, Secretary, etc).
Consider whether any dividend reinvestment plans, direct debits, periodic payments or regular buys/sells need to be cancelled with the current service provider.
All forms can be found on the Adviser Tools.

Transfer in broker-sponsored securities (HIN Transfer)

No Change in Beneficial Ownership	Change in Beneficial Ownership	Change in Legal Ownership
1. Broker Transfer Request form for each HIN being transferred, completed with the following: Client’s Wrap account number Asset name, code and number of units to be transferred for all assets being transferred from the same HIN External account name (Securityholder Name Box) HIN of the external broking account (or PID and account number if held with a custodian) Signed by the trustees/directors/owners registered on the external account 2. Cost base information (parcel history)	1. Broker Transfer Request form for each HIN being transferred, completed with the following: Client’s Wrap account number Asset name, code and number of units to be transferred for all assets being transferred from the same HIN External account name (Securityholder Name Box) HIN of the external broking account (or PID and account number if held with a custodian) Signed by the trustees/directors/owners registered on the external account 2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following: Asset name, security code, consideration paid and number of units to be transferred Seller: name of the external broking account, and signed by the trustees/directors/owners of the external account Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account The consideration value and transfer date	1. Broker Transfer Request form for each HIN being transferred, completed with the following: Client’s Wrap account number Asset name, code and number of units to be transferred for all assets being transferred from the same HIN External account name (Securityholder Name Box) HIN of the external broking account (or PID and account number if held with a custodian) Signed by the trustees/directors/owners registered on the external account 2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following: Asset name, security code and number of units to be transferred Seller: name of the external broking account, and signed by the trustees/directors/owners of the external account Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account Consideration: NCBO 3. Cost base information (parcel history)

No Change in Beneficial Ownership

Change in Beneficial Ownership

Change in Legal Ownership

1. Broker Transfer Request form for each HIN being transferred, completed with the following:

Client’s Wrap account number
Asset name, code and number of units to be transferred for all assets being transferred from the same HIN
External account name (Securityholder Name Box)
HIN of the external broking account (or PID and account number if held with a custodian)
Signed by the trustees/directors/owners registered on the external account

2. Cost base information (parcel history)

1. Broker Transfer Request form for each HIN being transferred, completed with the following:

Client’s Wrap account number
Asset name, code and number of units to be transferred for all assets being transferred from the same HIN
External account name (Securityholder Name Box)
HIN of the external broking account (or PID and account number if held with a custodian)
Signed by the trustees/directors/owners registered on the external account

2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following:

Asset name, security code, consideration paid and number of units to be transferred
Seller: name of the external broking account, and signed by the trustees/directors/owners of the external account
Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account
The consideration value and transfer date

1. Broker Transfer Request form for each HIN being transferred, completed with the following:

Client’s Wrap account number
Asset name, code and number of units to be transferred for all assets being transferred from the same HIN
External account name (Securityholder Name Box)
HIN of the external broking account (or PID and account number if held with a custodian)
Signed by the trustees/directors/owners registered on the external account

2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following:

Asset name, security code and number of units to be transferred
Seller: name of the external broking account, and signed by the trustees/directors/owners of the external account
Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account
Consideration: NCBO

3. Cost base information (parcel history)

If the client wants to transfer all assets from their external HIN, they can instead write ‘All Holdings’ in the asset list section of the Broker Transfer Form
If the client wants to transfer assets as per a Portfolio Valuation (PV) report, they can instead write 'As per the attached' in the asset list section of the Broker Transfer Form and provide a copy of the PV report
When extra units are received on the external account, a new Broker Transfer Form will need to transfer these, unless the client has requested ‘All Holdings’ to be transferred

Transfer in issuer sponsored securities (SRN Transfer)

No Change in Beneficial Ownership	Change in Beneficial Ownership	Change in Legal Ownership
1. Issuer transfer request form completed with the following: Client’s Wrap account number Asset code, name and number of units to be transferred SRN of client’s holding Current registration details of client’s holding – name and address Signed by trustees/directors/owners registered on the external account 2. Cost base information (parcel history)	1. Issuer transfer request form completed with the following: Client’s Wrap account number Asset code, name and number of units to be transferred SRN of client’s holding Current registration details of client’s holding – name and address Signed by trustees/directors/owners registered on the external account 2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following: Asset name, security code, consideration paid and number of units to be transferred Seller: name of the account held with the share registry, and signed by the trustees/directors/owners of the external account Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account The consideration value and transfer date	1. Issuer transfer request form completed with the following: Client’s Wrap account number Asset code, name and number of units to be transferred SRN of client’s holding Current registration details of client’s holding – name and address Signed by trustees/directors/owners registered on the external account 2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following: Asset name, security code, consideration paid and number of units to be transferred Seller: name of the account held with the share registry, and signed by the trustees/directors/owners of the external account Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account Consideration: NCBO 3. Cost base information (parcel history)

No Change in Beneficial Ownership

Change in Beneficial Ownership

Change in Legal Ownership

1. Issuer transfer request form completed with the following:

Client’s Wrap account number
Asset code, name and number of units to be transferred
SRN of client’s holding
Current registration details of client’s holding – name and address
Signed by trustees/directors/owners registered on the external account

2. Cost base information (parcel history)

1. Issuer transfer request form completed with the following:

Client’s Wrap account number
Asset code, name and number of units to be transferred
SRN of client’s holding
Current registration details of client’s holding – name and address
Signed by trustees/directors/owners registered on the external account

2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following:

Asset name, security code, consideration paid and number of units to be transferred
Seller: name of the account held with the share registry, and signed by the trustees/directors/owners of the external account
Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account
The consideration value and transfer date

1. Issuer transfer request form completed with the following:

Client’s Wrap account number
Asset code, name and number of units to be transferred
SRN of client’s holding
Current registration details of client’s holding – name and address
Signed by trustees/directors/owners registered on the external account

2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following:

Asset name, security code, consideration paid and number of units to be transferred
Seller: name of the account held with the share registry, and signed by the trustees/directors/owners of the external account
Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account
Consideration: NCBO

3. Cost base information (parcel history)

Transfer in broker sponsored securities and/or managed funds from an external platform or custodian

No Change in Beneficial Ownership	Change in Beneficial Ownership	Change in Legal Ownership
1. Copy of the signed instruction sent to the external platform/custodian to initiate the transfer. Note: Open parcel history can be obtained from the external platform in most cases. Where this can't be obtained, an email will be sent to the IFA to request it.	1. Copy of the signed instruction sent to the external platform/custodian to initiate the transfer. 2. Original Australian Standard Transfer Form for same asset to be transferred, showing the change in legal ownership and completed with the following: Asset name, APIR and/or security code and number of units to be transferred Seller: name of the account held with the external platform/custodian, and signed by the trustees/directors/owners of the external account Buyer: name of the client’s Wrap account (including account number) and signed by the trustees/directors/owners of the Wrap account The consideration value and transfer date	1. Copy of the signed instruction sent to the external platform/custodian to initiate the transfer. 2. Original Australian Standard Transfer Form for same asset to be transferred, showing the change in legal ownership and completed with the following: Asset name, APIR and/or security code and number of units to be transferred Seller: name of the account held with the external platform/custodian, and signed by the trustees/directors/owners of the external account Buyer: name of the client’s Wrap account (including account number) and signed by the trustees/directors/owners of the Wrap account Consideration: NCBO Note: Open parcel history can be obtained from the external platform in most cases. Where this can't be obtained, an email will be sent to the IFA to request it.

No Change in Beneficial Ownership

Change in Beneficial Ownership

Change in Legal Ownership

1. Copy of the signed instruction sent to the external platform/custodian to initiate the transfer.

Note:

Open parcel history can be obtained from the external platform in most cases. Where this can't be obtained, an email will be sent to the IFA to request it.

1. Copy of the signed instruction sent to the external platform/custodian to initiate the transfer.

2. Original Australian Standard Transfer Form for same asset to be transferred, showing the change in legal ownership and completed with the following:

Asset name, APIR and/or security code and number of units to be transferred
Seller: name of the account held with the external platform/custodian, and signed by the trustees/directors/owners of the external account
Buyer: name of the client’s Wrap account (including account number) and signed by the trustees/directors/owners of the Wrap account
The consideration value and transfer date

1. Copy of the signed instruction sent to the external platform/custodian to initiate the transfer.

2. Original Australian Standard Transfer Form for same asset to be transferred, showing the change in legal ownership and completed with the following:

Asset name, APIR and/or security code and number of units to be transferred
Seller: name of the account held with the external platform/custodian, and signed by the trustees/directors/owners of the external account
Buyer: name of the client’s Wrap account (including account number) and signed by the trustees/directors/owners of the Wrap account
Consideration: NCBO

Note:

Open parcel history can be obtained from the external platform in most cases. Where this can't be obtained, an email will be sent to the IFA to request it.

Transfer in managed funds from direct holdings

No Change in Beneficial Ownership	Change in Beneficial Ownership	Change in Legal Ownership
1. Original Australian Standard Transfer Form (with BSCL as the buyer) per asset to be transferred and completed with the following: Asset name, APIR code and number of units to be transferred Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners registered on the external account Buyer: Bond Street Custodians Ltd (include client’s account number), and signature section left blank for us to complete Consideration: NCBO 2. Cost base information (parcel history)	1. Original Australian Standard Transfer Form (with BSCL as the buyer) per asset to be transferred and completed with the following: Asset name, APIR code and number of units to be transferred Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners registered on the external account Buyer: Bond Street Custodians Ltd (include client’s account number), and signature section left blank for us to complete The consideration value and transfer date 2. Additional original Australian Standard Transfer Form for same asset to be transferred and completed with the following: Asset name, APIR code and number of units to be transferred Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners/registered on the external account Buyer: Name of the client’s Wrap account (including account number) and signed by account holder/s 3. The consideration value and transfer date	1. Original Australian Standard Transfer Form (with BSCL as the buyer) per asset to be transferred and completed with the following: Asset name, APIR code and number of units to be transferred Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners registered on the external account Buyer: Bond Street Custodians Ltd (include client’s account number), and signature section left blank for us to complete Consideration: NCBO 2. Additional original Australian Standard Transfer Form for same asset to be transferred and completed with the following: Asset name, APIR code and number of units to be transferred Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners/registered on the external account Buyer: Name of the client’s Wrap account (including account number) and signed by account holder/s 3. Cost base information (parcel history)

No Change in Beneficial Ownership

Change in Beneficial Ownership

Change in Legal Ownership

1. Original Australian Standard Transfer Form (with BSCL as the buyer) per asset to be transferred and completed with the following:

Asset name, APIR code and number of units to be transferred
Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners registered on the external account
Buyer: Bond Street Custodians Ltd (include client’s account number), and signature section left blank for us to complete
Consideration: NCBO

2. Cost base information (parcel history)

1. Original Australian Standard Transfer Form (with BSCL as the buyer) per asset to be transferred and completed with the following:

Asset name, APIR code and number of units to be transferred
Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners registered on the external account
Buyer: Bond Street Custodians Ltd (include client’s account number), and signature section left blank for us to complete
The consideration value and transfer date

2. Additional original Australian Standard Transfer Form for same asset to be transferred and completed with the following:

Asset name, APIR code and number of units to be transferred
Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners/registered on the external account
Buyer: Name of the client’s Wrap account (including account number) and signed by account holder/s

3. The consideration value and transfer date

1. Original Australian Standard Transfer Form (with BSCL as the buyer) per asset to be transferred and completed with the following:

Asset name, APIR code and number of units to be transferred
Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners registered on the external account
Buyer: Bond Street Custodians Ltd (include client’s account number), and signature section left blank for us to complete
Consideration: NCBO

2. Additional original Australian Standard Transfer Form for same asset to be transferred and completed with the following:

Asset name, APIR code and number of units to be transferred
Seller: Name and investor number of the account held with fund manager, signed by trustees/directors/owners/registered on the external account
Buyer: Name of the client’s Wrap account (including account number) and signed by account holder/s

3. Cost base information (parcel history)

Transfer in international listed securities (NCBO only)

To transfer international listed securities into your client’s Macquarie investment account, please complete the Macquarie Wrap International listed securities in-specie transfer form.

Please provide the parcel history and confirm the currency the parcel history provided is in. For the applicable foreign exchange rate on each parcel, you’ll need to either:

Supply us with the foreign exchange rate you would like applied; or
Ask us to apply our system foreign exchange rate based on the acquisition date you provide in the parcel history

Transfer a domestic fixed income security into an investment account from an external source

To transfer domestic fixed income securities into your client’s Macquarie investment account, please complete the Macquarie Wrap Domestic fixed income securities in-specie transfer form.

Transfer in broker sponsored securities (to be held directly in your name in Macquarie Investment or Macquarie Trading accounts)

No Change in Beneficial Ownership	Change in Beneficial Ownership	Change in Legal Ownership
Broker Transfer Request form for each HIN being transferred, completed with the following: Client’s Wrap account number Client’s Trading account number Asset name, code and number of units to be transferred for all assets being transferred from the same HIN External account name (Securityholder Name Box) HIN of the external broking account (or PID and account number if held with a custodian) Signed by the trustees/directors/owners registered on the external account 2. Cost base information (parcel history)	1. Broker Transfer Request form for each HIN being transferred, completed with the following: Client’s Wrap account number Client’s Trading account number Asset name, code and number of units to be transferred for all assets being transferred from the same HIN External account name (Securityholder Name Box) HIN of the external broking account (or PID and account number if held with a custodian) Signed by the trustees/directors/owners registered on the external account 2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following: Asset name, security code, consideration paid and number of units to be transferred Seller: name of the external broking account, and signed by the trustees/directors/owners of the external account Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account 3. The consideration value and transfer date	1. Broker Transfer Request form for each HIN being transferred, completed with the following: Client’s Wrap account number Client’s Trading account number Asset name, code and number of units to be transferred for all assets being transferred from the same HIN External account name (Securityholder Name Box) HIN of the external broking account (or PID and account number if held with a custodian) Signed by the trustees/directors/owners registered on the external account 2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following: Asset name, security code and number of units to be transferred Seller: name of the external broking account, and signed by the trustees/directors/owners of the external account Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account Consideration: NCBO 3. Cost base information (parcel history)

No Change in Beneficial Ownership

Change in Beneficial Ownership

Change in Legal Ownership

Broker Transfer Request form for each HIN being transferred, completed with the following:

Client’s Wrap account number
Client’s Trading account number
Asset name, code and number of units to be transferred for all assets being transferred from the same HIN
External account name (Securityholder Name Box)
HIN of the external broking account (or PID and account number if held with a custodian)
Signed by the trustees/directors/owners registered on the external account

2. Cost base information (parcel history)

1. Broker Transfer Request form for each HIN being transferred, completed with the following:

Client’s Wrap account number
Client’s Trading account number
Asset name, code and number of units to be transferred for all assets being transferred from the same HIN
External account name (Securityholder Name Box)
HIN of the external broking account (or PID and account number if held with a custodian)
Signed by the trustees/directors/owners registered on the external account

2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following:

Asset name, security code, consideration paid and number of units to be transferred
Seller: name of the external broking account, and signed by the trustees/directors/owners of the external account
Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account

3. The consideration value and transfer date

1. Broker Transfer Request form for each HIN being transferred, completed with the following:

Client’s Wrap account number
Client’s Trading account number
Asset name, code and number of units to be transferred for all assets being transferred from the same HIN
External account name (Securityholder Name Box)
HIN of the external broking account (or PID and account number if held with a custodian)
Signed by the trustees/directors/owners registered on the external account

2. Original Australian Standard Transfer Form per asset to be transferred, showing the change in legal ownership and completed with the following:

Asset name, security code and number of units to be transferred
Seller: name of the external broking account, and signed by the trustees/directors/owners of the external account
Buyer: name of the client’s Wrap account (including account number), and signed by the trustees/directors/owners of the Wrap account
Consideration: NCBO

3. Cost base information (parcel history)

The client can use one of the three check boxes in section 1 to indicate whether they want to:
- Transfer their HIN and all Sponsored holdings (security details not required); or
- Transfer all Sponsored holdings but not their HIN (security details not required); or
- Transfer part of their Sponsored holdings (details of the securities to be transferred are required on the form)
If the client wants to transfer assets as per a Portfolio Valuation (PV) report, they can instead write 'As per the attached' in the asset list section of the Broker Transfer Form and provide a copy of the PV report
When extra units are received on the external account, a new Broker Transfer Form will be needed to transfer these, unless the client has requested ‘All Holdings’ to be transferred.

Limited Power of Attorney (LPOA)

In some circumstances, you can transfer assets and cash into an investment account using a Limited Power of Attorney (LPOA) form.

Things you should know before you get started:

If transferring assets from another platform, there may be additional platform-specific requirements. In some cases, external platforms (custodians) won’t release the cash to us due to being an adviser-controlled product. To confirm this, please speak directly to your current provider. Alternatively, speak to your relationship manager for assistance.
The assets must be available on the 'Investment Menu' to be permitted on platform
The use of this form is only permitted for No-change in Beneficial Ownership (NCBO) transfers into Macquarie Investment accounts. Details linked to both the Macquarie and external account must match exactly eg Account name and authorised signatories.

Requirements:

Original LPOA form and completed with the following:
- Full account name which matches the existing account assets are being transferred from.
- Wrap account code OR application reference (if the account is not yet opened)
- If cash is to be transferred, account details for cash transfers (or leave blank for new applications)
Cost base information (parcel history)
Certified copy of the client's identification
Plus, one of the following:
- A) If coming from Issuer Sponsored Holdings (ASX) or if held directly with Fund Manager (Managed Funds):
  - Holding statement for each asset, showing the following:
    - Full account name
    - Full SRN/Investor number of the client’s account
    - Number of units currently held
    - APIR/Security codes
- B) If coming from Broker Sponsored Holdings (ASX) or if held with another Platform/Custodian:
  - Portfolio Valuation report, showing the following:
    - Full account name
    - Account number/HIN of the client’s account
    - Assets and number of units currently held
    - APIR/Security Codes.

What to do once you’ve completed paperwork

Once all transfer paperwork is completed and signed by your client or relevant parties, please upload via Macquarie Request Centre to ensure you can track your request. Otherwise, you may email documentation to wrapsolutions@macquarie.com.

For any original documentation required (as noted in the above) please mail to:

TRN: Case Reference
Macquarie Wrap
Attn: Asset Transfers
GPO Box 4045
SYDNEY NSW 2001

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Transfer into investment accounts from external source

Getting started

Transfer in broker-sponsored securities (HIN Transfer)

Transfer in issuer sponsored securities (SRN Transfer)

Transfer in broker sponsored securities and/or managed funds from an external platform or custodian

Transfer in managed funds from direct holdings

Transfer in international listed securities (NCBO only)

Transfer a domestic fixed income security into an investment account from an external source

Transfer in broker sponsored securities (to be held directly in your name in Macquarie Investment or Macquarie Trading accounts)

Limited Power of Attorney (LPOA)

What to do once you’ve completed paperwork

Manage asset transfers

Chat to us on Adviser Online

Resolve a complaint

Talk to us today