ROYAL LONDON ASSET MANAGEMENT BOND FUNDS PLC

Transcription

1 ASSET MANAGEMENT ROYAL LONDON ASSET MANAGEMENT BOND FUNDS PLC ROYAL LONDON STERLING EXTRA YIELD BOND FUND ROYAL LONDON GLOBAL HIGH YIELD BOND FUND ROYAL LONDON SHORT DURATION GLOBAL HIGH YIELD BOND FUND ROYAL LONDON ABSOLUTE RETURN GOVERNMENT BOND FUND ROYAL LONDON GLOBAL BOND OPPORTUNITIES FUND Terms and Conditions Application Form Date: January 2017 Please fill in this form and the separate anti money laundering section in BLOCK CAPITALS and return to: Royal London Asset Management Bond Funds Plc, C/o State Street Fund Services (Ireland) Limited, Registration Services - Transfer Agency Department, 78 Sir John Rogerson s Quay, Dublin 2, Ireland. Alternatively, please fax the fully signed form to: marked FAO Royal London Dealing Team If you require any assistance completing this form, please speak to your financial adviser or call: Customer Services on GBP Sterling Subscriptions must be made by telegraphic transfer to: Bank Name: Sort Code: SWIFT Code: Account Name: Bank of America if via CHAPS or if via BACS BOFAGB22 Royal London Asset Management Bond Funds PLC Account Number:

2 ROYAL LONDON ASSET MANAGEMENT BOND FUNDS PLC: TERMS AND CONDITIONS Definitions The definitions below demonstrate the meaning attached to the following words and phrases in these Terms and Conditions: (a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k) (l) (m) (n) (o) (p) (q) Account: means the shares You hold in respect of Your lump sum investment in the Royal London Asset Management Bond Funds PLC sub fund, which are contracted under the Agreement. Agreement: means the agreement between the Company and You as constituted by the Application and these Terms & Conditions. Application: shall mean a completed Written Application form supplied with this Agreement and any subsequent Application for additional shares in Writing or by Telephone which provide the same information, declaration and authority as must be provided in the Application supplied with this Agreement. Company: means Royal London Asset Management Bond Funds Plc. Dealing Day: means each business day on which banks are open in London or such other dealing day as set out in the Supplement. Distributor: means Royal London Unit Trust Managers Limited, in the UK, who has been appointed by the Company to distribute this Fund. FCA: means the UK Financial Conduct Authority, whose registered address is: 25 The North Colonnade, Canary Wharf, London, E14 5HS. Central Bank: means the Central Bank of Ireland. Prospectus: means the current prospectus for the Company. Rules: means the rules of the Central Bank. Supplement: means the current supplement for the Fund. Key Investor Information Document (KIID): means the KIID for the Fund, which is a document issued for all funds to help investors understand their funds. Supplementary Information Document (SID): means the SID for the Fund which provides additional important information about the fund. Valuation Point: means the time a valuation is deemed to take place, which will be 5.00pm Irish time on each Dealing Day or such other valuation point as set out in the Supplement. We, Our, Us: means the Company in respect of the Fund. Written or in Writing: means an instruction including Your original signature, which also includes an instruction given by way of facsimile copy. You and Your: means any Account holder(s) which includes individual(s), any company or other corporate body, trust company or trustees who has/have applied to open an Account under the Agreement. The Agreement This Agreement should be read in the context of and together with the Prospectus and Supplement for the Funds. In the event of conflict or inconsistency between the provisions of the Prospectus and Supplement and the provisions of the Agreement, the Prospectus and Supplement will prevail. The Agreement, which is governed by Irish Law, shall apply to an Account as soon as it is accepted by the Company, and the parties submit to the exclusive jurisdiction of the Irish Courts. Unless otherwise defined, terms used in this Agreement shall have the same meaning as in the Prospectus and Supplement. Where the context permits, words importing the singular shall include the plural and vice versa. 2 P AGE

3 IMPORTANT INFORMATION Opening an account An Application to invest in the sub-fund can be received from any applicant over 18 years of age. Royal London Sterling Extra Yield Bond Fund Classes Initial Application Additional Application Holding Class A 100,000 Discretionary 50,000 Class B 1,000 Discretionary 1,000 Class Z 10,000,000 Discretionary 10,000,000 Royal London Global High Yield Bond Fund Classes Initial Application Additional Application Holding Class A 1, ,000 Class M 100,000 1, ,000 Class Z 1,000,000 50,000 1,000,000 Royal London Short Duration Global High Yield Bond Fund Classes Initial Application Additional Application Holding Class A 1, ,000 Class M 100,000 1, ,000 Class M (Acc) 100,000 1, ,000 Class Z 1,000,000 50,000 1,000,000 Class Z (Acc) 1,000,000 50,000 1,000,000 Royal London Absolute Return Government Bond Fund Classes Initial Application Additional Application Holding Class A 1, ,000 Class M 100,000 1, ,000 Class Z 1,000,000 50,000 1,000,000 Royal London Global Bond Opportunities Fund Classes Initial Application Additional Application Holding Class M 100,000 1, ,000 Class Z 1,000,000 50,000 1,000,000 For further details regarding each share class please refer to the Prospectus and Supplement for the Fund. You can make Your investments on any business day (excluding weekends, bank holidays or any day that the Irish Stock Exchange is closed) between 9am and 5pm Irish time. All investments are made at the next available Valuation Point. Shares are valued at 5pm every business day (the Company has the option to make additional Valuation Points). 3 P AGE

4 Charges on an Account The specified annual management charge (AMC) differs for each share class. Annual Management Charges by Share Class and Bond Fund Classes Annual Management Charge Royal London Sterling Extra Yield Bond Fund Royal London Global High Yield Bond Fund Royal London Short Duration Global High Yield Bond Fund Royal London Absolute Return Government Bond Fund Royal London Global Bond Opportunities Fund Class A 0.75% 1.25% 0.90% 1.00% n/a Class B 1.25% n/a n/a n/a n/a Class M n/a 0.75% 0.50% 0.60% 0.65% Class Z 0.50% 0.50% 0.40% 0.35% 0.40% The Company reserves the right to change the AMC, at any time, within a maximum range outlined by the Company in the Prospectus for the Fund, further to providing 60 advance written days notice only to Shareholders. Please note that You have a right to end the application of these Terms and Conditions to You at any time by selling your investment in the Fund if You do not like any variations that We propose. 4 P AGE

5 Money Laundering The Administrator is required to make checks on investors in order to comply with Money Laundering regulations. The Company will reject an Application if the Money Laundering requirements are not fully met by the Applicant. Details of the Money Laundering requirements for Applicants are listed in full in the Application. The Company s Right to Refuse an Application The Company reserves the right for any reason to refuse any Application to invest in the Fund. Conflict of Interest Where the Directors of the Company, the Administrator, Custodian, Investment Manager or Distributor or any associated company has directly or indirectly a material interest in a transaction or a relationship with the Company which may involve a potential conflict with their duties to You, then We have systems and controls in place which are designed to ensure that such conflicts are resolved fairly. The Royal London Asset Management Conflicts of Interest Policy covers the potential conflicts of interest arising in the course of investment business between Royal London Asset Management, its employees and its clients, that could significantly impact the interests of Royal London Asset Management s clients in the absence of adequate controls. The FCA rules require us to allocate investments and treat customers fairly. We have in place specific policies and processes for situations where such conflicts may occur. Cancellation Rights Cancellation rights do not apply. Closing an Account You may terminate or otherwise make withdrawals (redeem Your Shares) from the Account by giving Written notice to the administrator, State Street Fund Services (Ireland) Limited. The minimum redemption amounts are: Royal London Sterling Extra Yield Fund Royal London Global High Yield Bond Fund Royal London Short Duration Global High Yield Bond Fund Royal London Absolute Return Government Bond Fund Royal London Global Bond Opportunities Fund 50,000 for A Shares and 1,000 for B Shares No minimum redemption amounts, however accounts are subject to minimum balances No minimum redemption amounts, however accounts are subject to minimum balances No minimum redemption amounts, however accounts are subject to minimum balances No minimum redemption amounts, however accounts are subject to minimum balances Redemption requests must specify the Shareholders full name, address and Shareholder number as well as the number and value of the Shares to be redeemed. Should you require any assistance regarding redemptions call the dealing line: Shares will be sold at the price calculated at the Valuation Point following receipt of the notice unless reasonable verification of your instruction or signature, or change of personal details is required. Where the balance of Your Account is less than the stated minimum investment amount, the Company may terminate Your Account by unilaterally redeeming Your Shares and sending the redemption monies to the banking details We hold in Our records. The Company, on behalf of the Fund, is entitled to redeem Shares in Your Account where, during a period of 6 years, no acknowledgement has been received in respect of any contract note or other confirmation of ownership of the Shares sent to You. After the expiry of such six year period the Company will notify You of its intention to redeem Your Shares. The Shares may be redeemed if no response is received within three months. The Company is required to hold the redemption monies in a separate account for a further period of one year after which time they shall form part of the assets of the Fund. Termination of this Agreement pursuant to this provision shall be without prejudice to the completion of transactions already initiated. The Company has absolute discretion to compulsorily redeem the Shares in Your Account for the reasons set out in the Prospectus under the headings Mandatory Repurchase of Shares and Termination and the Company may give Written notice to terminate the Account in that regard. The Company shall not be liable to You for any loss, liability of damage that You may suffer following the Company exercising such discretion. 5 P AGE

6 Voting Rights You are entitled to a number of votes, determined by dividing the aggregate net asset value of a Shareholder s shareholding by one. In relation to a resolution which in the opinion of the Directors gives or may give rise to a conflict of interest between the Shareholders of any series or Class, such resolution shall be deemed to have been duly passed only if, in lieu of being passed through a single meeting of the Shareholders of such series or Class, such resolution shall have been passed at a separate meeting of the Shareholders of each such series or classes. All votes shall be cast by a poll of Shareholders present in person or by proxy at the relevant Shareholders meeting or by unanimous written resolution of the Shareholders. As more fully described in the Prospectus, no one other than Shareholders or their proxies shall have voting rights in respect of Shareholder resolutions or at Shareholder meetings. The rights attached to each class of share may be varied with the consent in writing of the holders of 75% of the issued shares of the class. Closure of the Fund If the Company intends to close (wind up) the Fund, notice will be given to You in Writing detailing the options available to You. If We do not hear from You within Our specified timescales, detailed in the notice, We may subsequently switch Your holding to another sub-fund of the Company or transfer the value of Your Shares to Your specified bank/building society account. Variations and Amendments The Company may, at Our discretion and subject to giving at least 14 days advance written notice to You, vary or amend these Terms and Conditions, provided that such variation or amendment does not result in the Account ceasing to qualify under the Rules and is permitted by the Central Bank. Please note that You have a right to end the application of these Terms and Conditions to You at any time by selling Your investment in the Fund if You do not like any variations that we propose. Any amendment which is made to reflect a change of applicable law or regulation, including the Rules, may take effect immediately or otherwise as we may specify. Liability The Company will not be liable for errors of judgment made in good faith nor, save as mentioned below, for the acts, omissions or defaults of its delegates, agents or custodians or their employees, nor for strikes, interruption of power supplies, machinery failure, pandemic or causes beyond the Company s control. You hereby agree to indemnify and keep Us indemnified against any loss which We may suffer as a result of any breach of any representation, warranty, covenant or confirmation by You in this Agreement or in Your Application. The performance of any pooled investment is dependent upon the underlying investment market to which it is linked. These markets are subject to price fluctuations, so that no particular result can be guaranteed. The value of, and any income from, an investment in the stock market may fall as well as rise and You may not get back the amount originally invested. The value of overseas investments will be influenced by the rate of exchange which is used to convert them back into sterling. International Tax Reporting Under the agreement between Ireland and the United States to implement the Foreign Account Tax Compliance Act ( FATCA ), the regime known as the Common Reporting Standard proposed by the Organisation for Economic Co-operation and Development ( CRS ) and any other tax law, regulation, exchange of information or tax reporting regime, the Company may be required to report to the Irish Revenue Commissioners information relating to Shareholders, including the identity and residence of Shareholders, and income, sale or redemption proceeds received by Shareholders in respect of the Shares. This information may be shared by the Irish Revenue Commissioners with HM Revenue & Customs, the US Internal Revenue Service, tax authorities in jurisdictions which implement CRS or other jurisdictions pursuant to any other exchange of information or tax reporting regime. 6 P AGE

7 ROYAL LONDON ASSET MANAGEMENT BOND FUNDS PLC: APPLICATION FORM This application form incorporates the Terms and Conditions for Royal London Asset Management Bond Funds Plc. Accordingly, all terms used in this application form but not defined shall have the meanings given in such Terms and Conditions. This application form should be completed in conjunction with review of the Prospectus, Supplement, KIID and SID for the appropriate Fund. These documents and the latest Manager s Report and Accounts are available to you upon request from Royal London Asset Management Bond Funds PLC, the Distributor or from your financial adviser. Please fill in this form in BLOCK CAPITALS and return to: Royal London Asset Management Bond Funds Plc, C/o State Street Fund Services (Ireland) Limited, Registration Services - Transfer Agency Department, 78 Sir John Rogerson s Quay, Dublin 2, Ireland. I agree that I have read and kept a durable copy of the latest Key Investor Information Document for the fund(s) I am investing in and that I have read the Supplementary Information Document and the Terms and Conditions applicable to the share class of the relevant Royal London Asset Management Bond Funds Plc Sub-Fund (hard copy, CD-ROM): Yes This form can be used to make additional subscriptions. Part 1: Personal Details (Please use BLOCK CAPITALS) 1 Title Mr Mrs Miss Ms Other Surname Forenames (in full) City County Date of Birth (DD/MM/YY) Nationality Daytime Telephone Account Designation (if applicable), must not be a name/word, however may be alphanumeric Postcode Tax Identification Number or, for UK residents, National Insurance Number NOTES All correspondence will be sent to the address of the first applicant. Shares may NOT be registered in the name of anyone under 18 years of age. Shares may be registered in the name of a parent or other adult and designated with the initials of a child. Whilst this has no legal status, it can serve to identify different unit holdings. Shares can be reregistered into the child s name when the child reaches age 18. Please note that the registered address must be a street address. A Postal box address may not be used for the registered address. See Mailing overleaf if you wish statements to be mailed to a different address. If you have been in your present address for less than 3 years please provide details of your previous address (or addresses) in the last 3 years below (please use an additional sheet of paper if necessary): County Postcode 7 P AGE

8 ADDITIONAL APPLICANTS 2 Title Surname Forename(s) in full Date of Birth 3 4 COMPANY/ENTITY APPLICANTS (Complete this section only if you are investing on behalf of a company or other entity. This is the name that the Shares will be registered in.) Full Legal Name Contact Name City County Type of Legal Entity (Please tick appropriate box below) Postcode Public Limited Company Private Limited Company Local Authority Pension Fund Investment Fund or Company Charitable Organisation Trust Arrangement Other (please specify) MAILING ADDRESS If you wish to have statements and other materials sent to a different mailing address, please tick this box, and provide your mailing address below. City Country Postcode AGENT/TRUSTEE DECLARATIONS 1. (a) Does the person(s) signing this application form act as agent for the applicant(s) detailed above? Yes No (b) If question 1(a) has been answered YES, then, in signing this application form I/we represent and warrant that we have all necessary authority to make such application and will compensate the Company, the Manager, the Custodian, the Administrator, the Distributor and their affiliates for 100% of any direct or indirect loss suffered should we not have such authority. 2. Does the person(s) signing this application form act as trustee(s), or as an agent for a trustee or trustees in doing so? Yes No Please attach relevant authorised signature list to verify authorisation. 3. (a) If question 2 has been answered YES, then I/we represent and warrant in my/our own right that by signing this application: (i) (ii) (iii) (iv) (v) (vi) I/we act with due authority; within the scope of the investment powers contained in the trust instrument; signing this application form will not constitute a breach of trust; there is no other breach of trust in respect of any other matter which could affect this application; no other party needs to sign this application form for it to be effective; and all and any other steps required to ratify this investment have been taken. 8 P AGE

9 (b) If question 2 has been answered YES, please provide details of all beneficiaries of the trust below or using a separate sheet if required. If the trust is a pension scheme, the name of the pension scheme will suffice. Name of pension scheme (if applicable): Name and address of trust beneficiaries (if the trust is not a pension scheme): Name Postcode Please continue on a separate sheet if necessary. 9 P AGE

10 Part 2: Investment Choice State amount(s) to be invested in relevant box below Fund Name Royal London Sterling Extra Yield Class A Lump Sum (Min lump sum is 100,000) ISIN: IE Royal London Sterling Extra Yield Class B (Min lump sum is 1,000) ISIN: IE Royal London Sterling Extra Yield Class Z (Min lump sum is 10,000,000) ISIN: IE00BG5GTJ66 Royal London Global High Yield Class A (Min lump sum is 1,000) ISIN: IE00B88D7618 Royal London Global High Yield Class M (Min lump sum is 100,000) ISIN: IE00B8GCTN18 Royal London Global High Yield Class Z (Min lump sum is 1,000,000) ISIN: IE00B8K38002 Royal London Short Duration Global High Yield Class A (Min lump sum is 1,000) ISIN: IE00B991KN91 Royal London Short Duration Global High Yield Class M (Min lump sum is 100,000) ISIN: IE00B9BQGL21 Royal London Short Duration Global High Yield Class M (Acc) (Min lump sum is 100,000) ISIN: IE00BD0NHK86 Royal London Short Duration Global High Yield Class Z (Min lump sum is 1,000,000) ISIN: IE00B979BF49 Royal London Short Duration Global High Yield Class Z (Acc) (Min lump sum is 1,000,000) ISIN: IE00BD0ND118 Royal London Absolute Return Government- Class A (Min lump sum is 1,000) ISIN: IE00BP Royal London Absolute Return Government- Class M (Min lump sum is 100,000) ISIN: IE00BP Royal London Absolute Return Government- Class Z (Min lump sum is 1,000,000) ISIN: IE00BP3QZQ03 Royal London Global Bond Opportunities- Class M (Min lump sum is 100,000) ISIN: IE00BYTYX123 Royal London Global Bond Opportunities- Class Z (Min lump sum is 1,000,000) ISIN: IE00BYTYX230 Do you wish to receive income? Yes No please tick relevant box If you tick the No box, then we will reinvest the income. 10 P AGE

11 Part 3: Subsequent Telephone Dealing Please tick this box if you would like to instruct, deal and obtain other fund information by telephone. Only authorised signatories as listed in Part 1 of the Application will be able to make such instructions. Part 4: Banking Details Please complete this section with details of the relevant Bank/Building Society account for all payment of income and redemption proceeds. Payments will only be made to a bank account held in the name of the registered shareholder. No Third Party Payments will be made. Name of account holder(s) Bank/building society name and address Account number Branch sort code Building Society Reference * Your bank/building society will be able to provide you with this number Postcode Changes to registration and bank account details and to authorised signatories must be made in writing (by signed original, not by way of fax) and sent to Royal London Asset Management Bond Funds Plc, C/o State Street Fund Services (Ireland) Limited, Registration Services - Transfer Agency Department, 78 Sir John Rogerson s Quay, Dublin 2, Ireland. Part 5: Beneficial Owners We have noted below any beneficiary owner* of the registered investor. Beneficiary Owner 1 (where applicable) Registered Name Entity Type Date of Birth (if individual) Beneficiary Owner 2 (where applicable) Registered Name Entity Type Date of Birth (if individual) * a beneficial owner is considered by the Fund to be an individual or corporate entity (a) A corporate entity which ultimately owns or controls whether through direct or indirect ownership or control (including through bearer shareholdings) more than 25 per cent of the shares or voting rights in the investor; or (b) An individual who holds more than 10% of the shares or voting rights of the investor; or (c) Otherwise exercises control over the management of the investor. 11 P AGE

12 Part 6: Your Intermediary s Details This section is to be completed by your Financial Intermediary. Company Name Company Adviser s Name Adviser s FCA number Telephone I prefer to be contacted by Phone I have attached an Applicant Introduction Certificate for each named applicant: Yes No Please arrange for any commission amounts due to us to be paid into the following bank account: Bank Name Bank Bank Sort Code Bank Account Name Bank Account Number Your Financial Intermediary must also confirm and sign below: Company name and address Agent Stamp Name Signature Date 12 P AGE

13 Part 7: Privacy Statement USE OF INFORMATION BY ROYAL LONDON Royal London Asset Management Bond Funds Plc may obtain personal information from you directly or, with your consent, from your approved financial adviser or from other sources such as an identity authentication agency. We will use your personal information (including sensitive personal information) for the following purposes: Providing and developing Our products and services Improving customer care Verifying your identity and fraud prevention Research and analysis Marketing Legal and regulatory reasons We will retain your personal information for a reasonable period and information about you will be kept after your account has been closed. We may also share information about you with your approved financial adviser, our service providers and agents and with third parties such as auditors, underwriters, reinsurers, professional advisors, identity authentication and fraud prevention agencies, other financial institutions and legal and regulatory bodies (which may include legal and regulatory bodies in other countries, including as described elsewhere in this application form). Your personal data may be processed in countries outside the European Economic Area. This processing will be carried out by experienced and reputable organisations and only on terms which safeguard the security of your data and comply with the requirements of the Data Protection Acts 1988 and We may carry out an authentication check to verify your identity. This involves checking the details you supply to us against those held on any database that may be accessed by a reputable third party company which carries out our checks. This includes information from the electoral register and fraud prevention agencies. We will use scoring methods to verify your identity. A record of this search will be kept and used to help other companies verify your identity. We may also pass information about you to financial and other organisations involved in money laundering and fraud prevention to protect ourselves and Our customers from theft and fraud. If you give Us false or inaccurate information and We suspect fraud, We will record this and share this information with other organisations. We may monitor and record phone calls and retain these for the purposes of training and quality assurance and to ensure that We have an accurate record of your instructions. If you provide Us with information about another person, you confirm that they have appointed you to act for them to consent to the processing of their personal data and that you have informed them of Our identity and the purposes (as set out above) for which their personal data (including sensitive personal data) will be processed. You have the right to ask for a copy of the information that We hold on you, for which We are entitled to charge a small fee, and to have any inaccuracies in your information corrected. If you have any questions about how we will use your personal information, please contact the Data Protection Officer, Royal London House, Alderley Road, Wilmslow, Cheshire, SK9 1PF. 13 P AGE

14 Part 8: Anti-Money Laundering Part 8a: Anti-Money Laundering - Know Your Customer Requirements I/we confirm that I/we have included all the necessary evidence of name and address in accordance with the application notes below or in the case of corporate of other organisations, have supplied the relevant evidence of status. Under Irish legislation covering anti-money laundering the Company and the Administrator are required to obtain the following documentation to verify the identity and permanent address of all new clients. Please note that the application may not be accepted until all the relevant information has been received. Additional confirmation of identity or authority of the applicant or the source of funds may be required in certain circumstances. Should documents be provided in a language other than English, an English translation may be required. Please note that the application may not be accepted until the Administrator is in receipt of all required anti-money laundering documentation, the original Application Form and the original banking details for the settlement of the redemption proceeds. In any event, redemption and dividend payments will not be processed until full anti-money laundering documentation has been received on the account and the Company and the Administrator reserve the right to take further action where full anti-money laundering documentation has not been received. If you are an Existing Investor it will not be necessary to provide any of the information set out below in connection with this application, but please ensure you have included your existing account number at the top of the main application form. Certified copy: The certification of all documents must be carried out by any of the following, who must be based in a Financial Action Task Force (FATF) country ( Notary Public/Practising Solicitors Police force Chartered & Certified Public Accountants Embassy/Consular staff Any Designated Body For Individual Applicants The information required from individual applicants who are not Existing Investors is listed below. Please tick the boxes below to indicate that the information has been provided with the application for each of the relevant applicant(s): Requirement 1. Certified copy of current passport, driving licence or identification card that bears photographic evidence of your identity. 2. Two original or certified items bearing evidence of your residential address such as a recent bank statement, public utility bill or mobile phone invoice. (Must be different types and no more than six months old.) 3. Documentary evidence of your Tax Identification Number (TIN) issued by your country of residence (National Insurance number in the UK). This must be in certified form. 4. A certified copy of your tax residency certificate issued by the tax authorities in the country in which you currently reside. (Relevant for Applicants resident in one country whose passport or identity card is issued by another Member State of the European Union.) Enclosed Applicant 1 st additional applicant 2 nd additional applicant 3 rd additional applicant Applicant 1 st additional applicant 2 nd additional applicant 3 rd additional applicant Applicant 1 st additional applicant 2 nd additional applicant 3 rd additional applicant Applicant 1 st additional applicant 2 nd additional applicant 3 rd additional applicant 14 P AGE

15 For Corporate Applicants The information required from corporate applicants who are not Existing Investors is listed below. Please tick the boxes below to indicate that the information has been provided with the application. Please note that the Administrator can only accept Application Forms from an entity that has legal capacity to enter into contracts on its own right and may require the document constitution. Corporate applicants resident in certain countries* are required to provide the following documentation: *Australia, Austria, Belgium, Canada, Denmark, Finland, France, Germany, Guernsey, Hong Kong, Iceland, Ireland, Italy, Jersey, Luxembourg, Isle of Man, Netherlands, Norway, Portugal, Singapore, Spain, Sweden, Switzerland, United Kingdom, United States Applicants from jurisdictions outside this list may be required to provide further information on request (please note this list is subject to change). Documentation which may be required for corporate non listed entities 1. Confirmation of Name and 2. Confirmation of Regulatory Body (if applicable) 3. Certificate of Incorporation or Certificate to Trade (Certified) 4. Memorandum and Articles of Association 5. Latest Audited Financial Statements (Certified) 6. Nature and purpose of entity 7. List of Directors to include full name, dates of birth, occupation, residential and business addresses 8. Authorised Mandate or Board Resolution to establish the business relationship 9. Original Authorised Signatory List 10. ONE Personal Verification and TWO Verification documents for at least TWO Directors (original or certified) 11. One Personal Verification and TWO Verification documents for ALL persons authorised to operate the account (original or certified) 12. Names and addresses of shareholders holding 10% or more of the issued share capital, and in the case of individual shareholders, names, residential addresses, occupations and dates of birth. Where a body corporate holds 25% or more of the issued share capital, names, residential addresses, occupations and dates of birth of the ultimate beneficial owners of that body corporate should be obtained. Enclosed Documentation required for Entities listed on a REGULATED stock exchange 1. Confirmation of Name and 2. Confirmation of stock exchange listing 3. Original Authorised Signatory List Enclosed Documentation required for a Nominee Company 1. Confirmation of Name and of Nominee Company 2. Original Authorised Signatory List for the Nominee Account 3. Confirmation of Name and of Parent of Nominee 4. Confirmation of Regulatory Body of Parent of Nominee 5. Original Authorised Signatory List of Parent 6. AML Letter of Assurance (please request template from SSFS Ireland) 7. Proof of regulation (Nominee/Parent) Enclosed Documentation required for Entities listed on a REGULATED stock exchange 1. Copy of Original Revenue Approval Letter 2. Evidence that the trustee or trustees for the pension scheme is/are empowered to act and that this investment is within the scope of their powers and does not constitute a breach of trust 3. AML checks on parent/investment manager of pension fund who will be entered onto the register 4. Pension Scheme Rules Enclosed 15 P AGE

16 **Corporate applicants resident outside EU (excluding Greece), US, Canada, Singapore, Hong Kong or Australia are required to provide all of the above (as applicable) and the following: Documentation required for CORPORATE APPLICANTS DOMICILED OUTSIDE THE EU (excluding Greece), US, Canada, Singapore, Hong Kong or Australia 1. For at least two Directors: a. Certified copy of current passport, driving licence or identification card that bears photographic evidence of your identity b. Two original or certified items bearing evidence of your residential address such as a recent bank, credit card statement, public utility bill or mobile phone invoice. These must be different types and no more than three months old. 2. A list of names and addresses of shareholders holding 10% or more of the issued share capital of the company and in the case of individual shareholders, their occupations and dates of birth Enclosed * If the applicant is a Designated Body in an EU country, this information is not required; however we will require evidence of your regulated status from the appropriate regulatory authority and an original or certified copy authorised signatory list with specimen signatures on company letterhead ** Applicants from certain jurisdictions may be required to provide further information on request. Documentation required for a TRUST/ FOUNDATION/ CHARITY 1. Confirmation of Name, registered and principal business address 2. Constitutional/ Formation document (e.g. Trust Deed or equivalent) 3. Nature and purpose 4. ONE Personal Verification and TWO Verification documents for at least TWO trustees/directors/governors/board members or ONE trustee/director/governor/board member and ONE authorised signatory (original/ certified) 5. ONE Personal Verification and TWO Verification documents for any settler (where appropriate) 6. ONE Personal Verification and TWO Verification documents for all beneficiaries who own at least 25% of the capital 7. Original Signatory List Enclosed Please note that the Administrator can only accept Application Forms from an entity that has legal capacity to enter into contracts on its own right and may require the constitutive document to legitimate legal status. 16 P AGE

17 Part 8b: Anti-Money Laundering Confirmation for Nominees/Intermediaries This confirmation can only be completed by designated bodies regulated for anti-money laundering purposes by the appropriate regulator in one of the following countries: Australia, Austria, Belgium, Canada, Denmark, Finland, France, Germany, Guernsey, Hong Kong, Iceland, Ireland, Italy, Jersey, Luxembourg, Isle of Man, Netherlands, Norway, Portugal, Singapore, Spain, Sweden, Switzerland, United Kingdom, United States (please note this list is subject to change). For EU countries, AML must be completed in line with the 3rd EU Anti-Money Laundering Directive. For entities outside of the EU, the applicable legislation must be provided and applied. Description of Investor Designated body investing as an intermediary Nominee Company Relationship of confirmation provider (regulated entity) to Investor Investor Parent of Investor Name of Regulated Entity Name of Regulator of Regulated Entity We confirm that we are a designated body regulated for anti-money laundering purposes by the below regulator and hereby confirm the following in connection to the investor: 1. We/the investor* has performed the anti-money laundering and counter-terrorist financing identification for any parties on whose behalf the investor is purchasing shares ( underlying investors ). 2. The evidence We/the investor* has obtained to verify the identity of the underlying investors, and where appropriate, their beneficial shareholders, meets the requirements of our national anti-money laundering and counter-terrorist financing legislation and regulations. 3. We confirm that all documents and information, which we/the investor* may have on our/the investor s* files relating to the identity of each underlying investor will be sent to a competent authority as soon as practicable upon the competent authority s request. 4. We confirm that all documents and information, which we/the investor* may have on our/the investor s files relating to the identity of each underlying investor will be sent to the Administrator of the Fund as soon as practicable upon its request, subject to applicable rules and regulations. 5. We/the investor* will retain these documents and information for a period of at least 5 years after the relationship with an underlying investor has ended. 6. We/the investor* will take measures to ensure that the underlying investors are neither individuals nor institutions against whom sanctions have been imposed by the EU or United Nations or persons or entities that are included on the List of Specially Designated Nationals and Blocked Persons maintained by the U.S. Treasury s Department s Office of Foreign Asset Control ( OFAC ). This confirmation can be applied to all future designations opened in the nominee/intermediary name. Yours faithfully, Name: (BLOCK CAPITALS) Title: Authorised Signatory of Regulated Entity. *delete as applicable This should be signed by an authorised member of the Compliance Department or Legal Department (please state position). 17 P AGE

18 Part 9: Self-certification form A) INDIVIDUAL (CONTROLLING PERSON S) SELF-CERTIFICATION FOR FATCA AND CRS Instructions for completion We are obliged under Section 891E, Section 891F and Section 891G of the Taxes Consolidation Act 1997 (as amended) and regulations made pursuant to those sections to collect certain information about each investor s tax arrangements. Please complete the sections below as directed and provide any additional information that is requested. Please note that in certain circumstances we may be legally obliged to share this information, and other financial information with respect to an investor s interests in the Fund, with relevant tax authorities. This form is intended to request information only where such request is not prohibited by Irish law. If you have any questions about this form or defining the investor s tax residency status, please refer to the OECD CRS Portal or speak to a tax advisor. For further information on FATCA or CRS please refer to Irish Revenue website at or the following link to the OECD CRS Information Portal at: in the case of CRS only. If any of the information below about the investor s tax residence or FATCA/CRS classification changes in the future, please advise of these changes promptly. Please note that where there are joint or multiple account holders each investor is required to complete a separate Self- Certification form. Sections 1, 2, 3 and 5 must be completed by all investors. Section 4 should only be completed by any individual who is a Controlling Person of an entity investor which is a Passive Non-Financial Entity. For further guidance see: (Mandatory fields are marked with an *) Section 1: Investor Identification Investor Name*: Fund Name: Current Residential *: City, Town, State, Province or County: Postal / ZIP code Country: 18 P AGE

19 Mailing address (if different from above): City, Town, State, Province or County: Postal / ZIP code Country: Place of Birth* Town or City of Birth*: Country of Birth*: Date of Birth*: Section 2: FATCA Declaration of U.S. Citizenship or U.S. Residence for Tax purposes* Please tick either (a) or (b) and complete as appropriate. (a) I confirm that [I am]/[the investor is] a U.S. citizen and/or resident in the U.S. for tax purposes and [my]/[its] U.S. federal taxpayer identifying number (U.S. TIN) is as follows: OR (b) I confirm that [I am not]/[the investor is not] a U.S. citizen or resident in the U.S. for tax purposes Section 3: CRS Declaration of Tax Residency (please note you may choose more than one country)* Please indicate your/ the investor s country of tax residence (if resident in more than one country please detail all countries of tax residence and associated taxpayer identification numbers ( TIN ). Please see the CRS Portal for more information on Tax Residency. Country of Tax Residency Tax ID Number NOTE: Provision of a Tax ID number (TIN) is required unless you are tax resident in a Jurisdiction that does not issue a TIN. 19 P AGE

20 Section 4: Type of Controlling Person (ONLY to be completed by any individual who is a Controlling Person of an entity investor which is a Passive Non-Financial Entity or an Investment Entity located in a Non-Participating Jurisdiction and managed by another Financial Institution) For joint or multiple Controlling Persons please complete a separate Self-Certification form for each Controlling Person. Please confirm what type of Controlling Person applicable under CRS that applies to you/the investor by ticking the appropriate box. Please Tick Entity Name Controlling Person of a legal person control by ownership Controlling Person of a legal person control by other means Controlling Person of a legal person senior managing official Controlling Person of a trust - settlor Controlling Person of a trust trustee Controlling Person of a trust protector Controlling Person of a trust beneficiary Controlling Person of a trust other Controlling Person of a legal arrangement (non-trust) settlor-equivalent Controlling Person of a legal arrangement (non-trust) trustee-equivalent Controlling Person of a legal arrangement (non-trust) protector-equivalent Controlling Person of a legal arrangement (non-trust) beneficiaryequivalent Controlling Person of a legal arrangement (non-trust) other-equivalent 20 P AGE

21 B) ENTITY SELF-CERTIFICATION FORM Instructions for completion We are obliged under Section 891E, Section 891F and Section 891G of the Taxes Consolidation Act 1997 (as amended) and regulations made pursuant to those sections to collect certain information about each investor s tax arrangements. Please complete the sections below as directed and provide any additional information that is requested. Please note that in certain circumstances we may be legally obliged to share this information, and other financial information with respect to an investor s interests in the Fund, with relevant tax authorities. This form is intended to request information only where such request is not prohibited by Irish law. If you have any questions about this form or defining the investor s tax residency status, please refer to the OECD CRS Portal or speak to a tax adviser. For further information on FATCA or CRS please refer to Irish Revenue website at or the following link: in the case of CRS only. If any of the information below about the investor s tax residence or FATCA/CRS classification changes in the future, please ensure that we are advised of these changes promptly. (Mandatory fields are marked with an *) Investors that are individuals should not complete this form and should complete the form entitled Individual Self-Certification for FATCA and CRS. Section 1: Investor Identification Investor Name*: (the Entity ) Country of Incorporation or Organisation: Current Registered *: City, Town, State, Province or County: Postal / Zip code Country: Mailing address (if different from above): City, Town, State, Province or County: Postal / Zip code Country: 21 P AGE

22 Section 2: FATCA Declaration Specified U.S. Person Please tick either (a), (b) or (c) below and complete as appropriate. (a) OR The Entity is a Specified U.S. Person and the Entity s U.S. Federal Taxpayer identifying number (U.S. TIN) is as follows: (b) The Entity is not a Specified U.S. Person (please also complete Sections 3, 4 and 5) OR (c) The Entity is a U.S. person but not a Specified U.S. Person (please also complete Sections 3, 4 and 5) Section 3: Entity s FATCA Classification* (the information provided in this section is for FATCA, please note your classification may differ from your CRS classification in Section 5): 3.1 Financial Institutions under FATCA: If the Entity is a Financial Institution, please tick one of the below categories, and provide the Entity s GIIN at 3.2. I. Irish Financial Institution or a Partner Jurisdiction Financial Institution II. III. Registered Deemed Compliant Foreign Financial Institution Participating Foreign Financial Institution 3.2 Please provide the Entity s Global Intermediary Identification number (GIIN): 3.3 If the Entity is a Financial Institution but unable to provide a GIIN, please tick one of the below reasons: I. The Entity has not yet obtained a GIIN but is sponsored by another entity which does have a GIIN Please provide the sponsor s name and sponsor s GIIN : Sponsor s Name: Sponsor s GIIN: II. III. IV. Exempt Beneficial Owner Certified Deemed Compliant Foreign Financial Institution (including a deemed compliant Financial Institution under Annex II of the Agreement) Non-Participating Foreign Financial Institution V. Excepted Foreign Financial Institution 3.4 Non-Financial Institutions under FATCA: If the Entity is not a Financial Institution, please tick one of the below categories: I. Active Non-Financial Foreign Entity II. Passive Non-Financial Foreign Entity (If this box is ticked, please include self-certification forms for each of your Controlling Persons) III. Excepted Non-Financial Foreign Entity 22 P AGE

23 Section 4: CRS Declaration of Tax Residency (please note that you may choose more than one country)* Please indicate the Entity s country of tax residence for CRS purposes, (if resident in more than one country please detail all countries of tax residence and associated tax identification numbers ( TIN )). NOTE: Provision of a Tax ID number (TIN) is required unless you are tax resident in a Jurisdiction that does not issue a TIN. If the Entity is not tax resident in any jurisdiction (e.g. because it is fiscally transparent), please indicate that below and provide its place of effective management or country in which its principal office is located. Country of Tax Residency Tax ID Number Section 5: Entity s CRS Classification* (the information provided in this section is for CRS. Please note an Entity s CRS classification may differ from its FATCA classification in Section 3): For more information please see the CRS Standard and associated commentary Financial Institutions under CRS: If the Entity is a Financial Institution, please tick one of the below categories: I. Financial Institution under CRS (other than (II) below) II. An Investment Entity located in a Non-Participating Jurisdiction and managed by another Financial Institution (If this box is ticked,please indicate the name of any Controlling Person(s) of the Entity and complete a separate individual self-certification form for each of your Controlling Persons**) 5.2 Non-Financial Institutions under CRS: If the Entity is a Non-Financial Institution, please tick one of the below categories. I. Active Non-Financial Entity a corporation the stock of which is regularly traded on an established securities market or a corporation which is a related entity of such a corporation II. III. IV. Active Non-Financial Entity- a Government Entity or Central Bank Active Non-Financial Entity an International Organisation Active Non-Financial Entity other than (I)-(III) (for example a start-up NFE or a non-profit NFE) **Controlling Persons: NB: Please note that each Controlling Person must complete a Separate Individual Self-Certification form. If there are no natural person(s) who exercise control of the Entity then the Controlling Person will be the natural person(s) who hold the position of senior managing official of the Entity. For further information on Identification requirements under CRS for Controlling Persons, see the Commentary to Section VIII of the CRS Standard. V. Passive Non-Financial Entity (If this box is ticked, please complete a separate Individual Self- Certification Form for each of your Controlling Person(s)) 23 P AGE