INSTITUTIONAL INVESTOR APPLICATION FORM

Transcription

1 RENAISSANCE ASSET MANAGERS GLOBAL FUNDS Trade Register Number: B Principal & Registered Office European Bank & Business Centre, 6c Route de Trèves, L-2633 Senningerberg, Grand Duchy of Luxembourg INSTITUTIONAL INVESTOR APPLICATION FORM To be sent to: Transfer Agency, JP Morgan Bank Luxembourg S. A. European Bank & Business Centre, 6c Route de Trèves, L-2633 Senningerberg, Grand Duchy of Luxembourg Telephone : + (352) Fax: + (352) Please read and consider the relevant Prospectus before completing this Account Opening Form. Any capitalised term used but not otherwise defined herein has the meaning ascribed to it in the relevant Prospectus. Completed application forms should be received by the Administrator before CET on the relevant Dealing Day for each class of Shares for which application is made. Applications received after CET on the relevant Dealing Day will normally be issued at a Net Asset Value per Share as applicable to each class of Shares on the immediately following Dealing Day (incorporating any applicable initial charge). PLEASE COMPLETE USING BLOCK CAPITALS AND RETURN IN ORIGINAL TO THE TRANSFER AGENT 1 Account Registration Details For Institutional Investors only Company name / Name of registered holder Account Designation (if required please note designation may not exceed 18 characters) Registered Address (please note c/o or P/o address will not be accepted) Street City Post code Country Correspondence Address (if different from registered address) Street City Post code Country Telephone Number (inc international dialing code) Fax Number (inc international dialing code) Contact Name (including title, first name, surname) address We would like to settle via Euroclear or Clearstream Enter your Euroclear number or Clearstream number yes 2 Type of Investor (please tick one of the following boxes otherwise application shall not be processed by Transfer Agency) Financial Institution Listed Company Unlisted Company Pension Scheme Foundation/Charitable Institution Trust/Trustee Nominee Investment Fund Other (please specify) 1

2 3 Professional Adviser/Intermediary Details (Section to be completed if 3 rd party involved)) Professional Adviser s Details Name Professional Adviser s Stamp (mandatory) Agent Internal Id (if applicable) Contact Name (including title, first name, surname Address Regulated Number of Intermediary Name of Regulatory Body I/We hereby confirm that we have verified the identity of the investor(s), ultimate beneficiaries if investing on behalf of a third party and all other related parties, and related parties (e.g. power of attorney holder) by viewing original identification documents. Copies of these documents will be kept by us for a minimum of five years after the termination of the relationship. Certified true copies of said identification documents will be provided to the Company and/or the Administrator upon reasonable request. Telephone Number Fax Number Signature of Professional Adviser (mandatory) Dealing instructions from a Professional Adviser may be acted upon in the case where an original Power Of Attorney (POA) is in place. Please forward a duly signed original POA or discretionary agreement which evidences in writing that POA has been granted to the professional adviser. Please provide identification documents of POA holder(s) as per the Anti Money Laundering (AML) requirements outlined in section 8 of this document. We furthermore confirm that we will advise if our licence or registration is revoked or altered or if the circumstances relating to the introduced investor has changed and that we have not relied on another third party introduction. 4 Bank Account Details No additional bank account details are required in the case of settlement via Euroclear or Clearstream (see section 1 above) The bank account details below shall apply to all electronic wires to and from my/our account. (If additional details to be applied for any reason please attach an original instruction duly signed in wet ink. Please note moneys will only be accepted from and paid to, an account in the name of the shareholder. No third party payments will be processed.) Currency EUR USD GBP Name of Bank Address of Bank Swift/BIC (mandatory if IBAN used) Account Name (payments will only be made to the bank account of the registered shareholder) International Bank Account Number (IBAN) - (mandatory for EUR payments if within EU zone) Account Number Correspondent Bank (if applicable) Bank Name Swift/Sort Code Total subscription amount payable to be remitted indicating shareholder s name, account number and deal reference (if known) to the following bank details: 2

3 For USD subscriptions Pay to: JPMorgan Chase Bank, N.A. New York (CHASUS33) Under direct SWIFT advice to: JPMorgan Chase Bank, N.A., CHASGB2L For the account of: JPMorgan Chase Bank, N.A. (CHASGB2L), Account number For further credit to: Account name: RENAISSANCE ASSET MGF USD For Account number: For EUR subscriptions Pay to: JPMorgan Chase Bank N.A. London (CHASGB2L) For further credit to: Account name: RENAISSANCE ASSET MGF EUR Account number: IBAN: GB79CHAS IBAN: GB57CHAS For GBP subscriptions Pay to: JPMorgan Chase Bank N.A. London (CHASGB2L) For further credit to: Account name: RENAISSANCE ASSET MGFGBP Account number: IBAN: GB62CHAS Reporting Requirements If you wish to receive contract notes, statements and portfolio valuations on a regular basis at contact details indicated in section 1, please tick as appropriate. (Please note if left blank standard default will apply as monthly for statements/valuations). Method of communication Contract Notes Post Fax Statement & Valuations Post Fax Frequency (please make one selection only) Statements & Valuations Monthly Quarterly Semi-annually Annually Reporting Currency EUR USD GBP 6 Dividend Policy Please select one option (if no selection made or not in accordance with the relevant Prospectus, the default policy as outlined in the Prospectus will apply). Please see the relevant Prospectus for further details. Reinvest Cash *if no bank details reinvest option will apply

4 7 Investment Details IMPORTANT Please indicate Share Class & Currency you wish to invest in. If you do not give an instruction, your investment will be made by default into A shares, in US dollars. N.B. Class R Shares are only available for subscription with the prior agreement of the Global Distributor. FUND NAME SHARE CLASS Share class currency OR hedge ccy ISIN CODE NUMBER OF SHARES CURRENCY AMOUNT Renaissance Pan-African Fund ACCUMMULATING Renaissance Pan-African Fund DISTRIBUTING Renaissance Sub-Saharan Fund Renaissance Global Emerging Markets Yield Fund ACCUMMULATING Renaissance Global Emerging Markets Yield Fund DISTRIBUTING Renaissance Russian Equity Allocation Fund Renaissance Frontier Markets Fund TOTAL Payment should be made in the dealing currency of the relevant Share Class. However, a currency exchange service for subscriptions is provided by the Administrator on behalf of, and at the cost and risk of, the investor. Further information is available from the Administrator or any distributor on request. 8 Prevention of Money laundering AML documentation requiredᶧ In the case of a corporation or other legal entity, as a minimum: A certified true copy of the Certificate of Incorporation or recent extract of public company register and Articles of Association. A current and dated authorised signatory list on company letterhead. An original copy or a certified true copy signed on each page in wet ink. In the case of Power of Attorney (POA): Certified true copies* of identification documentation and an authorized signature list of the POA holder(s) must be received and validated by the Transfer Agency before POA becomes effective. *Certification may be performed by a public authority such as a governmental agency, notary, the police in country of residence or the embassy/consulate and the date of certification must be within the previous 12 months. ᶧThe documents represent the key documents. For a full list please contact the Administrator. The Company and the Administrator reserve the right to ask for additional identification documents depending on the nature of the legal entity and jurisdiction. If the applicant is investing on behalf of a third party, the third party has to be duly identified unless the applicant is a professional of the financial sector regulated in a country subject AML regulations equivalent to those in Luxembourg.

5 9 Declarations and Signature As a shareholder, I/we by signing hereunder expressly declare, acknowledge and confirm the following: Subscription orders will only be accepted if all supporting registration documentation have been received and validated by the Transfer Agency before the relevant cut-off time as detailed in the latest copy of the Prospectus. I/We have read a copy of the latest Prospectus and am/are fully aware of and understand the financial risk associated with a subscription to the relevant fund and I/we accept that any market fluctuations may lead to a loss of all or part of my/our investment. I/We have read a copy of the latest key investor information documents (KIID) I/We agree to transfer the correct subscription amount in the correct currency within the prescribed time limit to the correct bank account. I/We understand that in the case of late payment or non-payment of the correct subscription amount the subscription may be cancelled and the Company may take action, non-judicial or otherwise against me/us/our representative in order to recover any losses or costs incurred as a result of late or non-payment. I am/we are not a US Person (see the Prospectus for definition) and am/are not applying for shares on behalf of any US Person. I/we can purchase the shares without violating any applicable law to my/our investment in the shares. When making and signing an application as joint-holders, all registered holders must jointly authorize any dealing or other instructions in writing unless a separate signing authority has been completed and received by the Transfer Agency. In case of an incomplete application form, the Transfer Agent has the right to refuse to accept the application for subscription. It may also ask for additional proof of identification where deemed necessary e.g. Utility bill to prove address. Therefore, subscriptions will only be accepted by the Fund upon completion of identification requirements to the satisfaction of the Registrar and Transfer Agent. Data Protection The information contained in this document together with any information that is furnished in connection with your account (the "Information") shall be held on computer, processed by and disclosed between the Investment Manager, Management Company, Global Distributor, Administrator and Registrar and Transfer Agent (as defined in the Prospectus) or their affiliates or delegates (the "Recipients").. The Information will be held, processed and disclosed only for the purposes of carrying out the services of the Recipients (e.g. in the case of the Transfer Agent, opening accounts, maintaining the register of the fund, holding and servicing of fund assets, processing redemptions and subscriptions and creating and sending statements) statistical analysis, marketing and other related activities and also to comply with a recipient s legal/regulatory obligations and internal risk management/compliance procedures including without limitation legal obligations and procedures relating to company law, sanctions, anti terrorism and anti-money laundering legislation. The information may be used in connection with investments in other investment fund(s) managed or administered by the Recipients. The Information may be disclosed to other third parties engaged from time to time by a Recipient to facilitate the provision of services (including without limitation auditors and service providers who hold, store and process data, or provide client communication services or software and technology solutions) and/or to foreign or local courts, and authorities (including governmental or regulatory) to the extent required to comply with legal/regulatory obligations. If you do not consent to the disclosure and/or use of the Information by the Recipients or third parties with whom they have a business relationship for marketing purposes, please tick this box PLEASE NOTE THE ADMINISTRATOR WILL REJECT ANY APPLICATION WHERE THIS BOX IS TICKED. The Information shall not be held for longer than (i) necessary with regard to the purpose of the data processing, or (ii) required by law. I/We hereby consent to the holding, processing and disclosure of the Information to and between the Recipients and third parties set out above, for the purposes set out above, and accordingly waive the confidentiality protections under the Luxembourg financial sector law of 5 April 1993 (as amended) in this regard.. I further acknowledge that some of the Recipients, affiliates or third parties may be situated in countries outside of Luxembourg or the European Union and that those countries may not offer the same level of protection as Luxembourg data protection and professional secrecy laws. I/We acknowledge that I/we may request access to, rectification of or deletion of any of my/our Information provided to any of the parties above or stored by any of the Recipients in accordance with applicable data protection legislation. The Recipients shall take reasonable measures to ensure confidentiality of the Information transmitted within each of the Recipients entities concerned and shall inform any third parties who receive the Information to hold and process the Information only for the above permitted purposes. However, I/we acknowledge that due to the fact that the Information may be transferred electronically, stored and made available outside of Luxembourg and the EU, the same level of confidentiality and the same level of protection in relation to data protection and banking secrecy as currently in force in Luxembourg may not be guaranteed while the Information is kept abroad. Within RAM, shareholders information will be processed in the Channel Islands in compliance with the Data Protection (Bailiwick of Guernsey) Law 2001, as amended, and the Data Protection (Jersey) Law 2005, as amended. Both the Guernsey and Jersey jurisdictions have been assessed by the European Commission under Article 25 of Directive 95/46/EC as providing adequate protection for the processing of personal data transferred from the Community. The Company/ Administrator informs the subscriber or any third party authorised to act on his/her behalf that telephone conversations will be recorded. These recordings may be used as evidence in the event of a disagreement. The absence of recordings may not in any way be used against the Company/ Administrator. Fax & indemnity I/We confirm that the Company and the Administrator may receive and act upon my/our faxed instructions, which the Administrator believes has been given in good faith. I/We agree to hold the Administrator harmless and to indemnify the Administrator for any loss or damage, which the Administrator may suffer as a result of acting on such faxed instructions.

6 The Company or its Agents shall communicate to me/us at my/our own risk. I/we agree to accept communications conveyed by electronic means such as facsimile or and acknowledge that these are not secure forms of communication, which may accordingly give rise to higher risks of manipulation or attempted fraud, for which the Investment Manager of any of its delegates shall have no liability. I/We consent to details relating to my/our application and holdings being accessed by or disclosed to the Company/Investment Manager, and those [third parties to which it delegates marketing and investor servicing duties. Should you wish to send your instruction by original letter / form only then please tick as appropriate I/We confirm that the Company and the Administrator are NOT to act upon my/our faxed instructions. Beneficial owner declaration Please tick the following as appropriate: I am/we are investing on my/our own behalf and I am/ we are the ultimate economic beneficiary of the funds and any subsequent income invested. I am/we are investing on behalf of a third party who is the ultimate economic beneficiary of the funds and any subsequent income invested. If investing on behalf of a third party, the third party has to be fully identified unless the applicant is a professional of the financial sector regulated in a country subject AML regulations equivalent to those in Luxembourg. Please note if one of the boxes above is not ticked, your application will be rejected. Signature 1: Signature 2: Signature 3: Signature 4: Date: Place: