Your world of investment opportunities.

Transcription

1 Your world of investment opportunities. Wholesale Investor Service. I Onshore I

2 Citibank s Wholesale Investor Service (WIS) offers exclusive access to local and global investment opportunities and services. Backed by our expansive global network and expertise, Citibank s Wholesale Investor Service (WIS) can provide exclusive access to local and global opportunities, designed to help enhance your investment portfolio. By leveraging our global reach and expertise, Citibank can offer quality investments, often exclusively, to WIS clients. Why should I consider becoming a Wholesale Investor? The Wholesale Investor Service may be appropriate for you if you are an experienced investor, and able to make better informed investment decisions. Wholesale clients generally need to be able to assess the risks involved in financial transactions because they do not receive the same disclosure documents or protections provided to retail clients. However, as experienced investors they get access to more complex products and investment opportunities that may not be available to retail clients. Our Wholesale Investor Service clients also receive the following benefits: Access to a range of investment opportunities across asset classes to help diversify your portfolio and provide potential for enhanced returns many of these investment opportunities are usually unavailable to retail investors in Australia Support from a specialist team, who consult with you and your Relationship Manager to understand your preferences Invitations to educational events, hosted by leading market and investment professionals Regular economic and market updates, which present Citibank s global research and insights.

3 How do I become a Wholesale Investor? You may qualify as a Wholesale Investor if you meet minimum income or net asset requirements, or can demonstrate sufficient investment experience. 1) Wholesale Investor Accountant Certified Your qualified accountant * must certify that you have: earned a gross income of AUD$250,000 (or foreign currency equivalent) or more over the last two financial years; or net assets exceeding AUD$2,500,000 (or foreign currency equivalent). How to apply Complete Sections A and D of this form, have your Qualified Accountant complete Section B of the form, and return the form to Citibank. Notes: Your Accountant Certificate must be renewed every two years. 2) Professional Investor To be considered as a Professional investor, you must demonstrate evidence of either: holding an Australian Financial Services Licence (AFSL); or control gross assets of at least AUD$10,000,000 (or foreign currency equivalent). How to apply Complete Section A, C and D of this form and return to Citibank. Notes: If you believe you may qualify as a Professional Investor on another basis, please complete Sections A, C and D of this form and return to Citibank for review. Applications of this nature are considered on a case by case basis, and we may need to contact you to request further information.

4 Wholesale Investor Service Application Form In order to apply, please complete the relevant sections below. Section A Client Details Section B Accountant Certified* I certify the person/s whose details are set out in section A: a) Individually has net assets of at least (AUD or Foreign Currency Equivalent) $2,500,000; or b) Individually has a gross income for each of the last two financial years of at least (AUD or Foreign Currency Equivalent) $250,000 The following companies or trusts are controlled by the above client in Section A (as defined in section 50AA of the Corporations Act) and treated as Sophisticated Investors for the purposes of section 708(8) and wholesale clients for the purposes of section 761G(7) of the Corporations Act: Company/Trust Name Trust ABN, ACN I belong to [name of my professional body, e.g. CA, CPA or IPA]: My membership number from above professional body is: I comply with this body s continuing professional education requirements. Name of Accountant: Mailing Address: Contact Phone: Contact Fax: Signature of Accountant: Date of signing by Accountant: *Note: Under Section 88B of the Corporations Act 2001, a Qualified Accountant: Belongs to, and complies with the continuing professional education requirements, of one of the following professional bodies: Chartered Accountants Australia and New Zealand; CPA Australia and Institute of Public Accountants. Is a member of an eligible foreign professional body and has at least three years practical experience is providing a Certificate to a person who is a resident in the same country (other than Australia)

5 Wholesale Investor Service Application Form Cont. Section C Professional Investor Details: I hold an Australian Financial Services Licence Please provide supporting documentation as required, e.g. copy of AFSL. AFSL Number: I control assets of at least $10,000,000 (or foreign currency equivalent) Asset Details: Please provide supporting documentation as required, e.g. copy of bank statements. I qualify as a Professional Investor by another recognised method under the Corporations Act 2001 as follows: Please provide supporting documentation. Section D Client Signature Client Acknowledgements By applying to register for the Citibank Wholesale Investor Service I: confirm the information in this document is an accurate record of my personal details and financial knowledge and experience in dealing with financial products, services and general investments acknowledge that I may not be provided with a Financial Services Guide, Product Disclosure Statement or Prospectus or Statement of Advice for product recommendations that take my specific circumstances and preferences into account accept the Privacy Consents and Notifications set out in Section E. Signed: Print Date: Office use only: The client has selected to be identified as a: Wholesale Investor Professional Investor I have verified and sighted the documentation provided under each of these methods. I confirm that I have sighted our records and the client is a Citibank customer. Relationship Manager name: Relationship Manager signature: Client CID number: Witness or Checker name: Witness or Checker signature:

6 Please return your completed Application Form and supporting documents to your Relationship Manager or Section E Privacy Consents and Notifications This section explains important privacy consents that you give us when you apply for the Wholesale Investor Service, along with information about the collection, use, disclosure and management of your personal information. 1. Purposes for which we collect, use and disclose your personal information a. To assess your application to become a Wholesale Investor b. To provide and manage your products, accounts and services, and to manage your relationship and arrangements with us c. So we can comply with applicable Australian and international laws d. For other purposes as listed in our Privacy Policy. If you do not provide us with the information we ask for, or provide incorrect or incomplete information, we may not be able to assess your application for the Wholesale Investor Service. We usually collect your personal information directly from you, however may sometimes need to collect personal information about you from third parties, for the purposes described above. We may need to do this in order to verify information you have provided (such as your income or asset holdings) or to assist us to locate or communicate with you. 2. Disclosures of your personal information. We may disclose to, and obtain from, the following organisations personal information about you for the purposes described above (as well as otherwise permitted by the Privacy Act): a. Our related companies in Australia and overseas, Citibank affiliates and sales agents b. Any accountant, broker, insurer, or financial, legal or other adviser acting in connection with your product or application c. Providers of the financial products you invest in, in order for us to meet our obligations under the Anti-Money Laundering/Counter Terrorism Financing Act of 2006 d. Regulatory and tax authorities in Australia and overseas e. Organisations that carry out functions for us or on our behalf, including mail houses, data processors and researchers, and f. Other organisations as further set out in our Privacy Policy. 3. Disclosures to overseas recipients. Some of the recipients to whom we disclose your personal information may be based overseas. (For example, a disclosure to an overseas recipient may be necessary for operational reasons such as because you have requested an international payment to be made or another product or service that involves an international element or to comply with foreign legal or regulatory requirements. We may also use service providers based overseas). It is not practicable to list every country in which such recipients are located but it is likely that such countries will include the United States of America, India, the Philippines, Malaysia and Singapore. By applying to be considered for the Wholesale Investor Service, you consent to disclosures to overseas recipients. You acknowledge that by consenting to us disclosing your personal information to overseas recipients, Australian Privacy Principle 8.1 will not apply to the disclosure and as a result we may not be liable under the Privacy Act if the recipient does not act consistently with the Australian Privacy Principles. 4. Our Privacy Policy (including how to access and correct information and make a complaint) You can view the Citibank Privacy Policy on our website citibank.com. au or obtain a copy by calling us on or contacting your Relationship Manager. This policy includes information as to how you can access and/or seek correction of the personal information we hold about you. A charge may apply for providing you with access to your personal information. Our Privacy Policy also contains information as to how you can complain about a breach by us of the Privacy Act and how we will deal with such a complaint. 5. Purposes for which we will contact you. By completing this application you agree that Citibank, Citigroup affiliate companies and their partners may use your personal information (including your telephone number, regardless of whether it is listed on the Do Not Call Register, and your or other electronic addresses) to keep you informed about other products, services and offers which may be of interest to you. They may do this by phone, mail, , SMS or other electronic messages (without an unsubscribe facility). These consents operate indefinitely for Wholesale Investors. Your telephone calls and conversations with a Citibank representative may be recorded and monitored for quality, training and verification purposes. Prepared by Citigroup Pty Limited ( Citibank ) ABN , AFSL , Australian Credit Licence No: citibank.com.au MCG15733_(1217)