UBS Investment Funds Application Form Booklet. 12 October 2015

Transcription

1 UBS Investment Funds Application Form Booklet 12 October 2015

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3 1. Completing the Application Form The following information is a guide to assist you in completing the Application Form for your investment into the UBS investment funds listed in section 12 of the Application Form (each a Fund ). This section is applicable for direct investors only. Indirect investors should contact their IDPS operator for instructions on how to apply. Capitalised terms in this Application Form Booklet have the meanings given to them in the product disclosure statements for the Funds. To make your initial investment into the Funds Carefully read and consider the Product Disclosure Statement (PDS) of the Fund you are investing in Complete the Application Form in this Application Form Booklet Ensure your application is signed by all relevant signatories Attach the relevant original certified identification documents as outlined on page 5 of this Application Form Booklet Transfer your application monies by one of the following methods - $A Electronic Funds Transfer (EFT) or deposit to our bank account. Bank NAB, 500 Bourke St, Melbourne A/c Name NNL OCA-UBS Application A/c BSB No A/c No Note: Please include account name in the remittance advice. - A cheque made payable to NNL OCA - UBS Applications Account (your name) and crossed Not Negotiable. Please post this with your Application Form; or Post your application form, required certified identification documentation together with your cheque or Direct Debit Request (if applicable) to: Note: Please refer to back page for Direct Debit Request agreement form. National Australia Bank Limited Attn: Registry Services GPO Bo 4364 Melbourne VIC 3001 To ensure we can process your application quickly and efficiently please ensure your Application Form is completed in full. If your application is received before 3pm (Sydney time) on a business day, the application price will be based on the net value of the assets of the Fund when net calculated (usually at close of business that day). If received after this time, or on a non-business day, you will generally receive the unit price calculated at close of business the net business day. The minimum initial investment in the Fund is $20,000. Anti-Money Laundering (AML)/Counter Terrorism Financing (CTF) and legal requirements Australia s Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (the AML/CTF Act) requires us to collect identification information and documentation from prospective investors. Our Application Form captures personal information about investors to comply with the requirements of the AML/CTF Act. This includes details such as your occupation (for individuals) or business activity (for companies / other entities) as well as your source of funds. Under the AML/CTF Act we are prohibited from processing your application until we have received all the required information and identification documents. Please note, in some cases we may need to collect further information and/ or documentation from you in order to comply with our obligations under the AML/CTF Act. U.S. Foreign Account Ta Compliance Act (FATCA) The Fund is registered as a Reporting Australian Financial Institution under the intergovernmental agreement (IGA) entered into between the Australian and U.S. governments in relation to the U.S. Foreign Account Ta Compliance Act (FATCA) on 28 April As a Reporting Australian Financial Institution, we will conduct due diligence on prospective investors in the Fund and on eisting investors. Prospective investors (including eisting unit holders applying for additional units) will need to provide us with certain information and/or documentation when applying for units. We will report information in respect of certain investors and their investments in the Fund to the Australian Taation Office (ATO), who will share such information with the U.S. Internal Revenue Service. Please note, in some cases we may need to collect further information and/or documentation from you in order to comply with our obligations under the IGA. If you do not provide us with the required information or documentation upon request, we may not issue units to you. Alternatively, we may report information in respect of you and your investment in the Fund to the ATO. 1 This ecludes individual investors investing as sole traders who are required by AML/CTF law to provide their ABN. 1

4 Completing the Application Form (continued) Ta File Number (TFN) or Australian Business Number (ABN) Notification or Eemption (Section 9) Quotation of your TFN or ABN is not compulsory 1 and it is not an offence if you decide not to supply us with this information. However if you do not supply us with your TFN or ABN, ta will be deducted from your income distributions at the highest marginal rate plus Medicare Levy, and forwarded to the Australian Ta Office (ATO). The use and disclosure of TFN or ABN information is strictly regulated by ta laws and the Privacy Act 1988 (Cth). Whose TFN or ABN should be detailed in Section 9 of the Application Form? Investor type Individual Investor 1 Joint investors Company Trust or super fund Partnership Association or co-operative Whose ABN/TFN is used? Both investor 1 and investor 2 The company s The trust or super fund s The partnership s The association or co-operative s Please note, if you wish to claim an eemption from quoting your TFN or ABN you must indicate the reason for doing so in Section 9 of the Application Form or ta will be deducted from your income. Eemption reasons may include: Recipient of age, service, invalid, veteran, care, sole parent or special benefit pension - specify type Non-residency - please specify your country of residence Other - please specify Your adviser (Section 15) You may agree to pay your adviser an initial and/or ongoing advice fee. If you do agree to authorise the payment of an initial and/or ongoing advice fee to your adviser please complete section 15 of the Application Form with your adviser (Refer to Section 5 of the Additional Information Booklet for further details of advice fees.) Advice fees must be epressed as a percentage. Adviser remuneration is an epense borne by you, the investor. Your authorisation means that the initial advice fee is deducted from your initial application monies prior to investment, and any ongoing advice fees are covered by the redemption of units in the Fund. Section 15 of the Application Form indicates the maimum amount that we will pay to your adviser on your behalf. Appointment of an agent under a power of attorney (Section 16) If you wish to appoint an agent under a power of attorney, please have your attorney complete Section 16 of the Application Form and provide any identification document(s) required as outlined on page 5 of this Application Form Booklet. Please note: an investor agrees to the following terms and conditions when appointing an attorney: Your attorney must provide us with the original or a certified copy of a valid power of attorney document, signed by the investor, to evidence the authority to act on the investor s behalf. The document must be current and permit the attorney to transact on behalf of the investor. You acknowledge and agree that you will be bound by all acts of your attorney, including the making of additional investments on your behalf, redeeming all or part of your Fund investment, requesting the alteration of income distribution instructions, obtaining copies of information relating to your investment and changing your nominated bank account details. The eercise of any powers by a person reasonably believed by us to be your attorney or authorised to act on behalf of your attorney (in the case of an entity) will be treated as if you had personally eercised those powers. Your attorney does not have the power to appoint another attorney to act on your behalf. We reserve the right not to accept an instruction from your attorney. If you wish to cancel your appointment, you will provide us with an original signed instruction to that effect, together with evidence of revocation of the power of attorney. You indemnify us from and against all losses, liabilities, actions, proceedings, claims and demands arising from instructions we receive from your attorney, whether or not your attorney was acting as authorised by you. 2

5 Completing the Application Form (continued) Who should sign the Application Form? (Section 17) Applicant Individual Investor 1 Who should sign? Joint investors Both investor 1 and investor 2 Company Trust or super fund Partnership Association or co-operative Agent under power of attorney Two directors; OR One director and a secretary; OR Sole director (if applicable). Each individual acting as trustee; OR Company director acting as trustee (following the company requirements above) The partners Chairperson (president), secretary or treasurer; OR If the association is an unincorporated association, the member authorised to sign on behalf of the association as detailed in section 7. Individual acting as agent; OR Company acting as agent (following the company requirements above). What identification do I need to provide? New investors If you are a new investor, please refer to page 5 of this Application Form Booklet to check what certified identification documents you need to provide together with your Application Form. Eisting investors If you are an eisting investor in the Fund, applying under the same name and in the same capacity, and: we have previously collected the necessary identification information and documentation from you in accordance with the AML/CTF Act; or you acquired an investment by direct issue from UBS Global Asset Management (Australia) Ltd prior to 12 December 2007; you will not be required to provide identification documents for AML/CTF purposes. How to certify a document All identification documents must be certified copies we do not accept originals. Please note we cannot accept a faed, photocopied or scanned copy of the certified copy (i.e. only copies with the original penned signature of the certifier will be accepted). If you need to certify a document, take your original document and a photocopy to one of the acceptable certifiers below, and ask them to certify that the photocopy is true and correct copy of the original document. e.g. I, certify that this is a true and correct copy of the original document, or similar wording. Each certified copy must be legible and be signed and dated by an eligible certifier. The certifier must state which occupation or qualification makes them eligible. 3

6 Completing the Application Form (continued) Who can certify copies of your documents? Legal Police JP Post Office Accountant Teacher Financial services Professional Diplomatic service Parliament A legal practitioner enrolled on the roll of the Supreme Court of a State or Territory, or the High Court of Australia Judge of a court Magistrate Chief eecutive officer of a Commonwealth court Clerk of a court Bailiff Notary public Police officer Justice of the Peace Agent of the Australian Postal Corporation who is in charge of an office supplying postal services to the public Permanent employee of the Australian Postal Corporation with 2 or more years of continuous service who is employed in an office supplying postal services to the public Member of the Institute of Chartered Accountants in Australia, the Australian Society of Certified Practising Accountants, the National Institute of Accountants or the Association of Taation and Management Accountants Teacher employed on a full-time basis at a school or tertiary education institution An officer with, or authorised representative of, a holder of an Australian financial services licence, having 2 or more years of continuous service with one or more licensees. Bank / Credit Union/ Building Society officer with 2 or more continuous years of service Finance company officer with 2 or more years of continuous service A person who, under a law in force in a State or Territory, is currently licensed or registered to practise as a chiropractor, dentist, legal practitioner, medical practitioner, nurse, optometrist, pharmacist, physiotherapist, psychologist, veterinary surgeon An Australian Consular Officer An Australian Diplomatic Officer (within the meaning of the Consular Fees Act 1955) Member of: the Parliament of the Commonwealth; or the Parliament of a State; or a Territory legislature; or a local government authority of a State or Territory Contact us If you have any questions relating to your investment in the Funds, please call Client Services on (02) or freecall

7 Completing the Application Form (continued) Identification documentation Each individual investor will need to provide us with an original certified copy* of one primary document from Column 1 in the table below. If you are unable to do so, please provide original certified copies of a secondary document from each of columns 2 and 3 below. For joint investors, the necessary document(s) are required for each investor. Primary documents Secondary documents Column 1 Column 2 Column 3 Drivers licence Australian passport or foreign passport (must contain photograph & signature) State or Territory proof of age card containing photo Non-individual investor requirements Birth certificate issued by a State or Territory or foreign government Citizenship certificate issued by the Commonwealth or a foreign government Pension card issued by Centrelink entitling the card holder to benefits Non-individual investors must supply identification documents as shown below. A financial benefits notice issued by the Commonwealth, State or Territory (less than 12 months old) Australian Ta Office notice (less than 12 months old) Local government or utilities provider notice (less than 3 months old) Investor type Other Australian trust type or unregistered managed investment scheme as per section 5 Company or registered managed investment scheme, Australian regulated trust (including self managed super funds), and government super funds Partnership Association Co-operative Estate Proof of identity documents An original certified copy or etract of trust deed showing the full name of the trust, full name of the trustee and the signatures; OR A notice issued to the trust by the ATO within the last 12 months (eg notice of assessment); OR A letter from a qualified solicitor or accountant verifying the name of the trust; OR A PDS/Prospectus/Offering memorandum showing the full name of the trust; AND if the trust has individual trustee(s), provide the identification documents for individuals for ONE trustee. No certified identification documents are required. We may however, request information at a later time if necessary, to fulfil our AML/CTF obligations. AND provide the identification documents for individuals for ONE partner, detailed in section 7. An original certified copy or etract of the partnership agreement containing the full partnership name; OR An original certified copy of a certificate of registration of business name issued by a government or government agency in Australia; OR A certified copy or etract of minutes of a partnership meeting; AND provide the identification documents for individuals for ONE partner, detailed in section 7. An original certified copy or etract of the rules or constitution of the association, showing the unique identification number (if incorporated); OR If incorporated, information provided by ASIC or other entity responsible for incorporation, verifying the full name of the association and any identifying number issued; OR A certified copy or etract of minutes of meeting of the association; AND if unincorporated, provide the identification documents for individuals for ONE member, detailed in section 7. Information provided by the body responsible for the registration of the co-operative verifying the full name of the co-operative and any identifying number issued; OR An original certified copy or etract of the register maintained by the co-operative verifying the full name of the co-operative and any identifying number issued: OR A certified copy or etract of minutes of any meeting of the co-operative verifying the full name of the co-operative and any identifying number issued. An original certified copy of the grant of probate or letters of administration including the names of the administrators; OR An original certified copy of the death certificate; AND the identification documents of any power of attorney or authorised representative. *Refer to page 4 for a list of acceptable certifiers. 5

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10 Please complete and send to: National Australia Bank Limited Attn: Registry Services GPO Bo 4364 Melbourne VIC 3001 Fa: UBS Investment Funds Application Form UBS Global Asset Management (Australia) Ltd ABN AFS Licence No Client Services: Date Issued: 12 October 2015 UBS Global Asset Management (Australia) Ltd ABN AFS Licence No This Application Form is used to apply for units offered under the product disclosure statement of the Fund specified in Section 12 of this Application Form which provides important information about investing in the Fund. You should read the PDS before applying to invest in units of the Fund. Units in the Fund will only be issued on receipt of this completed Application Form and any identification documents required to be attached. If you have already provided identification documents to UBS, you do not need to re-supply them with this Application Form. Please refer to page 3 of this Application Form Booklet for further details. Please use a black or blue pen to complete this Application Form, print within the boes in CAPITAL letters and mark the appropriate boes with an X. Section 1 - Are you an eisting investor? No > Go to section 2 Yes > Is this investment to be in the same name and capacity? Have any of your details changed? No > Go to section 2 This page has ben left intentionally blank Yes > please provide your investor number No > Complete section 3 (only if you are an individual / joint investor / sole trader) and, for all investors, 9A and 11 onwards Yes > Go to section 2 Section 2 - Investor type Please select your investor type below and complete the relevant section(s). Individual/Joint investors/sole trader...complete section 3 and then 8 onwards Trust with individual trustees...complete section 4 and then 9 onwards Trust with a corporate trustee...complete sections 4 and 5 and then 8 onwards Global platform/master trust/wrap account provider...complete sections 4 and 5 and then 8 onwards Company...Complete section 5 and then 8 onwards Government body...complete section 6 and then 8 onwards Partnership...Complete section 7 and then 9 onwards Association...Complete section 7 and then 8 onwards Registered co-operative...complete section 7 and then 8 onwards i

11 Section 3 - Individual/Joint investor/sole trader details Investor 1 Investor 2 (Joint investors) Title Mr Mrs Miss Ms Other Title Mr Mrs Miss Ms Other Full given name(s) Full given name(s) Surname Surname Date of birth (dd/mm/yyyy) Date of birth (dd/mm/yyyy) / / Occupation / / Occupation Country of residence for ta purposes, if not Australia Country of residence for ta purposes, if not Australia Full business name (for sole traders only) Go to section 8 - Residential/Principal street address of investors Section 4 - Trust/Superannuation fund details Full name of trust/fund (e.g ABC Trustees Pty Ltd ATF ABC Super Fund) Full business name (if any) Country established, if not Australia Principal business/industry in which the entity operates Please select the type of trust by crossing one of the options below Managed investment scheme Registered (please provide ARSN if registered) ARSN OR Unregistered Australian regulated trust (e.g. self managed super fund) Government superannuation fund... Provide name of legislation establishing the fund Other Australian trust... Trust description eg family, charitable, estate ii

12 Section 4 - Trust/Superannuation fund details (continued) Beneficiary details to complete only if you selected Other Australian trust type Do the terms of the trust identify beneficiaries by reference to a membership of a class? Yes > please provide class details (eg family members of a named person) No > please provide the full names of each beneficiary below. If you cannot fit all beneficiaries in the space provided, please provide details on a separate page and attach it to your form. Beneficiary 1 Beneficiary 2 Beneficiary 3 Beneficiary 4 For trusts with a corporate trustee, please complete section 5 Company/Corporate trustee details. For trusts with individual trustees, please list all trustee(s) below, including name(s) and address(es). If you cannot fit all trustees in the space provided below, please provide details on a separate page and attach it to your form. Trustee 1 Trustee 2 Title Mr Mrs Miss Ms Other Title Mr Mrs Miss Ms Other Full given name(s) Full given name(s) Surname Surname Date of birth (dd/mm/yyyy) Date of birth (dd/mm/yyyy) / / / / Residential address (PO Bo not acceptable) Residential address (PO Bo not acceptable) Suburb Suburb State Postcode State Postcode Country Country iii

13 Section 5 - Company/Corporate trustee details Full name of company ACN/ARBN (ASIC registered) Foreign registration number (not Australian registered) Country established, if not Australia Principal business/industry in which the entity operates Is the company: Australian listed? A majority owned subsidiary of an Australian listed company? Regulated? If you crossed any of the boes above, please provide the name of the echange OR regulator and licence number Please select the type of company by crossing the relevant bo below: Public? Private/Proprietary If you selected Private/Proprietary (Australian or foreign), please complete the remainder of the section below. Please list the full names and addresses of the shareholders who own 25% or more of the company. Shareholder 1 Shareholder 2 Title Mr Mrs Miss Ms Other Title Mr Mrs Miss Ms Other Full given name(s) Full given name(s) Surname Surname Residential address (PO Bo not acceptable) Residential address (PO Bo not acceptable) Suburb Suburb State Postcode State Postcode Country Country iv

14 Section 5 - Company/Corporate trustee details (continued) Shareholder 3 Shareholder 4 Title Mr Mrs Miss Ms Other Title Mr Mrs Miss Ms Other Full given name(s) Full given name(s) Surname Surname Residential address (PO Bo not acceptable) Residential address (PO Bo not acceptable) Suburb Suburb State Postcode State Postcode Country Country Please list the directors full names. If you cannot fit all directors in the space provided below, please provide details on a separate page and attach it to your form or attach a copy of a current signatory list. Director 1 Director 2 Director 3 Director 4 Section 6 - Government body Name of Government body and establishing legislation (if applicable) Please select the type of government body by crossing one of the options below Commonwealth of Australia State or Territory Foreign Country v

15 Section 7 - Partnership/Association/Registered co-operative Full name of Partnership/Association/Registered co-operative Country established, if not Australia Business Activity of Partnership/Association/Registered co-operative Partnerships only: Full business name (if any) and, if regulated, the name and membership details of the professional association Incorporated associations/registered co-operatives: Unique identifying number issued and the government body responsible for the incorporation or registration Partnerships and unincorporated associations must complete the below details for ONE partner/member signing the form and supply identification documents for this person (refer to page 5 of this Application Form Booklet). Unregulated partnerships must provide the full name and residential address details for ALL partners. Please provide details on a separate page if necessary. Partner 1/Unincorporated association officer Full given name(s) Partner 2 Full given name(s) Surname Surname Title Title Date of birth (dd/mm/yyyy) / / Residential address (PO Bo not acceptable) Date of birth (dd/mm/yyyy) / / Residential address (PO Bo not acceptable) Suburb Suburb State Postcode State Postcode Country Country Associations and co-operatives must provide the full names of the officers below Name of chairperson/president Name of secretary Name of treasurer vi

16 Section 8 - Residential/Principal street address of investors Individual/joint investors must provide their residential address and sole traders, their principal business address (if different). Company, corporate trustee, co-operative, association or government body investors must provide their principal business address and registered office address (if different). Investor 1/Sole Trader/Company/Association/Co-operative/ Government body Residential/Principal business address (PO Bo not acceptable) Investor 2/Incorporated registered address (if applicable) Residential/Principal business address (PO Bo not acceptable) Suburb Suburb State Postcode State Postcode Country Country Section 9 - Ta File Number (TFN) and Australian Business Number (ABN) notification or eemption Please refer to page 2 of this Application Form Booklet for assistance in completing this section Investor 1 TFN Investor 2 TFN ABN Please note: Investors can only provide an ABN instead of a TFN where the investment is undertaken in the course of a business or trade. OR, if you wish to claim an eemption from quoting a TFN, please specify the reason for your eemption (if foreign resident for ta purposes, specify the country of residence): Section 9A - FATCA Status Capitalised terms used in this section have the meanings defined in the IGA. Please complete section 1 or 2 below, as appropriate. 1. Individuals/Joint investors/sole traders Are you a U.S. citizen or resident for FATCA purposes? No > Go to Section 10 Yes > Please provide the U.S. Tapayer Identification Number (TIN) for each investor who is a U.S. citizen or resident for FATCA purposes below: Investor 1 - Full name U.S. TIN Investor 2 (Joint investors) - Full name U.S. TIN vii

17 Section 9A - FATCA Status (continued) 2. Other types of investors (including trusts) A. FATCA Classification Please identify your classification for FATCA purposes from the following list. Please tick only one bo. Specified U.S. Person If you are a Specified U.S. Person, please provide your U.S. Tapayer Identification Number (TIN) Australian Financial Institution Partner Jurisdiction Financial Institution (a Financial Institution in another IGA jurisdiction) Participating Foreign Financial Institution (in a non-iga jurisdiction) Eempt beneficial owner... Deemed-compliant Foreign Financial Institution (other than an Australian Financial Institution or Partner Jurisdiction Financial Institution) Nonparticipating Financial Institution Active Non-Financial Foreign Entity (NFFE) Passive NFFE If you are a Passive NFFE and you have one or more Controlling Persons* who is a U.S. citizen or resident for FATCA purposes, please specify the name, address and U.S. Tapayer Identification Number (TIN) of each such U.S. Controlling Person in the table below: Full name of U.S. Controlling Person Full name of U.S. Controlling Person Residential address Residential address U.S. TIN U.S. TIN * A Controlling Person means any individual who ultimately beneficially owns 25% or more of an entity or controls the entity, including control through a chain of ownership or by means of control other than direct control. Other: Please specify B. Global Intermediary Identification Number (GIIN) If you have registered with the U.S. Internal Revenue Service and obtained a GIIN, please provide your GIIN Section 10 - Contact details This is the address to which we will send correspondence. The contact person must be one of the signatories on your account. Joint investors please include one set of contact details only. Contact name... Mailing address Suburb State. Postcode Fa No. Phone (Business/Home) Phone (Mobile) Please cross to indicate how you would like to receive information about your investment e.g. transaction statements Post You are entitled to elect to receive, free of charge, a copy of the annual financial report for each financial year. To request a copy please contact our Client Services team on (02) or The annual financial report is available online at management/financial-information by 30 September each year. viii

18 Section 11 - Source of investment funds (required under AML/CTF law) Please identify the source of your investable assets: Gainful employment Business activity Financial investments Inheritance/gift Superannuation savings Other - please specify Section 12 - Investment details Initial / Additional investment Minimum initial investment: $20,000. Minimum additional investment: $1,000 Amount $A APIR Code UBS Australian Bond Fund UBS Australian Share Fund UBS Australian Small Companies Fund UBS Australian Small Companies SIV Fund (Significant Investor Visa) UBS Balanced Investment Fund UBS Cash Fund UBS Cash-Plus Fund UBS Clarion Global Property Securities Fund UBS Defensive Investment Fund UBS Diversified Credit Fund UBS Diversified Fied Income Fund UBS Dynamic Alpha Strategy Fund A (AUD) UBS Global Credit Fund UBS Global Property Securities Fund UBS-HALO Australian Share Fund UBS International Bond Fund UBS International Share Fund UBS Microcap Fund UBS Property Securities Fund UBS Tactical Beta Fund - Balanced UBS Tactical Beta Fund - Conservative UBS Tactical Beta Fund - Growth SBC0813AU SBC0817AU UBS0004AU UBS0063AU SBC0815AU SBC0811AU SBC0812AU HML0016AU SBC0814AU UBS0003AU SBC0007AU UBS0054AU UBS0103AU UBS0008AU UBS0024AU SBC0819AU SBC0822AU UBS0057AU SBC0816AU UBS0041AU UBS0036AU UBS0037AU Please refer to page 1 of this Application Form Booklet for instructions on how to make your investment. i

19 Section 12 - Investment details (continued) Regular investment plan Minimum initial investment: $20,000. Minimum additional investment: $1,000 nitial Amount $A Regular Investment Plan Monthly amount $A Regular Investment Plan Start date UBS Australian Bond Fund 15 / / UBS Australian Share Fund 15 / / UBS Australian Small Companies Fund 15 / / UBS Australian Small Companies SIV Fund (Significant Investor Visa) 15 / / UBS Balanced Investment Fund 15 / / UBS Cash Fund 15 / / UBS Cash-Plus Fund 15 / / UBS Clarion Global Property Securities Fund 15 / / UBS Defensive Investment Fund 15 / / UBS Diversified Credit Fund 15 / / UBS Diversified Fied Income Fund 15 / / UBS Dynamic Alpha Strategy Fund A (AUD) 15 / / UBS Global Credit Fund 15 / / UBS Global Property Securities Fund 15 / / UBS-HALO Australian Share Fund 15 / / UBS International Bond Fund 15 / / UBS International Share Fund 15 / / UBS Microcap Fund 15 / / UBS Property Securities Fund 15 / / UBS Tactical Beta Fund - Balanced 15 / / UBS Tactical Beta Fund - Conservative 15 / / UBS Tactical Beta Fund - Growth 15 / / Please refer to page 1 of this Application Form Booklet for instructions on how to make your investment.

20 Section 12 - Investment details (continued) Regular withdrawal plan Minimum initial investment: $20,000. Minimum additional investment: $1,000 Regular Investment Plan Monthly amount $A Regular Investment Plan Start date UBS Australian Bond Fund 15 / / UBS Australian Share Fund 15 / / UBS Australian Small Companies Fund 15 / / UBS Australian Small Companies SIV Fund (Significant Investor Visa) 15 / / UBS Balanced Investment Fund 15 / / UBS Cash Fund 15 / / UBS Cash-Plus Fund 15 / / UBS Clarion Global Property Securities Fund 15 / / UBS Defensive Investment Fund 15 / / UBS Diversified Credit Fund 15 / / UBS Diversified Fied Income Fund 15 / / UBS Dynamic Alpha Strategy Fund A (AUD) 15 / / UBS Global Credit Fund 15 / / UBS Global Property Securities Fund 15 / / UBS-HALO Australian Share Fund 15 / / UBS International Bond Fund 15 / / UBS International Share Fund 15 / / UBS Microcap Fund 15 / / UBS Property Securities Fund 15 / / UBS Tactical Beta Fund - Balanced 15 / / UBS Tactical Beta Fund - Conservative 15 / / UBS Tactical Beta Fund - Growth 15 / / Please refer to page 1 of this Application Form Booklet for instructions on how to make your investment. i

21 Section 13 - Income distributions Please indicate how you wish to receive income distributions. Reinvest income as additional units Pay income directly to the Australian bank or financial institution account detailed in section 14 Note: If no selection is made, distributions will be reinvested. Section 14 - Bank account details All redemption payments (and distributions if elected in section 13) will be paid into the bank account nominated below. This account must be in your name(s). If you do not have an Australian bank account please contact us and we can arrange for a withdrawal payment cheque to be issued to you in Australian dollars. No third party payments are allowed. Name of Australian bank or financial institution Account name (must be in the name of an investor) Branch BSB Account number Section 15 - Your adviser (only complete if applying through a financial adviser) I/We agree that information relating to my/our investment be supplied to my/our adviser or certain third parties appointed by your adviser (see Section 8 - Privacy of the Additional Information Booklet). Cross here if you do not want your adviser (or their service provider) to receive information relating to your investment. Cross here if your adviser requires a copy of your statements via . Adviser name Licensee name AFS Licence number Dealer group Adviser s address Suburb State Postcode ABN Phone number Fa number ii

22 Section 15 - Your adviser (continued) Initial advice fee* I/We direct the Responsible Entity to pay the following fee out of my initial investment for the Fund to the adviser detailed above % 1.1% 2.2% 3.3% Other % (ma 3.3%) * This initial advice fee applies to this application only. If you make additional contributions, you will need to specify any advice fee you agree to pay your adviser in your instructions. Ongoing advice fee I/We direct the Responsible Entity to redeem a sufficient number of units at the end of each quarter to pay the following fee to the adviser above provided that the fund is liquid (as defined in the Corporations Act). Only the following options are permitted. Please note that each payment is considered a redemption and generally, capital gains ta calculations will be required. Please refer to the taation summary in the additional information booklet for further information on ta consequences % 0.275%pa 0.55%pa 0.825%pa 1.1%pa Other % (ma 1.1%) Section 16 - Appointment of an agent under a power of attorney (if applicable) Complete this section if you are completing and signing this Application Form as an agent (under a power of attorney), for a person who is the applicant. You must also complete the section(s) relevant to the applicant (i.e. the person on whose behalf you are acting as agent). Please enclose an original certified copy of the power of attorney with your form. Please select the type of agent below. Please note that the investor agrees to the terms and conditions on page 2 of this Application Form Booklet when appointing an attorney: Individual Complete the details below and ensure you attach identification documentation for this appointed individual as indicated on page 5 of this Application Form Booklet. Corporate Please photocopy section 5, complete the company details and attach it to this form Individual attorney Given name(s) Surname Date of birth (dd/mm/yyyy) / / Residential address Association with investor Suburb State Postcode Country of residence for ta purposes (if not Australia) iii

23 Section 17 Declaration and signature I/We have read the product disclosure statement relating to the Fund (including the Additional Information Booklet) and declare that I/we were physically in Australia at the time of making the application. I/We declare that all details in this Application Form are correct. I/We agree to be bound by the terms and conditions of the Fund s product disclosure statement and the relevant Constitution pursuant to which the relevant Fund was established as amended from time to time. I/We acknowledge that: I/we are 18 years of age or over This Application Form was included in, or accompanied by the Fund s product disclosure statement (including the Additional Information Booklet), which I/we have read None of UBS Global Asset Management (Australia) Ltd, any division of UBS AG, or National Australia Bank Limited guarantees the performance of the Fund or the return or payment of capital or income Investing in the Fund is subject to investment risk, including possible delays in repayment and loss of income and principal invested I/we agree to provide UBS Global Asset Management (Australia) Ltd with any information that may be required for the purposes of AML/CTF law I/we agree to provide UBS Global Asset Management (Australia) Ltd on request with any information and/or documentation requested for the purposes of its obligations under the intergovernmental agreement (IGA) entered into between the Australian and U.S. governments in relation to the U.S. Foreign Account Ta Compliance Act (FATCA) on 28 April I/we also agree to promptly notify UBS Global Asset Management (Australia) Ltd if a change in my/our circumstances means that any of the information or documentation provided is no longer correct Joint applicants or signatories who allow either investors or signatories to give instructions in relation to an investment in the Fund will bind other investors or signatories for all transactions in connection with the investment, including changes to account details If I/we move overseas and change our address to a non-australian address I/we will no longer be able to make additional investments, switch between funds or reinvest my/our dividend distributions My/our investment in the Fund does not represent deposits or other liabilities of UBS AG or other member company of the UBS AG group In the event of fraud taking place in respect of my/our units, I/we agree to release, discharge and indemnify UBS Global Asset Management (Australia) Ltd from and against all actions, proceedings, accounts, claims, costs, demands, charges and epenses, losses and liabilities (however they arise) to the etent permitted by law, suffered by me/us or suffered by or brought against me/us, in respect of any written instructions provided to UBS Global Asset Management (Australia) Ltd. If this application is signed under a power of attorney, I/We have read the terms and conditions applying to the appointment of an attorney on page 2 of this Application Form Booklet, and agree to those conditions on behalf of the investor If signed under power of attorney, the attorney verifies that he/she is authorised to sign this form and no notice of revocation of that power has been received and original certified copies of the power of attorney and identification documents (as stated on page 5 of this Application Form Booklet), are being provided with this Application Form. Please refer to page 2 of this Application Form Booklet to see who should sign below and cross the relevant boes below to indicate who is to sign transaction instructions and change of details requests. If you do not indicate a choice, UBS will assume any one signatory can sign. iv

24 Section 17 Declaration and signature (continued) Investor 1 Investor 2 Investor 3 Investor 4 Signature of investor 1 Signature of investor 2 Title (if applicable) e.g. Director/Company secretary/power of attorney Title (if applicable) e.g. Director/Company secretary/power of attorney Date (dd/mm/yyyy) / / Signature of investor 3 Date (dd/mm/yyyy) / / Signature of investor 4 Title (if applicable) e.g. Director/Company secretary Title (if applicable) e.g. Director/Company secretary Date (dd/mm/yyyy) / / Date (dd/mm/yyyy) / / Certified identification documents attached v

25 Direct Debit Request (DDR) Service Agreement The following is your Direct Debit Service Agreement with National Australia Bank Limited (NAB). This agreement is designed to eplain what your obligations are when undertaking a Direct Debit arrangement with us. It also details what our obligations are to you as your Direct Debit provider. We recommend you keep this agreement in a safe place for future reference. It forms part of the terms and conditions of your Direct Debit Request and should be read in conjunction with your DDR form. Definitions account means the account held at your financial institution from which we are authorised to arrange for funds to be debited. agreement means the Direct Debit request Service Agreement between you and us. banking day means a day other than a Saturday or Sunday or a public holiday listed throughout Australia. debit day means the day that payment by you to us is due. debit payment means a particular transaction where a debit is made. direct debit request means the Direct Debit Request between us and you. us or we means NAB (the Debit User) you have authorised by signing a direct debit request. you means the customer who signed the Direct Debit Request. your financial institution means the financial institution nominated by you on the DDR at which your account is maintained. Debiting your account By signing a Direct Debit Request, you have authorised us to arrange for funds to be debited from your account. You should refer to the Direct Debit Request and this agreement for the terms of the arrangement between us and you. We will only arrange for funds to be debited from your account as authorised in the Direct Debit Request. If the debit day falls on a day that is not a banking day, we may direct your financial institution to debit your account on the following banking day. If you are unsure about which day your account has or will be debited you should ask your financial institution. Amendments by us We may vary any details of this agreement or a Direct Debit Request at any time by giving you a least 14 days written notice. Amendments by you You may change, stop or defer a debit payment, or terminate this agreement by providing at least 14 days notification by writing to: National Australia Bank Limited Attn: Registry Services GPO Bo 4364 Melbourne VIC 3001 Fa: Your obligations It is your responsibility to ensure that there are sufficient cleared funds available in your account to allow a debit payment to be made in accordance with the Direct Debit Request. If there are insufficient cleared funds in your account to meet a debit payment -- you may be charged a fee and/or interest by your financial institution; -- you may also incur fees or charges imposed or incurred by us; and -- you must arrange for the debit payment to be made by another method or arrange for sufficient cleared funds to be in your account by an agreed time so that we can process the debit payment. You should check your account statement to verify that the amounts debited from your account are correct. If we are liable to pay goods and services ta ( GST ) on a supply made in connection with this agreement, then you agree to reimburse us. Dispute If you believe that there has been an error in debiting your account, you should notify us directly by faing us on and confirm that notice in writing with us as soon as possible so that we can resolve your query more quickly. Alternatively you can take it up with your financial institution directly. If we conclude as a result of our investigations that your account has been incorrectly debited we will respond to your query by arranging for your financial institution to adjust your account (including interest and charges) accordingly. We will also notify you in writing of the amount by which your account has been adjusted. If we conclude as a result of our investigations that your account has not been incorrectly debited, we will respond to your query by providing you with reasons and any evidence for this finding in writing. Accounts You should check: with your financial institution whether direct debiting is available from your account, as direct debiting is not available on all accounts offered by financial institutions; your account details which you have provided to us are correct by checking them against a recent account statement; and with your financial institution before completing the Direct Debit Request if you have any queries about how to complete the Direct Debit Request. Confidentiality We will keep any information (including your account details) in your Direct Debit Request confidential. We will make reasonable efforts to keep any such information that we have about you secure and to ensure that any of our employees or agents who have access to information about you do not make any unauthorised use, modification, reproduction or disclosure of that information. We will only disclose information that we have about you: -- to the etent specifically required by law; or -- for the purposes of this agreement (including disclosing information in connection with any query or claim). Notice If you wish to notify us in writing about anything relating to this agreement, you should write to All Star Funds, Registry Services, GPO Bo 1406, Melbourne VIC We will notify you by sending a notice in the ordinary post to the address you have given us in the Direct Debit Request. Any notice will be deemed to have been received on the third banking day after posting. vi

26 Direct Debit Request (DDR) Service Agreement Request and Authority to debit Surname or Company Name Given name(s) or ACN/ARBN Acknowledgement By signing and/or providing us with a valid instruction for your Direct Debit Request, you have understood and agreed to the terms and conditions governing the debit arrangements between you and NAB as set out in this Request and your Direct Debit Request Service Agreement. Signature requests and authorises NAB [Direct Debit ID ] to arrange, through its own financial institution, a debit to your nominated account any amount NAB, has deemed payable by you. The debit or charge will be made through the Bulk Electronic Clearing System (BECS) from your account held at the financial institution you have nominated below and will be subject to the terms and conditions of the Direct Debit Request Service Agreement. (If signing for a company, sign and print full name and capacity for signing eg. director) Address Details of Financial Institution at which Account is held Financial Institution Name Date (dd/mm/yyyy) / / Signature Address (If signing for a company, sign and print full name and capacity for signing eg. director) Details of Account to be Debited Address Name of Account BSB Number Account Number Date (dd/mm/yyyy) / / vii

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