Credo Capital plc Individual Clients of Financial Intermediaries Execution-Only

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1 Credo Capital plc Individual Clients of Financial Intermediaries Execution-Only

2 Credo Capital plc Individual Clients of Financial Intermediaries Execution-Only Thank you for choosing to invest with Credo. This application to open an account with Credo Capital plc ( us or Credo ) forms the agreement made between you ( you or Financial Intermediary ) and Credo. Where you have entered into a seperate overriding agreement with Credo, this Application Form shall form part of that agreement, along with any other associated documents. This Application Form and all the requisite documents referred to in it should be completed, signed and returned to us at the following address: Client Services Credo Capital plc 8 12 York Gate, 100 Marylebone Road London NW1 5DX United Kingdom Please note that incomplete information will unfortunately delay the opening of this account. As part of antimoney laundering regulatory requirements Credo may require further evidence of the Investor s identity before this Application Form can be processed (and thereafter). You hereby agree to hold Credo harmless and to indemnify Credo and keep Credo indemnified against any loss: arising as a result of Credo s failure to process this form if such information has been requested and has not been provided by you; and suffered by Credo as a result of any breach of any representation, warranty, covenant or confirmation by you in this Application Form or from your failure to disclose any relevant details or provide Credo with all information requested by it or on its behalf. In the case of delay or failure to provide satisfactory information, Credo may take such action (including declining to accept an application) as it deems fit. Should you require any assistance in completing this form please contact Client Services on +44 (0) or at clientservices@credogroup.com. We look forward to welcoming you as a valued client. 2

3 Please complete all sections, use block letters and tick the appropriate boxes. Where the space allocated for information is insufficient, please provide such information on a separate page and indicate the relevant section and subsection to which such information refers. Section I Investor Profile Personal Details of the Investor(s) Title (Mr/Mrs/Miss/Ms/Other - please specify) Surname First Name Middle Name(s) Marital Status Investor 1 Investor 2 Gender ( ) Male ( ) Female ( ) Male ( ) Female Date of Birth (day/month/year) Country of Birth Nationality (please include all) Country Passport Number Expiry Date Natural Person Identifier i Country Passport Number Expiry Date Natural Person Identifier i Is the Investor a US citizen? ( ) Yes ( ) No ( ) Yes ( ) No Does the Investor have a US green card? Does the Investor, or does any member of the Investor s immediate family or anyone the Investor is a close associate ii of, hold, or have they previously held,a position of high influence or authority in any government or government body? ( ) Yes ( ) No ( ) Yes ( ) No ( ) Yes ( ) No ( ) Yes ( ) No If Yes, when? If Yes, when? If Yes, where? If Yes, where? i. Refer to MiFID II: LEI and NPI Guide ii. The Investor is a close associate of someone where the Investor either: shares joint beneficial ownership of a legal entity or arrangement, or any other close business relationship with that other person; or has sole beneficial ownership of a legal entity or arrangement which has been set up for that other person. Contact Details of the Investor(s) Investor 1 Investor 2 Residential address Home telephone number (Including country and area code) Work telephone number (Including country and area code) Mobile number (Including country and area code) Fax number address Preferred contact method ( ) Home ( ) Work ( ) Mobile ( ) ( ) Home ( ) Work ( ) Mobile ( ) 3

4 Credo Capital plc Individual Clients of Financial Intermediaries Execution-Only Section II - Financial Profile Financial Information Please indicate the currency in which you would like the portfolio to be reported to you ( ) Sterling ( ) US Dollar ( ) Euro ( ) Other: What is the initial investment amount? Section III Investment Information Type of Mandate given to Credo ( ) Execution-Only Account Type Credo acts only on your instructions. Neither you nor the Investor expects to receive any advice or research from us General Investment Account ( ) Yes ISA ( ) Yes ( ) No SIPP / Onshore Bond / Offshore Bond (for static data purposes)* ( ) Yes ( ) No * If Yes, please list Product Provider(s) and Policy Number(s): Credo Managed Portolio Services Credo has full discretion to manage investments selected for the Credo Model Portfolios Do you wish to invest in a Credo Managed Portfolio Service? ( ) No ( ) Yes (Complete the below details) ( ) Equities ( ) Best Ideas Portfolio 200,000 ( ) Dividend Growth Portfolio 200,000 Minimum Investment Amount ( ) or % ( ) Fixed Income ( ) Income Plus Portfolio 200,000 ( ) MAP 20 / ,000 ( ) Multi Asset ( ) MAP 45 / ,000 ( ) MAP 60 / ,000 ( ) MAP 70 / ,000 Total (100%) Section IV Payment Instructions Note transfers from a Credo Account may ONLY be made to an account held in the SAME NAME as the name of the Investor(s) Bank Details Bank name Bank address Account name Account number Sort code Swift code/aba number 4

5 Dividends & Interest Note this section will not be applicable if you are investing in Credo Model Portfolios Please indicate whether you wish to receive income in: Where there is a scrip dividend option, do you always want to receive dividends in: ( ) Sterling ( ) Cash ( ) Securities ( ) Local currency (the currency in which the dividend and/or interest is paid) Please indicate whether any dividends and/or interest we receive should be: Please indicate whether you would like to setup a regular payment to your bank (note regular payments can only be made in GBP) ( ) Retained in the Investment Account ( ) Retained in a separate Income Account ( ) No ( ) Yes (Complete the below details) Amount ( ) Specified Amount ( ) Income Earned From Account ( ) GIA - Capital ( ) GIA - Income ( ) ISA Frequency ( ) Monthly ( ) Quarterly ( ) Annually Period ( ) Calendar Quarter End ( ) Day of month Section V Supplementary Information Details below relate to how you classify the Investor(s) Field Investment Manager i Relationship Manager ii Account Executive iii Introducer s Name Introducer s Revenue Share Arrangement Initial Fee Management Fee Brokerage / Commission Details ( ) Day and month of Dealing Type iv ( ) Discretionary ( ) Advisory Managed ( ) Advisory Dealing ( ) Execution-Only Classification ( ) Retail ( ) Professional ( ) Eligible Counterparty Risk Rating v Risk Capacity vi Investment Mandate vii Reporting: Group to another portfolio ( ) No ( ) Yes If Yes, provide portfolio number(s) i. The Investment Manager is the person who makes the investment decisions ii. The Relationship Manager is the person who has the relationship with your Investor iii. The Account Executive is the person who has day-to-day responsibility for the account iv. This relates to the relationship between you, the Financial Intermediary and the Investor v. The Investor s desired level of risk vi. The Investor s capacity for risk (this may be the same as their desired level of risk) vii. The Investment Product the Investor is to be invested in 5

6 Credo Capital plc Individual Clients of Financial Intermediaries Execution-Only Section VI Tax Information Tax Status Self-Certification Form - To be completed by ALL Investors (required) Investor 1 Investor 2 Tax Status: Jurisdiction TIN / National Insurance Number No TIN Jurisdiction TIN / National Insurance Number No TIN Jurisdiction: in which jurisdiction(s) are you resident for tax purposes? Tax residency usually means the jurisdiction(s) in which you have an obligation to pay taxes or file tax returns TIN (Tax Identification Number). Where a jurisdiction does not issue a TIN, complete an equivalent number, e.g. social security, national insurance, personal identification or a resident registration number No TIN. Please tick if you do not have a TIN or equivalent number for that jurisdiction, because the jurisdiction does not issue such numbers Form W-8BEN To be completed by ALL Investors (optional) A Form W-8BEN is attached and is to be completed, and signed by the Investor who are non-us persons. We are required to lodge this form with the IRS in case there is any dealing in US securities and/or US denominated securities. Refer to Guide to Form W-8BEN and / or the IRS website ( should you require assistance in completing the form. Section VII Reporting and Communication Online Access You confirm that each Investor consents to you receiving online login and password details as well as statements, COBs reports and similar administrative data on each Investor s behalf, and Credo will provide such information to you on the understanding that it shall subsequently be made available to each Investor (or such other third party as notified by the Investor to you) by you (the responsibility of which shall be yours and not Credo s). Credo has a regulatory obligation to provide clients with certain information and you confirm that each Investor consents to Credo delivering this to you, acting as agent, rather than to each Investor directly. Contract Notes Do you wish for each Investor to automatically receive a duplicate contract note by or via the Investors online access each time Credo trades on their behalf (provided we have an address for the Investor(s) on file). ( ) Yes ( ) No Statement Please indicate whether you require a UK CGT report ( ) Yes ( ) No 6

7 Section VIII Authorization and Consent Authority to Issue Instructions You confirm that each Investor: has granted authority to you to open this account on behalf of the Investor(s) and to give Credo trading instructions on this account, pursuant to a mandate between the Investor(s) and you under the terms of which you have been granted full authority to Credo in relation to the Investor s assets. The individuals who are listed on your Authorised Signatory List from time to time will be entitled to act on your behalf in relation to this account; has granted authority to you to give Credo instructions to make payments and transfer assets from this account to an account in the name of the Investor(s) and in the event that you instruct Credo to make a payment or to transfer assets from this account to a person or account that is not in the name of the Investor or to change any of the static data that we hold for the Investor(s), including contact details and bank account details, you confirm that you have: received a written instruction from the Investor(s) instructing you to do so; verified the request; and confirm that you hold all necessary documentation supporting the relevant instructions to Credo. You acknowledge that: Credo shall not be obliged to make any payments or transfers to a person or account that is not in the name of the Investor(s); and each Investor is aware that he / she retains responsibility for any instruction given by you to Credo. Section IX Declarations and Signatures You confirm that to the best of your knowledge the details provided in this Application Form are correct. You acknowledge that while certain Investor information in this Application Form may have been completed by the Investor(s) you have authority from them pursuant to your agreement with the Investor(s). Authorised Signatory, for and on behalf of Financial Intermediary Checklist Signature Date Document Checklist Once you have completed this Application Form, please use this checklist to ensure that you have enclosed all documentation required. ( ) Application Form duly completed, signed and dated ( ) Original W-8BEN Form (if applicable) ( ) Copy of ISA Application Form (if applicable) ( ) Original of ISA Transfer Form (if applicable) 7

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9 credogroup.com 9

Credo Capital plc Trust or Company Clients of Financial Intermediaries Execution-Only

Credo Capital plc Trust or Company Clients of Financial Intermediaries Execution-Only Credo Capital plc Trust or Company Clients of Financial Intermediaries Execution-Only Thank you for choosing to invest