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What documents are required to unlock the HIN for a deceased estate?

As soon as you have been notified of the death of a client, you must notify FinClear immediately via estates@finclear.com.au and the estates team will place a lock on the HIN.

For more information check What do I do when I am notified of the death of a client?

To unlock the HIN and wind up the account you will need to provide the following documents, depending on the value of the holdings and whether the account is in an individual name or a joint name. 

 

 


Individual - value greater than  AU$25,000
  • Originally certified copy of probate
  • Originally certified copy of identification of executor(s)

    And either
  • Letter instructing sale of securities

    or
  • Transfer forms (if the securities are to be transferred to another broker via Off Market Transfer)

 

 

 


Individual - value less than AU$25,000
  • Originally certified copy of will
  • Originally certified copy of death certificate
  • Originally certified copy of identification of executor(s)
  • Small estate indemnity form for each security

    And either
  • Letter instructing sale of securities

    or
  • Transfer forms (if the securities are to be transferred to another broker via Off Market Transfer)

 

 


Joint
  • Originally certified copy of death certificate

    And either
  • New account to be opened in the name of the surviving shareholder (see account opening guide)

    or
  • Transfer forms (if the securities are to be transferred to another broker via Off Market Transfer)