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Transfer of Securities to RBS plc

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RICI Total Return Index Certificates
Product Update Q1 2007

The Royal Bank of Scotland plc. Registered in Scotland No. 90312. Registered Office: 36 St Andrew Square, Edinburgh EH2 2YB. Authorised and regulated by the Financial Services Authority.

Transfers of securities to RBS plc pursuant to Part VII of the UK Financial Services and Markets Act 2000

On 6 February 2010 ABN AMRO Bank N.V. (registered with the Dutch Chamber of Commerce under number 33002587) changed its name to The Royal Bank of Scotland N.V. (“RBS N.V.”) and on 1 April 2010 ABN AMRO Holding N.V. changed its name to RBS Holdings N.V.

On 23 September 2011, RBS N.V. and The Royal Bank of Scotland plc (“RBS plc”) announced that the Court of Session in Scotland had approved and sanctioned the implementation of a banking business transfer scheme whereby eligible business carried on in the United Kingdom by RBS N.V. would be transferred to RBS plc pursuant to Part VII of the UK Financial Services and Markets Act 2000 (the “Part VII Scheme”). The Part VII Scheme took effect on 17 October 2011 (the “Effective Date”).

From the Effective Date, RBS plc became the issuer of those securities originally issued by RBS N.V. which were transferred to RBS plc pursuant to the Part VII Scheme. Under the Part VII Scheme, amendments were made to the terms of the transferring securities and to agreements related to them from the Effective Date in order to give effect to the Part VII Scheme, including references to “RBS N.V.” being construed as references to “RBS plc”.

Details of these amendments are set out in the Scheme Document which can be viewed at http://www.investors.rbs.com/RBS_NV.

For details of which securities were transferred to RBS plc pursuant to the Part VII Scheme, investors should refer to http://www.investors.rbs.com/RBS_NV or, for securities issued from on or about 21 July 2011, investors should refer to the terms of the issue or offer documents (including term-sheets) (if they indicate that RBS plc was expected to become the issuer of the securities as a result of the Part VII Scheme, then RBS plc has become the issuer, unless the securities have been exercised, redeemed or repurchased and cancelled prior to the implementation of the Part VII Scheme).

For further details of the Part VII Scheme generally, investors should refer to http://www.investors.rbs.com/RBS_NV.

Product Description

RICI Total Return Index Certificates track the performance of the Rogers International Commodity Total Return Index® (RICI® Index)

Currency:

Price Evolution of the RICI Total Return Index Certificates

Energy commodities are the major constituents of the RICI Total Return Index. Specifically, West Texas Crude accounts for 21%, Brent Crude for 14% and Natural Gas for 3%. In addition, the certificates are strongly influenced by soft commodities as they almost constitute for a third of any movements of the Index.

Oil prices fell sharply from the end of 2006 to a low of USD 50.50, partly due to an extremely mild winter in America's north-east. The price of WTI and Brent recovered from mid-January onwards on fears that OPEC may restrain production. Increased geopolitical tensions in the Middle East helped to push prices per barrel into the mid-USD 60’s, almost 13% above the price in January.

However, a drop in prices for soft commodities negated large parts of the gains made by energy commodities. Wheat has recently fallen to its lowest closing price after reaching a 10 year high of USD 5.57 a bushel in October. Last quarter wheat prices decreased by 6.20% as US growers increased production. Corn prices fell even more sharply as the US agriculture sector is expected to increase production to the highest level since 1944.

The price of gold and other precious metals has shown a slight upward movement over the last three months.

Overall the RICI Total Return Index gained 5.50% this quarter. Also decreasing interest differentials have led to lower cost of annual Quanto fees and hence to a more positive performance of the certificates.

Source: Bloomberg, April 2007.

Product Performance

Issue Date / Price Table

Contact Information

Authorized Signature

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Overview: What the Transfer of Securities to RBS plc is

A Transfer of Securities to RBS plc is a written instrument or electronic instruction used to move ownership of shares, bonds, or other securities into accounts administered by RBS plc or its transfer agent. The document identifies the transferring party, the recipient account at RBS plc, the specific securities (including CUSIP or ISIN where applicable), number of units, and the effective date. Transfers may require supporting items such as a stock certificate, medallion guarantee, settlement instructions, or trustee authorization. This guidance explains required fields, signing and submission options, timing expectations, and compliance considerations under U.S. e-signature law and industry practice.

Why accurate transfers matter for holders and agents

A correctly completed Transfer of Securities to RBS plc reduces settlement delays, prevents rejection by the transfer agent, and helps preserve tax reporting accuracy. Clear instructions and valid authorization protect the transferring holder from unintended tax or custody consequences and preserve enforceability of ownership changes under U.S. commercial and securities practice.

Why accurate transfers matter for holders and agents

Who typically completes this transfer form

The form is used by corporate transfer agents, broker-dealers, individual investors, trustees, and corporate secretaries when moving securities into an RBS plc account.

  • Broker-dealer operations teams preparing DTC or agent transfer instructions for client accounts.
  • Individual registered holders transferring certificates or instructing book-entry transfers into RBS plc accounts.
  • Trustees or corporate officers executing transfers on behalf of estates, trusts, or companies.

Each signer should have authority to transfer the securities and must supply any supporting authorizations the transfer agent requires.

Roles who sign or authorize the transfer

Corporate Secretary

A corporate secretary or authorized officer signs on behalf of an issuing company or institutional holder when board resolutions or corporate authorization are required; include title and evidence of authority with the transfer.

Registered Holder

An individual or institutional registered holder must sign or authorize the transfer unless the transfer agent accepts an agent instruction; mismatched names or missing signatures commonly trigger rejections.

Essential data elements to include

Holder Name: Full legal name
RBS Account: Account number
Security ID: CUSIP or ISIN
Quantity: Number of shares
Effective Date: MM/DD/YYYY
Authorization: Signed authority

Key risks and consequences of errors

Transfer Rejection: Processing delay
Tax Misreporting: Incorrect cost basis
Custody Exposure: Funds inaccessible
Fraud Risk: Unauthorized transfers
Legal Disputes: Boundary of title
Fee Liability: Agent charges

Common preparation errors to avoid

  • Using an informal or abbreviated name that does not match the transfer agent's records, which causes verification delays and may require notarized confirmation.
  • Failing to attach required supporting items such as endorsed certificates, medallion guarantees, or corporate resolutions, resulting in rejection by RBS plc's transfer agent.
  • Incorrect account or routing numbers for the receiving RBS plc account, which can misroute the transfer or produce operational holds until corrected.
  • Omitting a clear effective date or using inconsistent date formats; ambiguous dates create timing disputes and can affect tax reporting windows.

Step-by-step: Completing the transfer form

Follow these sequential steps to complete and submit a Transfer of Securities to RBS plc to minimize rejection risk and speed processing.

  • 01
    Identify parties: Enter full legal names for both transferor and recipient.
  • 02
    List securities: Provide CUSIP/ISIN, class, and exact quantity.
  • 03
    Attach proofs: Add certificates, medallion guarantee, or corporate authorizations.
  • 04
    Sign and submit: Execute, notarize if required, then send to transfer agent.

How the submission and processing flow works

This sequence explains who handles the form after submission and what to expect during transfer processing.

  • Sender prepares: Completes form and gathers support documents.
  • Transfer agent review: Agent verifies signatures and documentation.
  • Settlement processing: Shares moved into RBS plc account or booked.
  • Confirmation issued: Recipient and sender receive settlement notice.

What a professional Transfer of Securities to RBS plc includes

A complete, professional transfer combines precise identification, formal authorization, and clear settlement instructions so the transfer agent can validate, settle, and notify all parties without manual follow-up.

Complete Identifiers

Include the full legal name of the registered holder, RBS plc account number, and any brokerage or DTC references to avoid mismatches at intake.

Security Details

Specify security class, CUSIP or ISIN, par value if applicable, and the exact number of shares or units being transferred, using numerals and words where helpful.

Supporting Authority

Attach endorsements, medallion guarantees, board resolutions, trust instruments, or letters of authorization required by the transfer agent for validation.

Consideration Statement

State whether the transfer is a gift, sale, inheritance, or corporate action, and include consideration details if required for tax or regulatory reporting.

Effective Date

Use MM/DD/YYYY for the effective date; this date governs when title passes and can affect tax year reporting and recordkeeping.

Signature and Authentication

Provide a dated signature block for the authorized signer and include notarization or medallion guarantee when the transfer agent requires it.

Configuring an electronic transfer workflow

If you submit the transfer electronically, set up authentication, field validation, and delivery options to match transfer agent requirements.

Field Configuration
Authentication Method Email link, SMS code, or two-factor depending on agent rules
Required Attachments Enforce PDF upload for certificates and authorization documents
Signature Type Allow electronic signature with audit trail; require notarization when mandated
Delivery Path Direct submission to transfer agent or to an authorized broker

Technical and format requirements

Use supported document formats and integrations to reduce processing friction when sending transfers to RBS plc.

  • File Formats: PDF, DOCX recommended
  • Integrations: CRM and custody platforms supported
  • Audit Trail: Timestamps, IP, and signer metadata

Typical processing timelines and time-sensitive dates

Know these common timing expectations so senders can plan settlement and tax reporting activities.

Agent Review Window:

3–10 business days for initial validation

Settlement Period:

7–21 business days depending on certificate and agent

Tax Reporting:

Transfers crossing tax year may affect year-end reporting

Notarization Lead Time:

Add 1–3 business days for notary or medallion scheduling

Dispute Resolution:

Allow weeks for title disputes and corrections

Key processing milestones from submission to confirmation

A high-level milestone sequence helps track progress and spot bottlenecks during transfer processing.

01

Submission

Sender delivers completed form and attachments to RBS plc or agent.

02

Verification

Agent checks signer authority, IDs, and supporting documents.

03

Processing

Agent processes the transfer and initiates settlement mechanics.

04

Confirmation

Agent issues confirmation to sender and receiving account.

eSignature vendor comparison for filing and signing transfers

Comparison of common vendor pricing and basic capability indicators relevant to signing and submitting Transfer of Securities to RBS plc.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial Varies Varies Varies Varies
Bulk Send Yes Yes Yes Yes No
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No
Envelope Cap No cap 100 envelopes/user/year Varies Varies Varies

Real-world examples of electronic transfers

These customer examples show how organizations use secure digital workflows to manage transfer-related documents and approvals.

Optica Ventures LLC

Small investment firm streamlined execution for investor transfers using online workflows.

  • Simpler signature paths reduced back-and-forth.
  • The interface is simple and easy-to-use for our team; more importantly, it is just as easy for our customers.

Martin Properties

Real-estate operator processed entity-level transfers into custody accounts remotely.

  • Mobile signing enabled on-site closings.
  • I can process and execute all of these documents online with 100% compliance and built-in security, whether on mobile or working offline.

Best practices to reduce rejection and speed settlement

Adopt these practical steps to improve acceptance rates and shorten total processing time.

Use exact registration names
Match the transferor name to the transfer agent's records and certificate to avoid identity and title mismatches that cause rejections.
Attach clear supporting evidence
Provide endorsed certificates, medallion guarantees, corporate resolutions, or trustee documents as required; missing docs are the top cause of holds.
Choose appropriate authentication
When eSigning, select an authentication level acceptable to the transfer agent; preserve audit trails and timestamps for legal assurance.
Confirm recipient details
Verify RBS plc account numbers and DTC or broker references before submission to prevent routing errors and settlement delays.

Frequently asked questions about transfers to RBS plc

Answers to common questions about validity, authentication, revocation, supporting documents, and file formats for Transfer of Securities to RBS plc.


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