Useful forms and resources for managing your client’s investment

To access commission or adviser charging statements, we’ll need an email from your FCA registered company Director or Partner confirming they’re happy for us to provide this information. This should be sent to [email protected], and include your name and email address.

If you’d like to change your company’s address, you can email this to us (using the email we have on file for you) confirming your existing address, and the new one you’d like to change it to. 

To update your company’s bank details, you’ll need to complete this form and return it to us via email. We’ll also need a copy of a bank statement or a void cheque as proof of account.

You can call us on 0800 316 2067 or email us at [email protected].

There are a couple of ways you can update your client’s details. The quickest way is to log into our portal and send us a message. If you haven’t already. please log in and go to ‘My Account’ on the left hand menu, select the ‘Security’ tab, and click the ‘Set up MFA’ button. From there, follow the on screen instructions.

Once enabled, click ‘Contact us‘ in the bottom right to let us know about the change.

MFA allows you to add an extra layer of security to your account which gives you access to additional features such as updating client and company details directly within the portal. It’s also quick and easy to set up, taking only a few minutes.

You can also update your client’s details by calling us on 0800 316 2067.

We accept e-signatures from the following companies:

• Adobe Sign
• DocuSign
• Dropbox
• E‑Sign
• Foxit
• OneSpan Sign
• PandaDoc
• RSign
• Scrive
• Signable
• Xodo Sign
• Docsafe

The instruction will need to be sent with the certificate of completion, and come from the email address we have registered on our system.

Please note, we cannot accept e-signatures for our VCT share buyback documents. 

To request a novation, we’ll need you to provide the following details of the new firm:

• Firm name
• Firm address
• Firm bank details (with proof of bank details – we can accept a bank statement or void cheque)
• FCA number
• List of any advisers and their email addresses
• List of any administrators and their email addresses

We’ll then need:

• A letter from the firm that the business is moving from
• A letter from the firm that the business is moving to
• A letter from any involved network (if applicable)

All novation letters must be signed by Directors of all FCA authorised firms involved in the novation, including any network.

Each of the above letters must include the following wording:

I hereby certify that:

1) All clients affected by the transfer have consented to the transfer (and have not objected)

2) All clients affected by the transfer have consented that ongoing charges should continue on the same basis as formerly agreed.

3) Upon request I will provide a sample of my clients’ written consent as evidence of the above or a copy of the letter you sent the client.

You can post this request to:

Octopus Investments

PO Box 10847

Chelmsford

CM99 2BU

Alternatively, it can be emailed to [email protected].

VCT:

You can find performance information for each VCT on the relevant product page:

• Octopus AIM VCTs
• Octopus Apollo VCT
• Octopus Future Generations VCT
• Octopus Titan VCT

You can also download the latest annual or interim report from the ‘Shareholder information‘ section.

Business Relief:

Our Octopus Inheritance Tax Service product produces quarterly factsheets and our AIM products produce monthly factsheets. These will include the latest performance information and market commentary. You can find them under the ‘Key documents‘ section on the relevant product page:

• Octopus Inheritance Tax Service (OITS)
• Octopus AIM Inheritance Tax Service (AITS)
• Octopus AIM Inheritance Tax Service ISA (AIMISA)

Enterprise Investment Scheme:

For individual performance information on our Octopus Ventures EIS and Octopus Ventures Knowledge Intensive EIS Fund investments, call your local Business Development Manager here.

Valuations:

For our products (excluding VCTs), valuation reports are typically uploaded onto the online portal around 8 weeks after the end of the reporting period. They will show under your client’s ‘Documents‘ tab.

Your client will receive three quarterly valuation reports, and one annual costs and charges statement every year.

Quarterly valuations cover the following periods:

• 6 April – 5 July
• 6 July – 5 October
• 6 October – 5 January
• Annual statements will cover the period 6 April – 5 April

You’ll receive an email when your client’s report is available to view online.

We don’t send valuation reports for VCTs. However, if your client holds Titan VCT ISA, we’ll send an annual report to help you keep track of their investment.

For our products (excluding VCTs), your client will receive three quarterly valuation reports, and one annual costs and charges statement every year.

Quarterly valuations cover the following periods:

• 6 April – 5 July
• 6 July – 5 October
• 6 October – 5 January
• Annual statements will cover the period 6 April – 5 April

You’ll receive an email when your client’s report is available to view online. The reports are typically uploaded around 8 weeks after the end of the reporting period and will show under your ‘Documents‘ tab.

We don’t send valuation reports for VCTs. However, if your client holds Titan VCT ISA, we’ll send an annual report to help you keep track of their investment.

Depending on the product(s) the late client held, there are some things that may need to be considered when reviewing next steps. Our dedicated Intergenerational Planning team will help make this process as straight forward as possible. You can contact them on 0800 294 6826 or at [email protected].

If the late client only held a VCT portfolio, next steps for this product will be managed through the VCT’s registrar, Computershare. We’ll have let them know the client has passed away if you’ve registered this with us, but for any future queries please call them on 0370 702 0003.