RESCO Opportunity Fund

Transcription

1 Qualifying Investor Declaration & Subscription form RESCO Opportunity Fund being a sub-fund of RESCO Funds SICAV plc SUBSCRIPTION & MAILING INSTRUCTIONS This subscription form and enclosures should be completed by the investor or their agent and sent to the Administrator by fax or followed by the originals by mail: Correspondence Address: SGGG Fexserv Fund Services (Malta) Ltd Alpine House Naxxar Road San Gwann Malta Tel: Fax: info@sgggfexserv.com Applications to subscribe for Shares in the initial offer period must be received by the Administrator no later than 12:00 noon CET five (5) Business Days prior to the final day of the Initial Offer Period and thereafter no later than 12:00 noon CET one (1) Business Day prior to the relevant Subscription Day. Full and cleared subscription dues, including any applicable Subscription Fee, must be received in the Fund s Client bank account, indicated below, no later than 12:00 noon CET three (3) Business days prior to the final day of the Initial Offer Period and thereafter no later than 12:00 noon CET one (1) Business Day prior to the relevant Subscription Day. DETAILS OF INVESTOR AS APPEARING ON CONTRACT NOTE Name of Investor to appear on Contract te Phone/Fax/ Registration/Physical Address State, ZIP and Country (NOTE: Contract notes to be delivered to the address above, unless otherwise indicated)

2 QUALIFYING INVESTOR DECLARATION FORM The Investment is being made directly by the investor (not through a duly authorised agent) I hereby confirm that I am eligible to be treated as a Qualifying Investor, since I satisfy the definition thereof in light of the positive response(s) that I have given to the question (s) below. I certify that I have read and understood the Offering Document including the mandatory risk warnings. The Investment is not being made directly by the investor but through a duly authorised agent I hereby confirm that I have been properly appointed as a duly authorised agent of a prospective investor in the Scheme described above. I certify that my principal is eligible to be treated as a Qualifying Investor since my principal satisfies the definition thereof in light of the positive response(s) that I have given to the question(s) below in respect of my principal. I certify that my principal has read and understood the Offering Document/Marketing Document including the mandatory risk warnings. I qualify/my Principal qualifies (tick as applicable) as a qualifying Investor, as I am/he /she/it is:- A body corporate which has net assets in excess of Euro 750,000 (or equivalent) or which is a part of a group which has net assets in excess of Euro 750,000 (or equivalent) An unincorporated body of persons or association which has net assets in excess of Euro 750,000 (or equivalent) A trust where the net value of the trust s assets is in excess of Euro 750,000 (or equivalent) An individual, or in the case of a body corporate, the majority of its Board of Directors or in the case of a partnership its General Partner, who has reasonable experience in the acquisition and/or disposal of funds of a similar nature or risk profile, or property of the same kind as the property, or a substantial part of the property, to which the Scheme in question relates An individual whose net worth or joint net worth with that person s spouse exceeds Euro 750,000 (or equivalent) A senior employee or Director of service providers to the Scheme A relation or close friend of the promoters An entity with (or which are part of a group with ) Euro 3.75 million (or equivalent) or more under discretionary management investing on its own account A PIF promoted to Qualifying or Extraordinary Investors; or An entity (body corporate or partnership) wholly owned by persons or entities satisfying any of the criteria listed above which is used as an investment vehicle by such persons or entities

3 We/I further declare that our authorised agent/we/i will comply with the minimum investment requirements of EUR / USD 75,000 or foreign currency equivalent (the Minimum Investment ) and that our principal/we/i will maintain the Minimum Investment as far as they/we/i remain an investor. We/I further confirm that by completing this form we/i are/am accepting to comply with the due diligence documentation required as listed below prior to the investment in the fund being accepted. Name of investor/duly authorised agent Signature Title / Capacity in which signed Date

4 SUBSCRIPTION FORM As an Agent / a Direct Investor, we/i hereby confirm, that our principal/we/i wishes/wish to subscribe for the amount of: EUR / USD / CHF Please indicate amount in figures and currency (the Investment Amount ) In the following share class (please indicate which share class is being applied for): Class L n-voting Accumulation Shares denominated in EUR ISIN : MT Valor.: Class M n-voting Accumulation Shares denominated in USD ISIN : MT Valor.: Class N n-voting Accumulation Shares denominated in CHF ISIN : MT Valor.: of RESCO Opportunity Fund a sub-fund of RESCO Funds SICAV plc, and that our principal/we/i is/are/am the beneficial owner of the funds for this investment.

5 SUBSCRIPTION INSTRUCTIONS Subscription Funds Subscription funds are to be paid to the applicable bank account maintained by the Fund as follows: For the subscription of Class L EUR n-voting Accumulation Shares Account Ref.: RESCO Opportunity Fund Class L Bank: Valartis Bank (Liechtenstein) AG Account Number: IBAN: LI SWIFT Code: HYIBLI22 For the subscription of Class M USD n-voting Accumulation Shares Account Ref.: RESCO Opportunity Fund Class M Bank: Valartis Bank (Liechtenstein) AG Account Number: IBAN: LI SWIFT Code: HYIBLI22 For the subscription of Class N CHF n-voting Accumulation Shares Account Ref.: RESCO Opportunity Fund Class N Bank: Valartis Bank (Liechtenstein) AG Account Number: IBAN: LI SWIFT Code: HYIBLI22 Subscription Fee The Subscription fee to be applied to this subscription shall be % The Subscription fee shall be paid to the Fund: from the Investment Amount over and above the Investment Amount.* *Kindly note that if subscription fee is to be paid over and above the investment amount, subscription funds must be received gross (i.e. investment amount plus subscription fee). Transferring banks to be instructed accordingly.

6 DUE DILIGENCE DOCUMENTS In case of direct investment, please fill in Part A. In case of investment through an authorised agent, please fill in Part B. We/I attach/hold on fi le the following documents: PART A DIRECT INVESTMENT Direct Individual (natural persons) Investors from EEA States, Switzerland and countries who are not classed as high-risk and non-cooperative jurisdictions by the FATF - (hereinafter, Reputable Jurisdictions ) 1. Certified copy of a valid Passport/ID Card/Driving License 2. Original or certified copy of utility bill not more than 3 months old 3. Confirmation of source of funds (copy of swift transfer confirmation slip) 4. Original Bank reference or Professional Reference 5. Original Criminal Conduct Certificate Direct Corporate (e.g. companies, partnerships, etc.) Investors from Reputable Jurisdictions 1. Original or officially certified copy of signatory list or original of certified true copy of corporate resolution or equivalent permitting the corporate official to sign the subscription form 2. Officially certified copy of Memorandum and Articles of Association 3. Officially certified copy of Extract of Commercial Register 4. Certified true copies of valid Passport/ID Card/Driving License of official signing the subscription form on behalf of corporate investor Direct Institutional (banks, financial institutions, pension funds, etc) Investors from Reputable Jurisdictions 1. Original or certified true copy of signatory list 2. Certified true copy of Extract of Commercial Register 3. Certified true copy of Memorandum & Articles of Association Investors from n-reputable Jurisdictions Investors from non-reputable Jurisdictions must first seek clearance from the Fund s Money Laundering and Reporting Officer before investing into the Fund. Please contact the administrator (please see contact details above) for seeking such clearance. PART B INVESTMENT THROUGH AN AUTHORISED AGENT Anti-Money Laundering & Financing of Terrorism Representation The authorized agent will also be required to maintain the necessary due diligence documents on the underlying beneficiaries as listed above and shall represent and warrant to supply such information to the Fund, its auditor or the Malta Financial Services Authority within a reasonable time of being requested and in no case later than forty (48) hours from such request If Agent is a Natural Person 1. Certified true copy of valid Passport/ID Card/Driving License passport of authorized agent 2. Original or certified true copy of utility bill confirming residential address 3. Original or certified copy of documentary evidence that agent is authorised to act on behalf of principal (e.g. board resolution, certified copy of power of attorney or agency agreement, etc.) If Agent is a Company, Partnership or other Legal Entity 1. Extract from commercial register certified to be true copy of the original by the company secretary, a director or an officer occupying an equivalent position or by the Registrar of Companies 2. Memorandum & Articles of Association / Partnership Deed certified to be true copy of the original by the company secretary, a director or an officer occupying an equivalent position

7 or by the Registrar of Companies 3. Signatory List of Corporate Agent or other proof of authority to sign 4. Original or certified copy of documentary evidence that agent is authorised to act on behalf of principal (e.g. board resolution, certified copy of power of attorney or agency agreement, etc.) SOURCE OF FUNDS DECLARATION IMPORTANT NOTE: THIS SECTION DOES NOT NEED TO BE COMPLETED IF THE INVESTOR OR THE AGENT IS A BANK, PENSION OR INVESTMENT FUND, INVESTMENT OR FINANCIAL INSTITUTION OR INSURANCE FIRM, FUND MANAGEMENT COMPANY OR PARTNERSHIP THAT IS AUTHORISED AND REGULATED IN A REPUTABLE JURISDICTION (1) PRIVATE INVESTORS NOT FALLING WITHIN THE ABOVE CLASSIFICATION PLEASE FILL IN PART A (2) DULY AUTHORISED AGENT OF A PRIVATE INVESTOR(S) NOT FALLING WITHIN THE ABOVE CLASSIFICATION PLEASE FILL IN PART B PART A: FOR PRIVATE INVESTORS: I am the beneficial owner of the funds used for the subscription I / we hereby declare that I/we am/are not involved in any criminal activity or money laundering and the funds are not derived from illegal activities but are derived from: PLEASE COMPLETE THE FOLLOWING SECTION(S) AS MAY BE APPLICABLE PERSONAL FUNDS: Savings Earnings Other: Please specify: EMPLOYMENT INCOME: Salary / Wage: Bonus: Employers Name: Employers Address: BUSINESS ACTIVITY INCOME: Investments: Dividends: Remuneration: Other: Please specify: OTHER INCOME: Please specify: PART B: IF INVESTMENT IS BEING EFFECTED THROUGH A DULY AUTHORISED AGENT I/we have enquired as to the source of funds being invested and to the best of my/our knowledge and belief, the funds have not been derived from any illegal transaction by the person /company / partnership / entity on whose behalf I/we am/are acting but are derived from: SOURCE OF WEALTH DECLARATION IMPORTANT NOTE: THIS SECTION DOES NOT NEED TO BE COMPLETED IF THE INVESTOR OR THE AGENT IS A BANK, PENSION OR INVESTMENT FUND, INVESTMENT OR FINANCIAL INSTITUTION OR INSURANCE FIRM, FUND MANAGEMENT COMPANY OR PARTNERSHIP THAT IS AUTHORISED AND REGULATED IN A REPUTABLE JURISDICTION

8 Please specify your / your principal s source of wealth, i.e., the economic activity which generates your / your principal s net worth (e.g., family business, inheritance, sale of property (-ies), venture capital, etc.): POLITICALLY EXPOSED PERSON DECLARATION Please tick if you or your principal is a politically exposed person as defined in the Prevention of Money Laundering and Funding of Terrorism Regulations, I/we/my principal am/are/is a politically exposed person as defined hereunder. Politically exposed persons'' means natural persons who are or have been entrusted with prominent public functions (i.e., Heads of State, Heads of Government, Ministers, Parliamentary Secretaries, Members of Parliament, members of the 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, Audit Committees or of the boards of central banks, ambassadors, charges d affaires and other high ranking officers in the armed forces, members of the administrative, management or boards of State-owned corporations) and shall include their immediate family members (i.e., spouse or any partner, children and their spouses or partners and the parents) or persons known to be close associates of such persons, but shall not include middle ranking or more junior officials. Signature/stamp of Duly Authorised Agent / Investor Place and Date --END OF FORM --