Lazard Investment Funds (the Company )

Transcription

1 Lazard Investment Funds (the Company ) Application Form for Individuals (Direct No Adviser) KIID PLEASE COMPLETE THIS FORM CLEARLY USING CAPITAL LETTERS IT IS IMPORTANT THAT YOU READ THE DECLARATIONS BEFORE SIGNING PLEASE ALSO READ THE KEY INVESTOR INFORMATION DOCUMENT BEFORE INVESTING Please complete, sign and return with your cheque to: Lazard Fund Managers Limited, c/o the Administrator/ Registrar Bank of New York Mellon (International) Limited, BNY Mellon House, Ingrave Road, Brentwood, Essex CM15 8TG, Tel , Fax Please make cheques payable to: Lazard Fund Managers Limited. Investors must ensure that any building society cheque or bankers draft used to subscribe includes details of the account name and number upon which it is drawn. Any building society cheque or bankers draft received without such details completed by the issuing entity will be returned to the investor. 1. Investor Details (If there are more than two holders please use a separate sheet at the back of this form giving the information in this Section 1 with this application form. There can be up to a maximum of four applicants.) First Applicant of birth Second Applicant of birth MF /15

2 2. Investment Details Please complete the ISIN number referred to in the Key Investor Information Document. Sub-Fund ISIN Number Investment Amount UK Omega Fund Multi-Cap UK Income Fund UK Smaller Companies Fund European Alpha Fund European Smaller Companies Fund Global Equity Income Fund Emerging Markets Fund Developing Markets Fund Managed Balanced Fund Please refer to Prospectus for minimum investment per sub-fund. Note: If you are investing on a monthly basis, in order to comply with Anti-Money Laundering regulations, please make your first payment by cheque, and subsequent payments by completing the Direct Debit form below. 3. Income and Redemption Payments Income reinvested Income paid (if neither box is ticked income will be automatically reinvested) If you would like income paid out please complete the details below. Income and redemption payments will be paid directly into this account. Name of Bank/Building Society Branch address Account name Sort code Account number 4. Declarations 1. I am/we are 18 years of age or over. 2. I/We declare that the information I/we have given in this application form is correct to the best of my/our knowledge and belief and I/we will promptly notify Lazard Fund Managers Limited of any changes and as defined in the Foreign Account Tax Compliance Act ( FATCA ). Key Investor Information Document ( KIID ) 3. I/We acknowledge that it is a pre-condition to acceptance of this application that I/we have received the latest avail able KIID in respect of the Share Class/Sub-Fund in which I/we are investing in. 4. Prior to making this application I/we have received free of charge and read the latest available KIID in respect of the relevant Share Class and Sub-Fund. 5. I/We understand that this application is made on the basis of and is subject to the Prospectus, Articles of Association, the relevant KIID and the latest annual or semi-annual report and accounts and that I/we are aware of the risks associated with investing in the Sub-Fund.

3 6. Applicable to UK retail investors only: I/we have read the Company s Supplementary Information Document. 7. By subscribing for shares in Lazard Investment Funds, I/We will not be in breach of any laws or regulations of any competent jurisdiction and I/we hereby indemnify the Company, the Lazard Fund Managers Limited, the Depositary, the Administrator and other Shareholders for any loss suffered by them as a result of these warranties/representations not being true in every respect. 8. To comply with Anti-Money Laundering regulations, I/we acknowledge that you will need to request additional evidence of identify from me/us. I/we agree that you may use a credit reference agency for this purpose who will record that an inquiry has been made. 9. I/We declare that, I am/we are not a US person and are not purchasing shares for the account or benefit of a US person as defined in Regulation S under the 1933 Act (see Definition of US person in the Prospectus) and as defined in The Foreign Account Tax Compliance Act ( FATCA ). I/We will not knowingly sell or transfer any Shares for which I/we may subscribe for to any person who is a US person as defined in Regulation S under the 1933 Act and FATCA. I/We declare that I/we have completed the self-certification form to the best of my/our knowledge and belief and I/we will promptly notify Lazard Fund Managers Limited of any and all changes to the details of this subscription. 10. I/We declare that, I am/we are not an employee benefit plan subject to Title 1 of the Employee Retirement Income Security Act of 1974, as amended ( ERISA ), or a retirement plan covering only self-employed individuals and individual retirement accounts or otherwise defined as a plan in section 4975(e) of the Code, or any other employee benefit plan as defined in section 3(3) of ERISA even if not subject to Title 1 of ERISA (such as non-us benefit plans, governmental plans and church plans) and any entity the assets of which are plan Assets. 11. I/We acknowledge that Lazard Fund Managers Limited is a data controller within the meaning of the Data Protection Act Lazard and its Associates (as defined in Section 256 of the Companies Act 2006) and Administrator/Registrar of the Fund may use the personal information supplied to provide the service applied for, confirm/update customer records, market other products and to establish my/our identity. Lazard and the Administrator/Registrar may be required to pass on personal information in order to comply with its legal and regulatory responsibilities. Lazard and the Administrator/ Registrar may pass information to other companies outside the EEA, and may pass information to my/our appointed financial adviser. 12. I/We agree that you may report to the Her Majesty s Revenue and Customs to comply with the current EU savings directive. 13. Applicable to joint shareholdings only: we direct that on the death of one of us the Shares for which we hereby apply will be held in the name of and to the order of the survivor(s) of us or the executors and administrators of such survivor.

4 INSTRUCTIONS TO YOUR BANK OR BUILDING SOCIETY TO PAY DIRECT DEBITS Please complete the whole form and send it to: Lazard Fund Managers Limited c/o the Administrator/Registrar Bank of New York Mellon (International) Limited, BNY Mellon House, Ingrave Road, Brentwood, Essex CM15 8TG. Originators Identification No Name and full postal address of your Bank or Building Society branch Bank/Building Society Address 2. Name(s) of Account Holders 3. Branch Sort Code 4. Bank or Building Society Account Number Banks and Building Societies may not accept direct debit instructions from some types of account. 5. Instructions to your Bank or Building Society Please pay Lazard Fund Managers Limited direct debits from the account detailed in this instruction subject to the safeguards assured by the Direct Debit Guarantee. I/we understand that this instruction may remain with Lazard Fund Managers Limited and, if so, details will be passed electronically to my/our Bank/Building Society. For official use only: Reference No. The Direct Debit Guarantee The guarantee is offered by all banks and building societies that take part in the Direct Debit Scheme. The efficiency and security of the Direct Debit Scheme is monitored and protected by your own bank or building society. The amounts to be paid are variable but can only be changed after receiving prior notice from you. The payment dates are variable but can only be changed after giving you prior notice. If an error is made by us or your Bank/Building Society, you are guaranteed a full and immediate refund of the amount paid. You can cancel a Direct Debit at any time by writing to your Bank/Building Society. Please also send a copy of your letter to us at the address at the top of this form.

5 5. Additional Applicants Third Applicant of birth Fourth Applicant of birth

6 Lazard Investment Funds (the Company ) FATCA Individual Self Certification Instructions for completion Tax Regulations 1 require us to collect information about each investor s tax residency. In certain circumstances (including if we do not receive a valid self-certification from you) we may be obliged to share information on your account with HMRC. If you have any questions about your tax residency, please contact your tax advisor. Should any information provided change in the future, please ensure you advise us of the changes promptly. Section 1: Investor Identification (Optional Section only required if using the Self-Certification as a standalone document and not part of the application form) Investor Name: Registered Address: Number: Street: City, Town, State, Province or County: Postal Code: Country: Mailing Address (if different from above) Number: Street: City, Town, State, Province or County: Postal Code: Country: Country of Incorporation: Country of Birth: of Birth: Section 2: Tax residency Please indicate all countries in which you are resident for tax purposes and the associated Tax Reference Numbers in the table below. If you are a US citizen or resident, please include United States in this table along with your US Tax Identification Number. Country/Countries of Tax Residency Tax Reference Number MF24093

7 Lazard Investment Funds FATCA Individual Self Certification Section 3: Declaration I declare that the information provided on this form is to the best of my knowledge and belief, accurate and complete. I agree to notify Lazard Fund Managers Limited immediately in the event the information in the self-certification changes. Signed by (please print name): : Notes: 1 The term tax regulations refers to regulations created to enable automatic exchange of information and include FATCA 2, various Agreements to Improve International Tax Compliance entered into between the UK and its Crown Dependencies and its Overseas Territories and the OECD Common Reporting Standard for Automatic Exchange of Financial Account Information 2 The term FATCA refers to The Foreign Account Tax Compliance provisions contained in the US Hire Act 2010