F

F 0 2 2 0 1 4 0 2 2 8 105001

105001

105001 105001

105001

105001

105001

*FU7201707*. FORM U75 UNIT TRUST HOLDINGS RSP SWITCH FORM FA CODE: FA SIGNATURE: Client Particulars Main Applicant s Name: Joint Applicant s Name: NRIC/ Passport No: Account Number: NRIC/Passport No: Section A: New RSP Switch Switch Out Fund Name Switch In Fund Name Fund Source Gross Amount (SGD) Dividend (RE / WD) Sales Charge (%) Frequency (MTH/QTR) Section B: Update Existing RSP Switch (Gross Amount/Sales Charge/Frequency) Switch Out Fund Name Switch In Fund Name Fund Source Gross Amount (SGD) Sales Charge (%) 5 Frequency (MTH/QTR) Section C: Terminate Existing RSP Switch Switch Out Fund Name Switch In Fund Name Fund Source Frequency (MTH/QTR) IMPORTANT NOTES: (1) RSP Switch instruction received by the last business day of the month will be effected on the 7 th calendar day of the following month. (2) The number of units to switch out will be based on the latest available NAV, and the final switch out amount may differ from the gross amount indicated. (3) The switch-in order will be executed after Phillip Securities Pte Ltd ( PSPL ) receives the switch-out proceeds, or earlier, at its sole discretion (usually, around T+3). (4) The default dividend option will be RE (Reinvest) for new investments unless otherwise stated by the Fund Houses. For clients with existing holdings under the Switch In fund, existing dividend option applies. (5) Sales charge is applicable for non-wrap account and capped at 3% for CPFOA/SA investments. (6) Rounding discrepancies (if any) will be resolved at the sole discretion of PSPL. (7) RSP Switch plan will be auto terminated in the event that the plan fails to meet the minimum requirements (units/amount) of both the Switch Out and Switch In fund. Section D: Client Declaration I/We hereby instruct and authorize Phillip Securities Pte Ltd ( PSPL ) to carry out my/our instructions as indicated on this Form. By instructing PSPL to apply any investment(s) on my/our behalf, I/we am/are prepared to accept the risk of the investment(s) fluctuations. I/We hereby irrevocably indemnify PSPL from all losses, damages, costs and expenses whatsoever legal or otherwise, which I/we may sustain, suffer or incur as a result of the performance of any investment(s) and currency conversion connected with any transaction for the Account. I/We confirm that I/we have received, read, understood and agreed to be bound by this application form, relevant terms and conditions, fee schedule, fund prospectus, product highlight sheets, and the important notes. Main Applicant Signature / Date Joint Applicant Signature / Date For Official Use Only Received by: Processed by: Checked by: v20170725 Page 1 of 1

CUSTOMER KNOWLEDGE ASSESSMENT Client's Name NRIC/Passport No. Contact Details Email Address (H) (HP) (O) It is important to find out if you have knowledge or investment experience to understand the risks and features of unlisted "Specified Investment Products" (SIP) which include unit trusts or similar products. This assessment, known as Customer Knowledge Assessment, helps to assess your knowledge or investment experience before solution(s) may be offered to you. You understand that any inaccurate or incomplete information provided by you may affect the suitability of the recommendations made. You also acknowledge and agree that a copy of the form will be submitted to the relevant investment platform. By proceeding to provide these information, you have given consent to the collection, use and disclosure of these information. PART 1: KNOWLEDGE ACQUIRED Educational Qualifications 1. Do you have a diploma or higher qualification in any of the following fields? Yes No If yes, please indicate as applicable: Accountancy Actuarial Science Business / Business Admin Capital Markets Commerce Economics Finance Financial Engineering Financial Planning Computational Finance Insurance Please also specify the full name of the Education Institution(s) in which the above qualification(s) were obtained and any other relevant information: 2. Do you possess any other professional finance-related qualifications? Yes No (e.g., AFP/AWP/CFP, AFC/ChFC, ACCA, CLU, CFA/CAIA, CPA/CA, SISI, CFTe, FRM, CMFAS M6/M7/M8) If yes, please specify the full name of the qualification(s), Education Institution(s) in which the qualification(s) were obtained and any other relevant information: Investment Experience 3. Have you conducted at least 6 transactions in the following unlisted "Specified Investment Products" over the Yes No past 3 years? (Please tick the type of investment traded) Collective Investment Schemes (CIS) (E.g., Unit Trusts) Investment-Linked Policies If yes, please specify the full name of the Financial Institution(s) where the transactions were carried out and any other relevant information: Work Experience 4. Do you have a minimum of 3 continuous years of working experience* in the preceding 10 years involving the Yes No following fields? If Yes, please indicate as applicable: Development / Structuring / Management / Sale / Trading / Research / Analysis of Investment Products Provision of training on Investment Products Accountancy, Actuarial Science, Treasury, Financial Risk Management and Legal work in financial areas * Provision of general support functions in the above mentioned areas such as operations, HR, corporate services and IT will not be considered as relevant experience. Please also specify the full name of the business organisation(s) where the above work experience was obtained and any other relevant information: PART 2: OUTCOME OF CKA (from Part 1) Based on the guidelines prescribed by the Monetary Authority of Singapore (MAS), if any of the above responses is 'Yes', you are deemed to have the relevant investment knowledge and/or experience for the purposes of this assessment. You are assessed: TO HAVE acquired the relevant knowledge and/or experience to understand and purchase "Specified Investment Products". NOT TO HAVE acquired the relevant knowledge and/or experience to understand and purchase "Specified Investment Products". Customer Knowledge Assessment (Dec 2013) Page 1 of 2

PART 3: CLIENT ACKNOWLEDGEMENT ON CKA OUTCOME I acknowledge that I have been given a clear explanation of the objectives for the Customer Knowledge Assessment (CKA); I have answered all the relevant questions to the best of my knowledge; I understand and agree with the outcome of the Client Knowledge Assessment Please TICK and ACKNOWLEDGE as appropriate: PASS CKA I understand that I have PASSED the CKA assessment and I DO NOT WISH to receive any advice offered by my Adviser. I understand that by choosing not to receive any advice, I will not be able to rely on section 27 of the Financial Advisers Act (FAA) to file a civil claim in the event of a loss. I understand that I have PASSED the CKA assessment and WISH to receive advice offered to me by my Adviser. Based on the assessment of the suitability of the investment product, I have been advised that: The investment product/s that I intend to invest in is/are SUITABLE for me, and I would like to PROCEED with the investment. The investment product/s that I intend to invest in is/are NOT SUITABLE for me, but I choose to PROCEED with the investment. DID NOT PASS CKA I understand that I DID NOT PASS the CKA assessment and I WISH TO PROCEED with my investment. I understand that I will need to receive advice from my Adviser, who will assess and advise me on the suitability of the investment product for my investment. Based on the assessment of the suitability of the investment product, I have been advised that: The investment product/s that I intend to invest in is/are SUITABLE for me, and I would like to PROCEED with the investment. The investment product/s that I intend to invest in is/are NOT SUITABLE for me, but I choose to PROCEED with the investment*. *To be submitted together with the Senior Management's Approval Form. PART 4: SECTION 27, FINANCIAL ADVISERS ACT - EXTRACT Recommendations by licensed financial advisers 27. - (1) No licensed financial adviser shall make a recommendation with respect to any investment product to a person who may reasonably be expected to rely on the recommendation if the licensee does not have a reasonable basis for making the recommendation to the person. (2) For the purposes of subsection (1), a licensed financial adviser does not have a reasonable basis for making a recommendation to a person unless (a) he has, for the purposes of ascertaining that the recommendation is appropriate, having regard to the information possessed by him concerning the investment objectives, financial situation and particular needs of the person, given such consideration to, and conducted such investigation of, the subject-matter of the recommendation as is reasonable in all the circumstances; and (b) the recommendation is based on the consideration and investigation referred to in paragraph (a). (3) Where (a) a licensee, in making a recommendation to a person, contravenes subsection (1); (b) the person, in reliance on the recommendation, does a particular act, or refrains from doing a particular act; (c) it is reasonable, having regard to the recommendation and all other relevant circumstances, for the person to do that act, or to refrain from doing that act, as the case may be, in reliance on the recommendation; and (d) the person suffers loss or damage as a result of doing that act, or refraining from doing that act, as the case may be, then, without prejudice to any other remedy available to that person, the licensed financial adviser is liable to pay damages to that person in respect of that loss or damage. (4) In this section, a reference to the making of a recommendation is a reference to the making of a recommendation expressly or by implication. (5) This section shall not apply to any licensed financial adviser or class of licensed financial advisers in such circumstances or under such conditions as may be prescribed. [2/2005] [SF Bill, Clause 121] FAR Signature Client Signature FAR Name Client Name Date Customer Knowledge Assessment (Dec 2013) Page 2 of 2

*Phillip Account No.: *Please tick only ONE of the following: Share Builders Plan (SBP) Regular Savings Plan (UT RSP) APPLICATION FORM FOR INTERBANK GIRO (Please complete Part 1 of this form and return to Phillip Securities Pte. Ltd. Incomplete forms may not be processed) Date: PART 1: FOR APPLICANT S COMPLETION (fill in the spaces indicated with ) Name of Billing Organisation ( BO ): To: Name of Bank: Branch: PHILLIP SECURITIES PTE LTD Billing Organisation s Customer s Name: Billing Organisation s Customer s Reference Number: (a) I/We hereby instruct you to process the BO s instructions to debit my/our account. (b) You are entitled to reject the BO s debit instruction if my/our account does not have sufficient funds and charge me/us a fee for this. You may also at your discretion allow the debit even if this results in an overdraft on the account and impose charges accordingly. (c) This authorisation will remain in force until terminated by your written notice sent to my/our address last known to you or upon receipt of my/our written revocation through the BO. (d) It is the BO s responsibility to inform banks upon the expiry of this authorisation and to ensure no deductions are made thereafter. My/Our Name(s) as in Bank s record My/Our Contact (Tel/Fax) Number(s): My/Our Account Number: My/Our Company Stamp/Signature(s)/Thumbprint(s)*: (as in bank s records) PART 2: FOR BILLING ORGANISATION S COMPLETION Bank Branch Billing Organisation s Account Number Billing Organisation s Ref Number 7 1 7 1 0 2 2 0 2 2 0 0 7 2 4 4 7 Bank Branch Account Number To Be Debited PART 3: FOR BANK S COMPLETION To: Billing Organisation This Application is hereby REJECTED (please tick) for the following reason(s): Signature/Thumbprint # differs from Bank s records Wrong account number Signature/Thumbprint # incomplete/unclear # Amendments not countersigned by customer/bo Account operated by signature/thumbprint # Other reason(s): Name of Approving Officer Authorised Signature Date * For thumbprints, please go to the branch with your identification. # Please delete where inapplicable PSPL GIRO FORM V1 FEB 2014