Company name (the Applicant or We ) Account designation (if different from Company name) Company registration number.

Transcription

1 Foord SICAV Investment Company with Variable Capital under Luxembourg Law Foord International Fund Foord Global Equity Fund (Luxembourg) Subfunds of Foord SICAV APPLICATION FORM Professional Clients willing to subscribe for shares of the Foord SICAV Foord International Fund and/or Foord Sicav Foord Global Equity Fund (Luxembourg) (the Investment Funds or Subfund ), for which Credit Suisse Fund Services (Luxembourg) S.A. serves as Central Administrator, must first complete this Application Form in order to provide the basis for the subsequent transactions for which the relevant Transaction Form or another agreed format shall be used. For any question please contact the Credit Suisse Fund Services (Luxembourg) S.A. Investor Services Desk (contact details below). The completed Application Form and accompanying documentation must be sent via post directly to: Credit Suisse Fund Services (Luxembourg) S.A. Investor Services Desk Telephone: /621 Office Address: 5, rue Jean Monnet L-2180 Luxembourg Mailing Address: P.O. Box 369 L-2013 Luxembourg The form and accompanying documentation may also be accepted by fax, provided that the originals are forwarded by post. Fax: Registration Details Please complete this section in BLOCK CAPITALS. Company name (the Applicant or We ) Account designation (if different from Company name) Company registration number Registered Address: Street / Number Post Code / City Country Mailing Address (if different from Reg. Address) Nature of business Contact person / Dept Telephone number Fax number address Please attach the original or a certified copy of the authorized signatory list. If the Applicant is not a Financial institutions licensed, based and regulated in a member state of the European Union, the European Economic Area and/or the Financial Action Task Force on Money Laundering (excl. Argentina, China, the Russian Federation and Turkey), or a listed company on a recognized stock exchange, please refer to the Investor Services Desk for the identification documents to be provided according to the Shareholder Identification Procedure. Credit Suisse Fund Services (Luxembourg) S.A. reserves the right to request additional information/documents required for anti-money laundering compliance purposes and to retain any redemption proceeds if exceptionally the identification process could not be completed before. CREDIT SUISSE FUND SERVICES (LUXEMBOURG) S.A. is acting as the Fund s Administrator only and is not providing investment services and/or performing investment activities to third parties in relation to the shares of the Subfund. 1

2 Bank Account Details Please complete this section in BLOCK CAPITALS. If additional accounts for other currencies are used, please attach a separate list showing the same details as mentioned below. Important te: third party payments are accepted or made. If this section is not completed payments to the Applicant may be delayed. Bank Address Account name Account number Sort code / IBAN code Swift code ABA number (if applicable) Currency EUR USD GBP Other: Dealing Methods Important te: You may give instructions at your own risk by non-encrypted fax. Please tick the method(s) in which the Applicant s Authorized Dealers will be dealing on the account: Fax Swift Electronic Reporting If agreed, please notify us the relevant address(es). By ticking this box, we hereby agree to the non-encrypted electronic receipt of statements and other reports that may be issued from time to time. We understand and accept at our own risk that certain reports may be sent by non-encrypted Fax messages only. Subscription Details and Acknowledgements* *This section is optional to the extent that the Application Form needs to be provided for account opening before initial investment We hereby irrevocably subscribe such amount as set out below in the following class(es) of Shares in the Subfund: We would like to invest in the following share class(es) of the Subfund: ISIN Class Currency Foord International Fund LU A USD Foord International Fund LU B ** USD Foord International Fund LU R USD Foord International Fund LU X ** USD Foord International Fund LU C ** GBP Foord International Fund LU D ** EUR Foord International Fund LU R1 ** USD Foord Global Equity Fund (Luxembourg) LU A USD Foord Global Equity Fund (Luxembourg) LU R USD Foord Global Equity Fund (Luxembourg) LU X ** USD Foord Global Equity Fund (Luxembourg) LU C ** GBP Foord Global Equity Fund (Luxembourg) LU D ** EUR Foord Global Equity Fund (Luxembourg) LU R1 ** USD Investment Amount *** or Number of Shares ** Application requires separate approval of Foord Sicav *** Please use the English notation using the comma as thousand-separator when expressing figures (e.g. 1,000, for one-million) 2

3 We acknowledge that: (a) this subscription is irrevocable; (b) this subscription may be accepted or rejected by the Fund, in its sole and absolute discretion and that if this Subscription Form is rejected, then it shall have no force or effect; (c) we are aware of and will comply with the minimum subscription amount and the minimum subsequent subscription amount for the different classes that are set out in the Prospectus; (d) we are aware of and will comply with any specific restrictions related to the type of shareholders that are allowed to invest in any of the Subfunds and class(es) of Shares listed above, as set out in the Prospectus. We undertake to subscribe in the Subfunds on behalf of clients who meet the restrictions as set out in the Prospectus for such share classes. 3

4 Declarations & Signatures Important te: The right is reserved to reject any application. By signing this form the Applicant makes the following declarations: We understand and accept that this application is made on the basis and subject to the latest Prospectus (which term shall include the Key Investor Information Document) and financial reports of the Investment Fund that we are willing to subscribe (the Fund ), which we have read and are familiar with, in particular the Risk Factors set forth in this document. We are either (i) not a United States person as defined in the Prospectus ( US Person ) and not acquiring Fund shares/units on behalf of or for the benefit of a US Person; or (ii) a US Person acquiring Fund shares/units as a fiduciary or dealer for the benefit of our customers who are not US Persons. We acknowledge that we are aware of the remedies available to the Fund and/or its management company in case of non-compliance with the special conditions for acquiring and maintaining the Fund share/unit classes set force in the Prospectus. We agree to provide a list of individuals, including signature specimen, duly authorised to sign and provide verbal instructions to transact Fund shares/units on the Applicant s behalf ( Authorized Dealers ) and authorises the Fund and/or its management company and its Central Administration to act and rely upon any instructions received from such authorised individuals without liability in respect of any transfer, payment or other act made, done or omitted to be done in respect of the Applicant s account in accordance with such instructions. We declare having taken particular notice of Clause 4 of the Terms and Conditions and declare that we expressly consent to the processing and to the disclosure of our personal data as outlined in this Clause. If you object to the disclosure of your personal data tick this box We confirm that we are investing on our own behalf and we are the ultimate economic beneficiary of the funds and any subsequent income invested, unless indicated here We confirm that we wish to avail of the Dealing Facility, and that we have read and understand the specific Terms & Conditions in relation to this as set out in Clause 6, Dealing Facility. We confirm that all s sent for dealing purposes will be sent from the address listed on Page 1 of this Application Form We agree that we will be solely responsible for complying with all the relevant legal, tax, and exchange control regulations in force in the applicable country of our citizenship, residence or domicile. We confirm that the information set out above comprises the Applicant s complete address as well as the Applicant s banking references for the purpose of inclusion thereof in the register of share-/unitholders of the Funds. We confirm that the Fund and/or its management company and its Central Administration may treat such information as accurate and up to date until notice to the contrary shall have been received in writing by it from the Applicant. We have read and understood the Declarations and the General Terms and Conditions (next page). Date Authorised Signature(s) Print name(s) 4

5 General Terms and Conditions General Terms and Conditions Foord SICAV (the Fund ) is listed on the official list of undertakings for collective investment pursuant to the law of 17 December 2010 relating to undertakings for collective investment as it may be amended from time to time (hereafter referred to as the "Law" or the "2010 Law") and submitted to the Law and to the law of 10 th August 1915 on commercial companies, as amended (the 1915 Law ). It is subject in particular to the provisions of Part I of the 2010 Law, which relates specifically to undertakings for collective investment in transferable securities ( UCITS ), as defined by the Directive 2009/65/EC. 1. Anti-Money Laundering Pursuant to the Luxembourg rules and regulations on the fight against money laundering and financing of terrorism, obligations have been imposed on all banks and professionals of the financial sector to prevent the use of investment vehicles for money laundering purposes. Within this context a procedure for the identification of investors has been imposed, which requires the Applicant to provide the following documents (if not been an acceptable financial institution - a financial institution licensed, based and regulated in a country which impose equivalent requirements within the meaning of the Luxembourg law of 12 vember 2004 on the fight against money laundering and terrorist financing, as amended - or a listed company on a recognised stock exchange [please refer to the part Identification Documents]), if indicated, duly certified as true by an appropriately authorised officer in that person s country of residence (e.g. without limitation: notary, police officer, ambassador or consul): For corporate or legal investors: a truly certified copy of the evidence of registration (e.g. excerpt of the trade register), a copy of the constituting documents of the corporate or legal entity (e.g. memorandum and articles of association), an authorised signature list, a copy of the latest financial statement and a list of directors including their identity data, function and residential address. The representatives and (where ownership of shares issued by the corporate or legal entity is not sufficiently widespread among the public) the shareholders of the corporate or legal entity owning directly or indirectly more than 25% of the share capital must comply with the disclosure requirements set out under the heading For individual investors below (if it is considered that ownership of the shares is sufficiently widespread among the public for the purposes of the applicable anti-money laundering procedures, evidence that this is the case may be supplied). For individual investors: a truly certified copy of the passport or identity card evidencing the identity of the investor (and of the intended beneficial owner(s) of ordinary shares if the subscriber is acting on behalf of another person). The Administrator reserves the right to request additional information/documents required for anti-money laundering compliance purposes and to refuse the subscription if the Applicant is not able to provide the details required or other necessary documents. Any information provided to the Administrator and the SIF in this context is collected for anti-money laundering compliance purposes only. 2. Acting as Intermediary Where the Applicant is acting as agent on behalf of another person (whether disclosed to us or not), the Applicant represents and warrants that: (i) he has full power and authority to instruct the Administrator upon these General Terms and Conditions; and (ii) he has no reason to believe that such person will not be able to perform any settlement obligation thereunder and (iii) he has obtained and recorded evidence of the identity of such person or any underlying principal of such person. The Applicant agrees that he will be liable to the Administrator and the Fund jointly and severally with his principal in respect of all obligations and liabilities arising therefrom. The Applicant agrees to provide the Administrator with written insurance that he has obtained and recorded the identity of any person on whose behalf he is acting or any underlying principal of such person and to pass to the Administrator such other information, documentation and written confirmations in relation to such underlying person as the Administrator reasonably require to allow it to comply with applicable rules and, in particular, with applicable antimoney laundering regulations. 3. Instructions Authority The Applicant may give instructions at his own risk either by letter, fax or, subject to acceptance on page 3 of this Application Form of the provisions of the Dealing Facility set out in 6 below, by . Any authorization of instruction method shall remain in force until notice in writing of its termination is received by the Administration Agent. The authority for fax and such other electronic means does not apply to notifications of change of name and other basic changes in the relationship where original documentation must be sent by post to the Administration Agent. The Applicant agrees that phone conversations may be recorded and that records may be used in court or other legal proceedings as evidence. 4. Data Protection / Confidentiality The data supplied by you to the Administrator and the Fund (together, the Addressee ) will be held by the Addressee for purposes connected with the Applicant s investment in the Fund, and to comply with applicable legal and regulatory requirements. All such data shall not be held for longer than reasonably necessary with regard to the purpose of the data processing or as otherwise required by law. The Applicant consents to: (iv) the retention and processing of such data by the Addressee for the purposes of maintaining a register of shareholders of the Fund and/ or processing subscription and redemption of units; and (v) the disclosure of such data, including the shareholders positions in the Fund, a) when required by law or regulation (Luxembourg or otherwise); b) to the Custodian or c) to other parties which intervene in the process of the business relationship and where the transfer is necessary for the maintenance of records, administration or provisions of services in relation to the Fund (e.g. external processing centres, dispatch or payment agents). The Applicant further acknowledges that the Administrator is a member of a group of companies controlled by Credit Suisse Group ( Affiliated Companies ), that Foord Asset Management (Guernsey) Limited is the Investment Manager of the Subfund and Credit Suisse AG is the Promoter of the Subfund and that employees of Affiliated Companies, Investment Manager and Promoter necessarily work closely together to ensure that the Applicant benefits from all the relevant expertise within the Credit Suisse Group, Investment Manager and Promoter with a view to maintain, monitor and improve the Applicant s relationship with the Fund and Credit Suisse and/or Investment Manager and/or Promoter. Accordingly information related to the Applicant s name registered by the Addressee, his transactions and holdings may be made available by the Addressee to Affiliated Companies, Investment Manager and Promoter. The Applicant hereby expressly consents to and authorises such disclosure of information to Affiliated Companies, Investment Manager and Promoter. The Applicant may withdraw his consent at any time by giving written notice hereof. The companies mentioned above in the sub-clause (c) and Affiliated Companies may include companies based in countries where data protection laws might not exist or be of a lower standard than in the European Union. The Applicant has the right of access and of rectification of the data held in relation to him in cases where such data are inaccurate or incomplete. 5. Governing Law and Jurisdiction The validity, construction and performance of the Subscription Form (including these General Terms and Conditions) and any non-contractual obligations arising out of or in connection with it are governed by and construed in accordance with the laws of the Grand Duchy of Luxembourg. Any dispute including a dispute relating to non-contractual obligations arising out of the Subscription Form (including these General Terms and Conditions) or will be submitted exclusively to the courts of the District of Luxembourg-City. CREDIT SUISSE FUND SERVICES (LUXEMBOURG) S.A. is acting as the Fund s Administrator only and is not providing investment services and/or performing investment activities to third parties in relation to the shares of the Subfund. 5

6 General terms and Conditions 6. Dealing Facility 6.1. The Central Administrator (the Administrator) and the Fund agree to the use of s for the purpose of instructions in relation to transactions in the Fund (the Instructions ) by the Investor (the three entities collectively referred to as the Parties ). The Investor may instruct the Administrator on fund transactions (subscription, redemption and switches) via e- mail The Fund instructs the Administrator to process Instructions received from Investors by provided that: The is provided to a dedicated address: list.amluxdealingdesk@credit-suisse.com The incoming Instructions from the Counterparty include the time and date 6.3. The Investor acknowledges and agrees that the Administrator has properly performed its duties if it executes such Instructions after having applied the control procedure as set out above The Instruction sent by the Investor shall be deemed as received by the Administrator once the Investor has received an Acknowledgment of Receipt. If the Investor has not received an acknowledgment of receipt within 30 minutes of the time of transmission, they should then contact the Administrator on the telephone number listed on page 1 of this Application Form. The Administrator will investigate and confirm whether or not an has been received within the cut-off time. Any disputes will be decided by the representatives of the Fund together with the Administrator Once the Administrator has received the finalised share price they will send a Trade Confirmation concerning the Instruction. The Trade Confirmation shall in general be sent by the Administrator to the Investor via fax on NAV calculation date. The Administrator expressly reserves the right to confirm the Instruction via other means of communication than fax The Parties are aware that the use of communication carries considerable risks. The Investor acknowledges that it is relatively easy to adopt the identity of another person when sending information electronically. The possibility that external systems may be accessed and misused means, for example, that an intruder is able to fraudulently take on the address or name vis-à-vis the recipient computer. The Investor having instructed the order via bears all the risks and consequences which may arise from manipulation of the addresses of the persons authorized to transmit instructions to the Administrator. The Investor undertakes to inform the persons authorized to instruct the Administrator via that it is not allowed for third parties to use his/her address The Parties acknowledge that information is carried on a publicly accessible network (internet) and that, under certain circumstances, third parties may discover that a relationship between the Parties exists. Furthermore, information is transmitted in unencrypted form, so that some of the contents of the can be read or altered by anyone If the Administrator has exercised such standard of care which can be reasonably expected from a professional of the financial sector, the Administrator and the Fund shall not be liable for any losses resulting from the data transfer via . The Administrator and the Fund shall in no event be liable for damages accrued by the Investor as a result of transmission errors, technical defects, interruptions, faults, unlawful access, network overload, malicious blockage of electronic access by third parties or other shortcomings on the part of the network operators For the avoidance of any doubt the Investor acknowledges that the Administrator and the Fund shall be under no duty of any further enquiry relating to received instructions or relating to the fact that no instruction on any given day has been received from the Investor, as the case may be. The Administrator and the Fund shall be protected in acting on any instructions and information received by , unless the instruction provided is such that it must appear erroneous or incomplete according to a normal reasonable understanding. In that case, the Administrator shall ask for confirmation without delay. 6

7 Identification Documents Credit Suisse Fund Services (Luxembourg) S.A. Identification Documents In addition to the Application Form, the Applicant must provide to the Fund s Administrator the documentation specified below by sending them via postal mail to: CREDIT SUISSE FUND SERVICES (LUXEMBOURG) S.A. Client Services Desk P.O. Box 369 5, rue Jean Monnet L-2013 Luxembourg The documentation may also be accepted by fax, provided that the originals are forwarded by post. Fax: For any question please contact the Administrator s Client Services Desk by phone ( /621) or fax (see above). Depending on the Applicant s capacity in relation to the subscription of shares/units of the Funds, the following documents must be provided to the Administrator. The Administrator reserves the right to request additional information/documents required for tax, eligible investor status and anti-money laundering compliance purposes and to retain any redemption proceeds if exceptionally the identification process could not be completed before. te on certifications: Independently certified means certified by name, date and signature as a true and complete copy of the original by (i) a competent authority in accordance with the laws of your country (e.g. notary, embassy, consulate, solicitor, the competent official authority who issued the document); or (ii) a Credit Suisse bank. Self-certified means certified by name, date and signature as a true, complete and valid copy of the original by the company itself (e.g. the company secretary) The Applicant is acting in its capacity as Investor Completed and duly signed Investor Profile Form (please use the legal entities form) Completed and duly signed Beneficial Owner Form (please use the legal entities form for each Beneficial Owner and add the Investor Profile Form for individuals for each Beneficial Owner) Independently certified true copies of the identification documents of the Investor (and Beneficial Owner, if applicable) as outlined in the General Terms and Conditions Independently certified true copy of the current and dated list on company letterhead of authorized signatories, or an officially published booklet of authorized signatories, or a duly completed and signed Board Resolution Form Independently certified true copy of a valid identity card or passport of the person(s) signing the application form (if a legal entity) The Applicant is an acceptable Financial Institution* ( FI ) acting in its capacity as financial intermediary on behalf of Investors Completed and duly signed FI Profile Form Self-certified true copy of the current and dated list on company letterhead of authorized signatories, or an officially published booklet of authorized signatories, or a duly completed and signed Board Resolution Form * Financial institutions licensed, based and regulated in a member state of the European Union, the European Economic Area and/or the Financial Action Task Force on Money Laundering (excl. Argentina, China, the Russian Federation and Turkey). The Applicant (not being a FI) is acting in its capacity as authorized representative of the Investor (1) Completed and duly signed Investor Profile Form (please use the legal entities form) Completed and duly signed Beneficial Owner Form (please use the legal entities form for each Beneficial Owner and add the Investor Profile Form for individuals for each Beneficial Owner) Completed and duly signed Representative Profile Form Independently certified true copies of the identification documents of the Investor (and Beneficial Owner, if applicable) as outlined in the General Terms and Conditions Duly signed power of attorney by the Investor or other proof of authorization of the Applicant acceptable to the Agent Independently certified true copy of a valid identity card or passport of the Applicant (if an individual) or of the individual(s) representing the Applicant (if a legal entity) CREDIT SUISSE FUND SERVICES (LUXEMBOURG) S.A. is acting as the Fund s Administrator only and is not providing investment services and/or performing investment activities to third parties in relation to the shares of the Subfund. 7

8 Identification Documents INVESTOR PROFILE FORM - Legal Entities Important note: This form must be completed for the Investor (being a legal entity). For beneficial owners please complete the form for individuals. Name Legal entity name Legal form Public limited company Private limited company Partnership Unlimited Company Trust Limited Partnership Association Other: Listed Yes, stock exchange: Purpose of the Company Industry / Company details Number of employees Does the Company conduct any form of commercial operation (operating activity)? Yes Is the Company wholly owned by an operational group? Yes: Is the Company owned or controlled by a government / government entity? Yes: The undersigned declares that the information set out above are true and undertakes to inform the Fund and the Administrator, of his/her own accord, about any changes. Signed by: Place and date Signatures Print names / titles 8

9 Identification Documents INVESTOR PROFILE FORM - Individuals Important note: This form must be completed for the Investor (being an individual) and for each beneficial owner. Name Surname, first name(s) Profession Salaried employment Employer Industry Job/Position Self-employed Name of company Industry Turnover/earnings Number of staff Retired Last position held Other Remarks Estimated total income (p.a.) Source(s) of income (e.g. salary, investment income, real estate income) Currency Amount Estimated total assets Source(s) of total assets (e.g. savings, inheritance, real estate) Currency Amount Did you qualify as a "Politically Exposed Person" (PEP) 1? Yes: Position / Location The undersigned declares that the information set out above are true and undertakes to inform the Fund and the Administrator, of his/her own accord, about any changes. Signed by: Place and date Signature 1 The law defines PEPs as natural persons who are or have been entrusted with prominent public functions and immediate family members or persons known to be close associates of such persons. "Natural persons who are or have been entrusted with prominent public functions" means all natural persons, including: heads of State, heads of government, ministers and deputy or assistant ministers; members of parliament; members of supreme courts, of constitutional courts or of other high-level judicial bodies whose decisions are not subject to further appeal except in exceptional circumstances; members of courts of auditors or of the boards of central banks; ambassadors, chargés d affaires and high-ranking officers in the armed forces; members of the administrative, management or supervisory bodies of State-owned enterprises; leaders of political parties. "Immediate family members" means all natural persons, including: the spouse; any partner considered by national law as equivalent to the spouse; the children and their spouses or partners; the parents. "Persons known to be close associates" means all natural persons, including: any natural person who is known to have joint beneficial ownership of legal entities or legal arrangements together with a person who is or has been entrusted with a prominent public function, or to have any other close business relations with such a person; any natural person who has sole beneficial ownership of a legal entity or legal arrangement which is known to have been set up for the benefit de facto of a person who is or has been entrusted with a prominent public function. 9

10 Identification Documents FINANCIAL INSTITUTION (FI) PROFILE FORM Important note: FI not being an acceptable FI (financial institutions not licensed, based and regulated in a member state of the European Union, the European Economic Area and/or the Financial Action Task Force on Money Laundering [excl. Argentina, China, the Russian Federation and Turkey]) must provide additional information and documentation of itself and the underlying investors. Name Legal entity name Legal form Public limited company Private limited company Partnership Limited Partnership Other: Financial Regulator Listed Yes, stock exchange: Is the FI owned or controlled by a government / government entity? Yes: Is the FI member of a financial corporate group? Yes, name: Background of the subscription Order of a client Discretionary mandates Investment fund management Investment fund custody Other: Type of underlying investor Individual Listed company Investment fund Holding company / Trust Pension fund Government agency Other: In acting as a financial intermediary in relation to the subscription in the Funds, we confirm to have obtained and recorded evidence of the identity of the investor and any underlying principal of such investor, and have applied all of our usual and customary due diligence procedures to the investor, with satisfactory results. We agree, if required to do so either by the Fund, the Administrator or by any competent government body, as a result of the application of the Luxembourg anti-money laundering rules or any amendments thereto, to disclose the investor and any underlying principal of such investor to the Fund, the Administrator and to the competent government body respectively, subject to local law. Signed by: Place and date Signatures Print names / titles 10

11 Identification Documents REPRESENTATIVE PROFILE FORM Important note: This form must be completed for an authorized representative of the Investor, which is not a FI. Name Surname, first name(s) / Legal entity name Relationship to the Investor Did you qualify as a "Politically Exposed Person" (PEP) 2? Yes: Position / Location In addition, if the Representative is a legal entity: Company registration number Legal form Public limited company Private limited company Partnership Unlimited Company Trust Limited Partnership Association Other: Purpose of the Company Number of employees Is the Company owned or controlled by a government / government entity? Yes: The undersigned declares that the information set out above are true and undertakes to inform the Administrator, of his/her own accord, about any changes. Signed by: Place and date Signature 2 The law defines PEPs as natural persons who are or have been entrusted with prominent public functions and immediate family members or persons known to be close associates of such persons. "Natural persons who are or have been entrusted with prominent public functions" means all natural persons, including: heads of State, heads of government, ministers and deputy or assistant ministers; members of parliament; members of supreme courts, of constitutional courts or of other high-level judicial bodies whose decisions are not subject to further appeal except in exceptional circumstances; members of courts of auditors or of the boards of central banks; ambassadors, chargés d affaires and high-ranking officers in the armed forces; members of the administrative, management or supervisory bodies of State-owned enterprises; leaders of political parties. "Immediate family members" means all natural persons, including: the spouse; any partner considered by national law as equivalent to the spouse; the children and their spouses or partners; the parents. "Persons known to be close associates" means all natural persons, including: any natural person who is known to have joint beneficial ownership of legal entities or legal arrangements together with a person who is or has been entrusted with a prominent public function, or to have any other close business relations with such a person; any natural person who has sole beneficial ownership of a legal entity or legal arrangement which is known to have been set up for the benefit de facto of a person who is or has been entrusted with a prominent public function. 11

12 Identification Documents BENEFICIAL OWNER FORM - Legal Entities Important notes: If more than one beneficial owner exists, further copies of this form must be completed as required. In case of indirect ownership, please describe on a dated and signed company headed paper all the intermediate levels of ownership with names and percentages. In relation to the investment in shares of the Subfund, applied by and in the name of: Name of the Applicant Legal entity name the undersigned, being an authorized representative of the Investor, hereby declares that: the Investor is a listed company or a wholly owned subsidiary of such listed company In case of a subsidiary, name of the listed company: the Investor is a legal entity not falling under the above category and that the beneficial owner 3 of the assets concerned is: Title Mr Mrs Other: Name of the beneficial owner Surname First name(s) Nationality Date and place of birth Residential address Day / Month / Year City Country Street number and name Postal code City Country Identification document Identity Card Passport Number: Country of issue Tax residence and TIN Country of residence for tax purposes Tax identification number (TIN) The undersigned declares that the information set out above are true and undertakes to inform the Fund and the Administrator, of his own accord, about any changes. Signed by: Place and date Signature 3 The law defines "beneficial owner" as any natural person who ultimately owns or controls the Investor and/or any natural person on whose behalf a transaction or activity is being conducted. The beneficial owner shall at least include: (i) in the case of incorporated legal entities: a. any natural person who ultimately owns or controls a legal entity through direct or indirect ownership or control over a sufficient percentage of the shares or voting rights in that legal entity, including through bearer share holdings, other than a company listed on a regulated market that is subject to disclosure requirements consistent with Community legislation or subject to equivalent international standards; a percentage of more than 25% shall be deemed sufficient to meet this criterion; b. any natural person who otherwise exercises control over the management of a legal entity (e.g. chief executive officer, members of the board of directors) (ii) in the case of other legal entities, such as foundations and legal arrangements, such as trusts, which administer and distribute funds: a. where the future beneficiaries have already been determined, any natural person who is the beneficiary of 25% or more of the property of a legal arrangement or entity; b. where the individuals that benefit from the legal arrangement or entity have yet to be determined, the class of persons in whose main interest the legal arrangement or entity is set up or operates; c. any natural person who exercises control over 25% or more of the property of a legal arrangement or entity. 12

13 Settlement Instructions CREDIT SUISSE FUND SERVICES (LUXEMBOURG) S.A. CREDIT SUISSE TA SUBSCRIPTION COLLECTION ACCOUNT SETTLEMENT INSTRUCTIONS Subscription proceeds are to be made available to the Administrator by cash transfer. The full subscription price of the Shares must be received in immediately available funds in line with the cut-off time for payment of subscription monies in the relevant currencies. Please instruct payments by SWIFT MT103 only for the respective currencies as follows: CCY SWIFT FIELD: EUR CORRESPONDENT BANK SWIFT: CITI GB 2L XXX 54 CORRESPONDENT BANK: CITIBANK NA, LONDON 54 CORRESPONDENT BANK SWIFT: CRES CH ZZ 80A 56 CORRESPONDENT BANK: CREDIT SUISSE AG, ZURICH 56 BENEFICIARY BANK SWIFT: CRES LU LL DLX 57 BENEFICIARY BANK : CREDIT SUISSE (LUXEMBOURG) S.A. 57 BENEFICIARY IBAN: LU73 078A OR BENEFICIARY ACCOUNT: BENEFICIARY ACCOUNT NAME: CREDIT SUISSE TA COLLECTION ACCOUNT 59 USD CORRESPONDENT BANK SWIFT: IRVT US 3N XXX 54 CORRESPONDENT BANK: BANK OF NEW YORK MELLON, NEW YORK 54 CORRESPONDENT BANK SWIFT: CRES CH ZZ 80A 56 CORRESPONDENT BANK: CREDIT SUISSE AG, ZURICH 56 BENEFICIARY BANK SWIFT: CRES LU LL DLX 57 BENEFICIARY BANK : CREDIT SUISSE (LUXEMBOURG) S.A. 57 BENEFICIARY IBAN: LU46 078A OR BENEFICIARY ACCOUNT : BENEFICIARY ACCOUNT NAME: CREDIT SUISSE TA COLLECTION ACCOUNT 59 GBP CORRESPONDENT BANK SWIFT: MIDL GB 22 XXX 54 OR CORR. BANK SORT CODE : CORRESPONDENT BANK: HSBC BANK PLC, LONDON 54 CORRESPONDENT BANK SWIFT: CRES CH ZZ 80A 56 CORRESPONDENT BANK: CREDIT SUISSE AG, ZURICH 56 BENEFICIARY BANK SWIFT: CRES LU LL DLX 57 BENEFICIARY BANK : CREDIT SUISSE (LUXEMBOURG) S.A. 57 BENEFICIARY IBAN: LU19 078A OR BENEFICIARY ACCOUNT : BENEFICIARY ACCOUNT NAME: CREDIT SUISSE TA COLLECTION ACCOUNT 59 CREDIT SUISSE FUND SERVICES (LUXEMBOURG) S.A. is acting as the Fund s Administrator only and is not providing investment services and/or performing investment activities to third parties in relation to the shares of the Subfund. 13

14 CHF CORRESPONDENT BANK SWIFT: CRES CH ZZ 80A 56 CORRESPONDENT BANK: CREDIT SUISSE AG, ZURICH 56 BENEFICIARY BANK SWIFT: CRES LU LL DLX 57 BENEFICIARY BANK : CREDIT SUISSE (LUXEMBOURG) S.A. 57 BENEFICIARY IBAN: LU10 078A OR BENEFICIARY ACCOUNT : BENEFICIARY ACCOUNT NAME: CREDIT SUISSE TA COLLECTION ACCOUNT 59 ALL CCY REFERENCE / REMITTANCE INFORMA- TION : ISIN CODE or FUND NAME ORDER NUMBER or ACCOUNT NUMBER X 70 X Amend accordingly in the payment details.. 14