How to place investments Direct or via a wrapper, offshore platform/trust company. A guide for financial advisors/distributors
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1 How to place investments Direct or via a wrapper, offshore platform/trust company A guide for financial advisors/distributors
2 Introducing the latest offshore investment brought to you by Investec Structured Products The Offshore Protected Share The Offshore Protected Share is an investment in Shares of a company incorporated in Guernsey and listed on the Bermuda Stock Exchange. The company is Asia Pacific Basket Limited, Registration number Summary of offering A targeted 5 year equity investment linked to a basket of offshore indices. The return will be paid to the investor in USD Preservation of Principal Amount + 4% minimum return in USD, if held to maturity 2 times the growth in the Index above 4% and up to 27% from the initial Index level (annualised return of 8,45% per annum in USD on the Principal Amount) Minimum investment of: AUD A class shares or USD B class shares Liquidity on a willing buyer, willing seller basis. Potential early redemption of the Shares at a price at which the Company can liquidate underlying assets Important dates Closing date 4 December 2017 Trade date Within 20 business days of the Closing Date Contract notes issued Fees paid Within 10 business days of the Trade Date Within 10 business days of Contract Notes issued, provided all client due diligence is in order Offshore Protected Share (APBL) How to place investments 2 11
3 Who can invest in this product? Investors who wish to purchase the Offshore Protected Share may do so by making use of the following investment avenues: South African investors Offshore allowances (or any SARB approved offshore allowance) Disclosed amnesty assets and disclosed foreign assets International assets held by non-south African investors Foreign Portfolio Investment Allowance (asset swap) Non-South African Investors All International assets (Note: excludes USA investors) Guernsey Administrator Application forms and due diligence requirements An original fully completed and signed Application Form together with original certified copies of due diligence (refer to Annexure 1) to be sent to either the Administrator or the Investment Adviser. Investment Adviser: Investec Corporate & Institutional Banking Address 36 Hans Strijdom Avenue, Foreshore, Cape Town, 8001, South Africa Telephone Bobby Niehaus or Diane Leite Administrator: Praxis Fund Services Limited Address Sarnia House, Le Truchot, St Peter Port, Guernsey, GY1 1GR Telephone Jane March Full contact details including and contact numbers FATCA/CRS section * * If a joint application, each individual to provide tax details and financial information Original fully completed and signed application form. Offshore Protected Share (APBL) How to place investments 3 11
4 Original certified document without a photo (utility bill) The verification of address must match the residential address on the application form exactly. A utility account or bank statement (stamped as original by the bank and < 3 months old) may be used. No mobile phone accounts may be used as proof of residence. The exact wording below must be on the document. I hereby certify this a true copy of the original document that I have seen [Insert signature] Signed by [insert certifier s name] [insert professional qualification or other designation and identification number, professional body of which the certifier is a member, where applicable and contact details] [insert date of certification] Example Offshore Protected Share (APBL) How to place investments 4 11
5 Original certified document with a photo (e.g. Identity Document or Passport): Guernsey will not accept a copy of a copy. The photograph must be clear, if the investor wears glasses, the eyes must be visible. The exact wording below must be on the document. I hereby certify this to be a true copy of the original document, which I have seen, and the photograph bears a true likeness of the person named therein, who I have met [Insert signature] Signed by [insert certifier s name] [insert professional qualification or other designation and identification number, professional body of which the certifier is a member, where applicable and contact details] [insert date of certification] Example I hereby certify this to be a true copy of the original document, which I have seen, and the photograph bears a true likeness of the person named therein, who I have met. Offshore Protected Share (APBL) How to place investments 5 11
6 What is the administration procedure for new investors? The application form must be completed in full, signed and returned with the relevant Client Due Diligence ( CDD ) for each investor. Annexure 1, embedded in the application form details the CDD requirements in full for Individual, Trust and Corporate Applicants. Please take special note of the certification requirements and process. Deliver/courier the documents to our offices and we will on send to the Administrator in Guernsey. When an investor subscribes for the shares, the investor must transfer either AUD or USD into the Company bank account before the closing date. No US or EU investors, please. Shares, at the roll date, if the investor elects to roll? Existing shares will mature in AUD at the audited certified value. The USD equivalent amount will be approximately AUD/USD value per share as at trade date. The underlying assets are in USD (principal preservation instrument and option providing growth). The share values will be reported in the equivalent AUD during the life of the Company. At maturity (and daily) the proceeds from the USD principal preservation instrument (structured deposit) and any USD equity returns will be converted into AUD for Class A Shares. At maturity, should the investor elect to exit, the investor may elect to convert the maturing proceeds into any other currency. Offshore Protected Share (APBL) How to place investments 6 11
7 Daily pricing and monthly overviews To access the daily pricing and monthly overviews, the Fact Sheet, Presentation, Prospectus, Application Form and Application Procedures, Investors can log into the Administrator s website at: AUD A Class USD B Class ISIN GG00B3B1B651 ISIN GG00BYZ0RF63 Bloomberg ASIPACB GU Bloomberg ASPBLBU GU Financial Services Board Licence Categories for Financial Advisors FSB Cat 1 and Cat 2 licence holders qualifying criteria to write Structured Products: Listed products are exempt under FAIS, however advisor should be aware of their FAIS compliance responsibilities under the JSE rules for listed products. Where advice is being given it is prudent to ensure that Financial Advisors understand the underlying instruments on a look through basis. The onus is on the Financial Advisor to ensure that they have the appropriate licence to advice on structured products. Listed notes/offshore baskets where the look through product is a basket of shares 1.8 Securities and Instruments: Shares 1.11 Securities and instruments: warrants, certificates and other instruments acknowledging, conferring or creating rights to subscribe to acquire, dispose of or convert securities and instruments referred to in subcategories 1.8, 1.9 and Securities and instruments Derivative instruments excluding warrants 2.5 Securities and instruments: Shares 2.8 Securities and instruments: warrants, certificates and other instruments acknowledging, conferring or creating rights to subscribe to acquire, dispose of or convert securities and instruments referred to in subcategories 2.5, 2.6 and Securities and instruments: Derivative instruments excluding warrants Investments via a Glacier or Old Mutual International endowment wrapper FSB License category Participatory interests in Collective Investment Schemes (CIS) will apply. Offshore Protected Share (APBL) How to place investments 7 11
8 Distribution Agreement ( Agreement ) For direct investments and investments placed via a wrapper, offshore platform/trust company ( Wrapper ) A fully completed original signed Agreement plus an original or an original certified copy of the authorised signatory list on a company letterhead should be forwarded as per below. The authorised signatory list should reflect the full name, ID number and specimen signature of each signatory. Distribution agreement delivery instructions - within South Africa Forward the original signed agreement and supporting documents to the Investment Advisor: Hand deliver the signed agreement and supporting documents to any of our regional Investec offices marked as follows: Investec Corporate & Institutional Banking 5 th Floor, 36 Hans Strijdom Avenue, Foreshore, Cape Town, South Africa Attention: Bobby Niehaus +27 (21) or Diane Leite +27 (21) OR Courier the signed agreement and supporting documents to: Investec Corporate & Institutional Banking 5 th Floor, 36 Hans Strijdom Avenue, Foreshore, Cape Town, South Africa Attention: Bobby Niehaus +27 (21) or Diane Leite +27 (21) Distribution agreement delivery instructions outside South Africa Forward the original signed agreement and supporting documents directly to the Guernsey Administrator at the address below or alternatively to the Investment Advisor, per the details above. Praxis Fund Services Limited Sarnia House, Le Truchot, St Peter Port, Guernsey, GY1 4NA Attention: Jane March 00 (44) Offshore Protected Share (APBL) How to place investments 8 11
9 Investments via an endowment wrapper, offshore platform/trust company ( Wrapper ) For example: Glacier International and/or Old Mutual International or another offshore platform/trust company For any questions relating to Wrapper application forms, as well as fees and costs, please contact Glacier International, Old Mutual International or the offshore platform/trust company direct. We have agreed with the Wrapper providers, that we will put all financial advisors/wealth managers ( Distributors ) in direct contact with them for the following reasons: 1. AUM and how much business a Distributor will place through the Wrapper, determines if the fees can be negotiated down; 2. Existing Glacier International/Old Mutual International, etc. investors, what their current fees are; and 3. Wrapper providers will deal directly with the Distributor on all product related queries. Payment of fees for investments placed via a wrapper The Investment Advisor will handle all fee related queries directly with the Distributor. Distributors are required to confirm, in writing, that they have sold the Protected Offshore Share ( Protected ) via said Wrapper to enable the Investment Advisor to pay ongoing fees. Diane Leite or Barbara Davies (refer Contact Us page 9) with details of all investments placed via Wrapper; and Ensure that the Wrapper inserts your full details as Distributor on the application form. Sample fee Dear Diane/Barbara Offshore Protected Share - Investment placed via [insert Wrapper name] This serves as confirmation than an investment for my client [full name of client/trust name] has been placed via [Wrapper name] in the amount of [state currency and amount] on the [date]. I confirm that I am authorised to market and sell the $ Share and my Financial Services Board FSP number is [insert number]. [Insert company signature] Offshore Protected Share (APBL) How to place investments 9 11
10 Contact information Investec Corporate and Institutional Banking Administration Bobby Niehaus bobby.niehaus.co.za Diane Leite Barbara Davies Glacier International - Minimum investment amount USD Yolanda du Plessis yolanda.duplessis@glacierinternational.co.za Nathan Naidoo nathan.naidoo@glacierinternational.co.za Lesley Hagglund lesley.hagglund@glacierinternational.co.za Old Mutual International - Minimum investment amount GBP Suzette Rossouw suzette.rossouw@omwealth.co.za Website Recent accolades Offshore Protected Share (APBL) How to place investments 10 11
11 As required by the Financial Advisory and Intermediary Services Act ( FAIS ), please find below the details of the product supplier: Product supplier Physical address Postal address Investec Corporate and Institutional Banking 100 Grayston Drive, Sandown, Sandton, 2196, Gauteng, South Africa P O Box , Sandton, 2146, Gauteng, South Africa Contact number Contractual relationship Compliance officer Address None Pieter Erasmus 100 Grayston Drive, Sandown, Sandton, 2196, Gauteng, South Africa Contact number Disclaimer This is not a prospectus, nor does it constitute an offer to the public in respect of the Shares of Asia Pacific Basket Limited. The information contained in this communication is for informative purposes and is not intended to constitute advice in any form, including but not limited to investment, accounting, tax, legal or regulatory advice. As product supplier, Investec is not in a position to have regard to the specific investment objectives, financial situation or particular needs of any specific recipient. The material is based upon information that we consider to be reliable, but we do not represent that it is accurate or complete, and it should not be relied upon as such. All illustrations, forecasts or hypothetical data are for illustrative purposes only and are not guaranteed. The sender accepts no liability whatsoever for any loss or damage of any kind arising out of the use of all or any part of this communication. Investec does not make representation that the information provided is appropriate for use in all jurisdictions or by all Investors or other potential clients. Parties are therefore responsible for compliance with applicable local laws and regulations. Prospective Investors should be fully aware of the risks involved in trading investment related products. Returns and benefits are dependent on the performance of underlying assets and other variable market factors and are not guaranteed. This product is not sponsored, endorsed, sold, or promoted by the Index or indices, as specified herein, or the relevant Index sponsor, being the corporation or other entity that (a) is responsible for setting and reviewing the rules and procedures and the methods of calculation and adjustments, if any, related to the relevant Index and (b) announces (directly or through an agent) the level of the relevant Index on a regular basis. No Index sponsor makes any representation whatsoever, whether express or implied, either as to the results to be obtained from the use of the Index and/or the levels at which the Index stands at any particular time on any particular date or otherwise. No Index or Index sponsor shall be liable (whether in negligence or otherwise) to any person for any error in the Index and the Index Sponsor is under no obligation to advise any person of any error therein. No Index sponsor is making any representation whatsoever, whether express or implied, as to the advisability of purchasing or assuming any risk in connection with entering into any transaction in respect of this product. Neither Investec nor the investor shall have any liability to the other for any act or failure to act by the Index sponsor in connection with the calculation, adjustment or maintenance of the Index. Investec has no affiliation with or control over the Index or Index sponsor or any control over the computation, composition or dissemination of the indices. Although Investec will obtain information concerning the indices from publicly available sources it believes reliable, it will not independently verify this information. Accordingly, no representation, warranty or undertaking (express or implied) is made and no responsibility is accepted by Investec as to the accuracy, completeness and timeliness of information concerning the indices. Corporate and Institutional Banking, a division of Investec Bank Limited. Reg. No. 1969/004763/06. An Authorised Financial Services Provider (FSP11750) and registered Credit Provider (NCRCP9). A member of the Investec Group. Offshore Protected Share (APBL) How to place investments 11 11
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