Australian Equities Fund (AEF) APPLICATION FORM

Transcription

1 Hunter Hall Investment Management Limited ABN AFSL Quality Value ESG Australian Equities Fund (AEF) APPLICATION FORM Introduction and Guide This Application Form accompanies the Product Disclosure Statements for the following Hunter Hall Funds: Fund: ARSN Code: APIR Code: PDS Date: Hunter Hall Australian Equities Fund HHA00117AU 19 November 2015 Identification documentation Australia s Anti Money Laundering and Counter-Terrorism Financing ( AML/CTF ) legislation obliges Hunter Hall to collect Identification Information and Documentation from prospective investors for direct investments into the Funds. The minimum requirements prescribed by AUSTRAC are different depending on the type of investor. Details of the documents can be found in Part A of the relevant investor type section. Further AML/CTF information can be found in section 10. Hunter Hall may be unable to process your Application if you do not provide the required information and documents. In some cases we may request additional identification and/or documentation to fulfil AML/CTF obligations. What is a Wholesale Investor? You may only invest in the Hunter Hall Australian Equities Fund (Fund) if you are a wholesale client in accordance with Chapter 7 of the Corporations Act 2001(Cth) (Corporations Act) including where you satisfy any one of the following wholesale client tests: Your initial investment is equal to or exceeds $500,000. Your investment is not for use in connection with a business and a qualified accountant certifies that; o You have net assets of at least $2.5 million; or, o Your annual gross income for each of the last two financial years is equal to or exceeds $250,000 per annum (gross). Your investment is for use in connection with a business that is not a small business (as defined in the Corporations Act). You are considered to be a professional investor or sophisticated investor (each term as defined in the Corporations Act). How do I become a Wholesale Investor? This depends on which category you fall into. You simply need to qualify and complete Option A, Option B or Option C. Option B requires additional information from a qualified accountant. If you have a current certificate (i.e. not more than 2 years old), you will need to send a copy with your Application Form. If not, your accountant will need to complete the certificate stating that you have income of at least $250,000 pa over the previous two years or have net assets of at least $2.5 million. Your certificate must be held in the same name as your investment. Please complete, sign and date this form to enable us to ascertain whether you are eligible to be treated as a Wholesale Investor. If you select Option B over the page and do not have a current certificate, your accountant will also be required to complete the form. Note: this application must be completed for each applicant who wishes to be treated as a Wholesale Investor. Return completed form by post to: FundBPO - Reply Paid 4968, Sydney NSW 2001 Australia Telephone: International callers: Facsimile: registry@fundbpo.com Website: Hunter Hall Contact Details: Hunter Hall - Reply Paid 3955 Sydney NSW 2001 Australia Telephone: New Zealand callers: International callers: Facsimile: invest@hunterhall.com.au Website:

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3 Hunter Hall Australian Equities Fund Application Form Page 3 1 Wholesale Investor Certification 1.1 Investor Details Title Given Name(s) Address Suburb State Post Code Country address Telephone (during business hours) Telephone (mobile) (Companies only) Names/Account Details of Related Bodies Corporate Yes, I am an existing Hunter Hall investor. The Investor Code or Unitholder Code is I wish to be treated as a Wholesale Investor on the following basis (please select from Option A, B or C) Option A Professional Investor (1) Please tick one of the following two boxes: I have or control gross assets of at least $10 million including cash and any other assets and including any amount held by an associate or under a trust that I manage Provide details I hold an Australian Financial Services Licence. Provide details including the AFSL No: 1) Complete Option C in respect of other categories of Professional Investors. OR Option B Wealth Test The investment is not for use in connection with a business I attach a Certificate by a qualified accountant (where you do not already have a current Certificate, please complete the Certificate by a qualified accountant below; and I acknowledge that the certificate will only be valid for a period of 24 months from its date and I authorise Hunter Hall to contact the accountant names in the certificate to renew the certificate when required. My accountant s fees for providing or renewing this certificate shall be payable by me.

4 Hunter Hall Australian Equities Fund Application Form Page 4 Certificate by a qualified accountant (Section 761G(7) of the Corporations Act) Must be completed if Option B is selected & to be completed by a qualified accountant: 1 Name of person or entity (the investor) 2 Address of person or entity 3 I certify that the person or entity whose details are set out above: Has (or is controlled by a person who has) (3) net assets of at least $2.5 million (1) ; OR Has (or is controlled by a person who has) (3) a gross income for each of the last two financial years of at least $250,000 (2) 4 I belong to (name of professional body) 5 My membership designation from this professional body is 6 I comply with this body s continuing professional education requirements Name of accountant Signature of Accountant Date certificate issued (dd/mm/yyyy) / / Telephone number of accountant Address of accountant Suburb State Post Code Country 1) In determining the net assets of a person, the net assets of a company or trust controlled by the person (as defined in Section 50AA of the Corporations Act) may be included. 2) In determining the gross income of a person, the gross income of a company or trust controlled by the person (as defined in Section 50AA of the Corporations Act) may be included. 3) Controlled is defined in Section 50AA of the Corporations Act.. OR Option C Other Other categories of investor may qualify for treatment as a wholesale investor including where: your initial investment is equal to or exceeds $500,000; your investment is for use in connection with a business and that business is not a small business ; you are a sophisticated investor (we will require a copy of the written statement provided by an Australian financial services licensee and your written acknowledgement as required under section 761GA of the Corporations Act); or you qualify under another category of professional investor not listed in Option A (for a full list of eligible categories see the following section What is a Professional Investor? below). If you think you qualify as a wholesale investor under one of the above tests or otherwise under the Corporations Act please provide details below. Signatures: Signature of Applicant 1 Signature of Applicant 2 (if a joint account) Date (dd/mm/yyyy) Date (dd/mm/yyyy)

5 Hunter Hall Australian Equities Fund Application Form Page 5 2 Application Form Type of Investor Complete section(s) Individual(s) 2 & 8 Trust/ Superannuation Fund with Individual Trustee(s) 2, 3 & 8 Trust/ Superannuation Fund with Corporate Trustee 3, 4 & 8 Company 4 & 8 Partnership 5 & 8 Association/ Co-operative 6 & 8 Agents Complete section(s) Agents 7 & In what capacity is the investment being made? 2.3 Sole Trader (if applicable) Business name Tick one box and complete the specified sections of section 2. In my name only section 2.2 In my name as a sole trader - sections 2.2 & 2.3 Jointly with other individual(s) sections 2.2, 2.4 & 2.5 As individual trustee(s) for an individual(s) sections 2.2, 2.4 (if second individual trustee) & 2.5 As individual trustee (s) for a trust sections 2.2 & 2.3 and section 3 ABN (if applicable) Principal place of business Same as above Other please provide address Principal place of business 2.2 Individual 1 Title Given name(s) Date of birth (dd/mm/yyyy) Country of birth TFN or exemption (Australian residents) Country of residence for tax purposes (if not Australia) Residential address 2.4 Individual 2 Title Given name(s) Date of birth (dd/mm/yyyy) Country of birth TFN or exemption (Australian residents) Country of residence for tax purposes (if not Australia) Tick if a Politically-Exposed Person (refer to section 10 for more information) Same as Individual 1 Other please provide address

6 Hunter Hall Australian Equities Fund Application Form Page 6 Residential address Please indicate signing requirements for transactions requests or change of account details Any one investor to sign Both investors to sign Tick if a Politically-Exposed Person (refer to section 10 for more information) 2.5 Joint investors only 2.A Identification Documentation All Investors Under the Anti Money Laundering (AML) and Counter-Terrorism Financing (CTF) Act 2006 Hunter Hall has an obligation to meet customer identification and verification requirements prior to issuing units to an investor. Each individual investor must provide certified copies (see section 10 for requirements) of either one primary document; or two secondary documents (with one document from each of Columns A and B below) for the purposes of client identification Documents written in a language other than English require a translation (see section 10 for requirements). Primary document Driver s licence Australian passport (a passport that has expired within the proceeding 2 years is acceptable) State or Territory proof of age card Foreign passport or travel documents (containing a passport) OR Secondary Documents one document only from each of columns A and B Column A Birth certificate Australian citizen card Pension card issued by Centrelink Column B Commonwealth, State or Territory financial benefits notice (less than 12 months old) Tax notice (less than 12 months old) Local utilities provider notice (less than 3 months old) Health card issued by Centrelink

7 Hunter Hall Australian Equities Fund Application Form Page 7 3 Trust. Superannuation Fund 3.1 Trust or Superannuation Fund details Trust/ Fund name Business name (if applicable) ABN (if applicable) Country in which the Trust was established TFN or exemption (Australian residents) Please provide beneficiary details in section 3.3 Other non-australian trust Description Please provide beneficiary details in section Beneficiary details Complete section 3.3 only if Australian unregulated trust, non-australian pension fund, or other non-australian trust is selected in section 3.2. Please provide the full name of each beneficiary: Beneficiary 1 Tax residence (non-australian residents) Beneficiary Type of Trust Please tick one box to indicate the type of Trust and provide the information specified: Self-managed superannuation fund ABN Beneficiary 3 Beneficiary 4 Beneficiary 5 Registered managed investment scheme Beneficiary 6 ASRN Other Australian regulated trust Name of regulator (e.g. ASIC, APRA, ATO) If more than 6 beneficiaries, please provide details as an attachment. Describe the class of beneficiary: (e.g. unit holders, family members of named person, charitable purpose) Registration / licence details 3.4 Trustee details - individuals Government superannuation fund (Australian or foreign) Name of legislation establishing the fund Australian unregulated trust Description (e.g. family, private protection, charitable, trading) Please provide beneficiary details in section 3.3 Non-Australian pension fund Name of regulator Registration/licence details If: Self-managed superannuation fund Registered managed investment scheme Other Australian regulated trust Government superannuation fund Please provide the details for at least one individual appointed as Trustee of the Trust/ Fund by completing section 2. If: Australian unregulated trust non-australian pension fund other non-australian trust Please provide details for ALL individuals appointed as Trustee of the Trust/Fund by completing section Trustee details - company Please complete section 4.

8 Hunter Hall Australian Equities Fund Application Form Page 8 3.A Identification Documentation Trust Superannuation Fund AML/CTF legislation obliges us to collect identification documents and other supporting material from our investors. Such documents must be provided in a Certified Copy format (refer to section 10 for details). Non-English written identification documents require a translation (refer to section 10 for requirements). The identification documents depend on the type of trust and the type of trustee. No documents required at this time for self managed superannuation funds registered managed investment schemes other Australian regulated trusts government superannuation funds However, we may request documents at a later date to verify an inconsistency that arises in respect of information in respect of information provided on this Application Form and Australian public records. All other Trusts You are required to provide one Trust Identification document (see section 3.B); and Trustee Identification documents, depending on whether an Individual or Corporate Trustee (see section 3.C) 3.B Trust identification documents Trust Deed entire copy or an extract showing the full name of the trust Minutes of a meeting (signed) showing the full name of the Trust Prospectus/PDS/Offering Memorandum entire copy or an extract showing the full name of the trust Annual report/audited financial statements entire copy A letter from a qualified lawyer or qualified accountant confirming the existence of the Trust must be original letter 3.C Trustee identification documents Individual Trustee(s) one individual trustee to provide the identification documents set out in section 2A Corporate Trustee provide the identification documentation for a company set out in section 4.A

9 Hunter Hall Australian Equities Fund Application Form Page 9 4 Company. Corporate Trustee 4.1 Company type Tick one box and complete the specified sections of section 4. Australian public company section 4.2 Australian proprietary company section 4.2 & 4.5 Non Australian public company section 4.2 & 4.4 Non Australian private company section 4.2, 4.4, 4.5 & Company details Company name (in full) 4.3 Account designation / reference Corporate margin lenders, nominees or custodians should provide an account designation or reference. 4.4 Additional details for non-australian company If registered with ASIC, please provide: ARBN Business name (if applicable, in full) ABN (if applicable) If registered with a non-australian regulatory body, please provide: Name of regulatory body Country of incorporation Identification number (issued by the regulatory body) Contact name Company address (registered with the regulatory body) Registered street address Country Principal place of business If not registered with a non-australian regulatory body, please provide: Company principal place of business in home country Same as above Street address Other please provide details Country TFN or exemption (Australian residents) Country of residence for tax purposes (if not Australia)

10 Hunter Hall Australian Equities Fund Application Form Page Director information Beneficial owner 3 Australian proprietary companies and non-australian private companies to provide the full name of each director of the company. If there are additional directors, please provide details as an attachment. Title Given name(s) Director 1 Registered street address Director 2 Director 3 Director 4 Director 5 Beneficial owner 4 Title Given name(s) 4.6 Beneficial owners information Non-Australian private companies to provide details of beneficial owners having more than 25% of the company s issued capital. Registered street address Beneficial owner 1 Title Given name(s) Registered street address Beneficial owner 2 Title Given name(s) Registered street address

11 Hunter Hall Australian Equities Fund Application Form Page 11 4.A Identification Documentation Company AML/CTF legislation obliges us to collect identification documents and other supporting material from our investors. Such documents must be provided in a Certified Copy format (refer to section 10 for details). Non-English written identification documents require a translation (refer to section 10 for requirements). Australian company No documents are required at this time. However, we may request documents at a later date to verify an inconsistency that arises in respect of information provided on this Application Form and Australian public records. Non-Australian company You are required to provide certified copies of one of the following company documents Company certificate of registration/incorporation issued by ASIC or by a regulatory or government authority in home country which states the company s type and registration number Company s articles of association (or constitution) an extract showing the company s full name & type Company s public offer document an extract showing the company s full name & type

12 Hunter Hall Australian Equities Fund Application Form Page 12 5 Partnership 5.1 Partnership details Partnership name (in full) Business name (if applicable, in full) ABN (if applicable) Country in which the Partnership was established Registered street address Tick if a Politically-Exposed Person (refer to section 10 for more information) 5.3 Regulation information Is the partnership regulated by a professional association? YES provide details Association name (in full) Partnership membership number / reference Website address NO You are required by AML/CTF legislation to provide the full name and residential address of every other partner in the partnership Partner 2 TFN or exemption (Australian residents) Title Given name(s) Country of residence for tax purposes (if not Australia) 5.2 Partner details AML/CTF legislation requires details of one partner to be provided. The partner identified in this section is required to provide the Partner Identification Documents stated in section 5 and will be verified for AML/CTF purposes. Residential street address Title Given name(s) Partner 3 Title Given name(s) Citizenship (if not Australian) Date of birth (dd/mm/yyyy) Residential street address Residential address If there are additional partners, please provide details as an attachment.

13 Hunter Hall Australian Equities Fund Application Form Page 13 5.A Identification Documentation Partnerships AML/CTF legislation obliges us to collect identification documents and other supporting material from our investors. Such documents must be provided in a Certified Copy format (refer to section 10 for details). Non-English written identification documents require a translation (refer to section 10 for requirements). Partnership investors must provide one Partnership Identification Document (see section 5.B); and in respect of the Partner detailed in section 5.2, Partner Identification Document(s) (see section 5.C). 5.B Partnership identification documents You are required to provide certified copies of one of the following partnership identification documents Partnership agreement an extract showing the full name of the partnership Minutes of a partnership meeting (signed) an extract showing the full name of the partnership Certificate of registration of business name issued by a government agency If regulated by a professional association, a certificate of registration/membership (or similar) issued to the partnership 5.C Partner identification The partner identified in section 5.2 must provide certified copies of either one primary document or two secondary documents (with one document from each of Columns A and B below) for the purposes of client identification. Primary document Driver s licence Australian passport (a passport that has expired within the proceeding 2 years is acceptable) State or Territory proof of age card Foreign passport or travel documents (containing a passport) OR Secondary Documents one document only from each of Columns A and B Column A Birth certificate Australian citizen card Pension card issued by Centrelink Column B Commonwealth, State or Territory financial benefits notice (less than 12 months old) Tax notice (less than 12 months old) Local utilities provider notice (less than 3 months old) Health card issued by Centrelink

14 Hunter Hall Australian Equities Fund Application Form Page 14 6 Association. Co-operative 6.1 Entity type Tick one box and complete the specified sections of section 7. Individual Agent complete section 7.3 Corporate Agent complete section 7.4 Tick one box and complete the specified sections of section 5. Incorporated association sections 6.2 & 6.3 Unincorporated association sections 6.2 & 6.4 Registered Co-Operative sections 6.2 & Association/ co-operative details Name of association/co-operative (in full) TFN or exemption (Australian residents) Country of residence for tax purposes (if not Australia) 6.3 Regulation information Government body responsible for incorporation/registration (in full) Identification number / reference issued by government body Website address (of government body) ABN (if applicable) Country of established 6.4 Member details Unincorporated associations only AML/CTF legislation requires details of the member signing on behalf of the association to be provided. Name of Chair/President (in full) Title Given name(s) Name of Secretary (in full) Name of Treasurer (in full) Citizenship (if not Australian) Registered street address Date of birth (dd/mm/yyyy) Residential address Principal place of administration /operations Same as above Other please provide details Tick if a Politically-Exposed Person (refer to section 10 for more information) Street address

15 Hunter Hall Australian Equities Fund Application Form Page 15 6.A Identification Documentation Association. Co-operative AML/CTF legislation obliges us to collect identification documents and other supporting material from our investors. Such documents must be provided in a Certified Copy format (refer to section 10 for details). Non-English written identification documents require a translation (refer to section 10 for requirements). All Association/Co-operative investors must provide one Entity Identification Document (see section 6.B). Unincorporated Associations must also provide Member Identification Documents. 6.B Association or Co-Operative identification documents You are required to provide a certified copy of one of the following partnership identification documents Association Document issued by government body showing the incorporation of the Association and its registration/identification number Rules/constitution of the Association an extract showing the full name of the Association and its registration number Minutes of a meeting (signed) an extract showing the full name of the Association and its registration number Co-operative Document issued by government body showing the incorporation of the Co-operative and its registration/identification number Rules/constitution of the Co-operative an extract showing the full name of the Co-operative and its registration number Minutes of a meeting (signed) an extract showing the full name of the Co-operative and its registration number 6.C Unincorporated Associations only The member identified in section 6.4 must provide certified copies of either one primary document or two secondary documents (with one document from each of Columns A and B below) for the purposes of client identification. Primary Document Driver s licence Australian passport (a passport that has expired within the proceeding 2 years is acceptable) State or Territory proof of age card Foreign passport or travel documents (containing a passport) OR Secondary Documents one document only from each of Columns A and B Column A Birth certificate Australian citizen card Pension card issued by Centrelink Health card issued by Centrelink Column B Commonwealth, State or Territory financial benefits notice (less than 12 months old) Tax notice (less than 12 months old) Local utilities provider notice (less than 3 months old)

16 Hunter Hall Australian Equities Fund Application Form Page 16 7 Agent for the investor acting under Power of Attorney 7.1 Type of Agent Tick one box and complete the specified sections of section 7. Individual Agent complete section 7.3 Corporate Agent complete section Power of Attorney Please ensure you provide a valid document by confirming: The document is an original or certified copy The document is signed by the Applicant or Investor The document permits the attorney to transact on behalf of the Applicant or Investor The document, at the time of signing has not been revoked 7.3 Individual Agent 7.4 Corporate Agent Company name (in full) Business name (if applicable, in full) ABN (if applicable) Country of incorporation Contact name Registered street address Title Given name(s) Date of birth (dd/mm/yyyy) Citizenship (if not Australia) Residential address Principal place of business Same as above Other please provide details Street address Tick if a Politically-Exposed Person (refer to section 10 for more information) Corporate Agent tick to indicate company type: Australian public company Australian proprietary company please provide the full name of each director of the Company as an attachment Non Australian public company please supply the information requested in section 4.4 as an attachment Non Australian private company please supply the information requested in sections 4.4, 4.5 & 4.6 as an attachment

17 Hunter Hall Australian Equities Fund Application Form Page 17 7.A Identification Documentation Agents AML/CTF legislation obliges us to collect identification documents and other supporting material from our investors. Such documents must be provided in a Certified Copy format (refer to section 10 for details). Non-English written identification documents require a translation (refer to section 10 for requirements). An Agent must provide identification documents in respect of the investor (refer to section 1.2) a Power of Attorney document which has been endorsed by an authorised Certifier (see section 10 for details) agent identification documents (refer to section 7.B or 7.C as applicable) 7.B Individual Agent You are required to provide certified copies of either one primary document or two secondary documents (with one document from each of Columns A and B below). Primary document Driver s licence Australian passport (a passport that has expired within the proceeding 2 years is acceptable) State or Territory proof of age card Foreign passport or travel documents (containing a passport) OR Secondary Documents one document only from each of Columns A and B Column A Birth certificate Column B Commonwealth, State or Territory financial benefits notice (less than 12 months old) Australian citizen card Pension card issued by Centrelink Tax notice (less than 12 months old) Local utilities provider notice (less than 3 months old) Health card issued by Centrelink 7.C Corporate Agent Australian company No documents are required at this time. However, we may request documents at a later date to verify an inconsistency that arises in respect of information provided on this Application Form and Australian public records. Non-Australian company You are required to provide certified copies of one of the following company documents Company certificate of registration/incorporation issued by ASIC or by a regulatory or government authority in home country which states the company s type and registration number Company s articles of association (or constitution) an extract showing the company s full name & type Company s public offer document an extract showing the company s full name & type

18 Hunter Hall Australian Equities Fund Application Form Page 18 8 All Investors 8.1 Contact details Please provide the contact details that we can use for all communications with you. ADVISOR DETAILS CANNOT BE ACCEPTED. Same as street address Other Suburb State Post Code Country address Telephone (during business hours) Telephone (mobile) 8.2 Investment amounts Fund Investment Amount Regular Savings Plan (Minimum amount $200 per Fund per month) Australian Equities Fund (AEF) $,,. $,. Initial investment payment: Please indicate how your initial investment amount will be paid: Payment Method Select (x) Note Cheque Direct Debit Electronic Funds Transfer (EFT)* Attached is a cheque made payable to JPM Nominees ACF HH App a/c Application monies paid by cheque should become available as cleared funds in Hunter Hall s account three business days after they are debited from your account unless dishonoured by your financial institution. Application monies paid by direct debit should become available as cleared funds in Hunter Hall s account on the next business day after they are debited from your account unless dishonoured by your financial institution. Application monies paid by EFT should become available as cleared funds in Hunter Hall s account on the next business day after they are debited from your account unless dishonoured by your financial institution. Units in a Hunter Hall fund should be issued following receipt of a completed application form, AML verification documents and cleared funds. * Please include a unique reference on your EFT transactions (e.g. your unitholder number or last name) to help us to identify your transfer. EFT Reference/Description Deposit Date (dd/mm/yyyy) Australian investors Account Name: Account Number: BSB: Bank Name: Address: SWIFT: JPM Nominees ACF HH App a/c JPMorgan Chase Bank, N.A. Level 18, 85 Castlereagh Street Sydney NSW 2000 CHASAU2X New Zealand investors Account Name: Account Number: BSB: Bank Name: Address: Reference: JPM/Hunter Hall NZ Apps ANZ Albert Street Auckland New Zealand

19 Hunter Hall Australian Equities Fund Application Form Page 19 Direct Debits I/We request Hunter Hall process my initial application and for JP Morgan Nominees Australia Ltd acf Hunter Hall Investment Management Limited (User ID ) to debit the account nominated in the Australian Financial Institution Account Details section. Regular Savings Plan I/We request for Hunter Hall to set up a Regular Savings Plan (RSP) and for JP Morgan Nominees Australia Ltd acf Hunter Hall Investment Management Limited (User ID ) to debit monthly payments from the account nominated in the Australian Financial Institution Account Details section. 8.3 Distribution Payments How do you wish to receive your distribution? Reinvested in additional units (default option) Direct Credit - credited by EFT to my nominated Australian financial institution account (please note that EFT payments can only be made to an Australian bank, building society or credit union account) 8.4a Australian Financial Institution Account Details Name of financial institution Branch address Branch number (BSB) Account number Account name 8.4b Foreign Financial Institution Account Details (if applicable) Please note this must be an international bank account. Please provide a copy of your bank statement to show the bank account name matches your investment account. Name of financial institution Branch address Please credit my international financial institution account provided below. Swift Code Routing/Sort Code Account Number Account name

20 Hunter Hall Australian Equities Fund Application Form Page Investor Communications Please nominate how you would like to receive Annual Reports from Hunter Hall. The Annual Report will also be available on our website: Please contact Investor Relations if you would like to receive printed copies of these reports. Annual Report None * * Note that if no address is provided in section 8.1 the default option will be none. Should you wish to subscribe to our monthly performance reports or other marketing communications, please visit our website: Declaration and Signatures I/We declare and acknowledge that: All details in this application are true and correct; Any documents or information whatsoever used for verification purposes in support of my/our application are complete and correct; I/We have received and read, or have had the opportunity to read, the current Product Disclosure Statement and Additional Information Brochure (collectively the PDS ) to which this application applies and agree to be bound by the provisions of the PDS and the Constitution governing the Fund. This Application Form does not form part of the PDS; I/We will provide further information that Hunter Hall or its agents may request in order for it to comply with the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF). I/We agree to provide all necessary cooperation and assistance, including the provision of information, waivers and consents, for Hunter Hall to comply with its obligations under FATCA or any agreement entered into under FATCA. FATCA means sections 1471 to 1474 of the US Internal Revenue Code of 1986, any associated regulations or other official guidance, any treaty, law, regulation or other official guidance enacted in any other jurisdiction, or relating to an intergovernmental agreement between the US and any other jurisdiction, which (in either case) facilitates the implementation of the above, or any agreement pursuant to the implementation of the above with the US Internal Revenue Service, the US government or any governmental or taxation authority in any other jurisdiction. I/We acknowledge that Direct Debit Requests are governed by the Conditions of Operation set out on the Hunter Hall website: It may be a criminal offence to knowingly provide false, forged, altered or falsified comments or misleading information or documents when completing an Application for units in a fund. Certified documents are attached as required by the AML/CTF Act Signature of Applicant 1 Signature of Applicant 2 (if a joint account) Name of Applicant 1 Name of Applicant 2 (if a joint account) Date (dd/mm/yyyy) Date (dd/mm/yyyy) Joint holdings: Either to sign OR Both to sign (if no selection is made, Either to Sign will be assumed) Company holdings: Sole Director to sign OR Joint Directors to sign OR Director and Company Secretary to sign

21 Hunter Hall Australian Equities Fund Application Form Page FATCA Information 9.1 Individuals Are you a US citizen or resident of the US for tax purposes? If yes, please provide your US Taxpayer Identification Number (TIN): Individual 1 Individual Trusts 9.2 a) For investors who are regulated trusts, please select one of the following categories and provide the information requested: Regulated super funds (self-managed super funds, APRA regulated super funds, government super funds or pooled super trusts) Other regulated trusts, including registered managed investment schemes Provide the trust or trustee s Global Intermediary Identification Number (GIIN), if applicable, or if no GIIN is available the trust s FATCA status: 9.2 b) For investors who are unregulated trusts, please select one of the following categories and provide the information requested: United States Trust (A trust created in the US, established under the laws of the US or a US taxpayer) Provide the trust or trustee s Global Intermediary Identification Number (GIIN), if applicable, or if no GIIN is available the trust s FATCA status: Is the trust an exempt payee for US tax purposes? Yes No Financial Institution or trust with a trustee that is a financial institution (A trust that is primarily established for custodial or investment purposes or a trust that has a trustee that is a financial institution in its own right. Provide the trust or trustee s Global Intermediary Identification Number (GIIN), if applicable, or if no GIIN is available the trust s FATCA status: Other (Trusts that are not US trusts, financial institutions or do not have financial institutions as trustees) Are any of the trust beneficiaries, trustees or settlers US citizens or residents of the US for tax purposes? Yes No If the trustee is a company, are any of the company s beneficial owners US citizens or residents of the US for tax purposes? Provide the name, address and US Taxpayer Identification Number (TIN) of each beneficiary, trustee, settler or beneficial owner who is a US citizen or resident for tax purposes: Yes No 9.3 Companies For investors who are companies, please select one of the following categories and provide the information requested: United States Company (A company created in the US, established under the laws of the US or a US taxpayer) Provide the companies US Taxpayer Identification Number (TIN): Is the company an exempt payee for US tax purposes? Yes No Financial Institution (A custodial or depository institution, an investment entity or a specified insurance company for FATCA purposes) Provide the company s Global Intermediary Identification Number (GIIN), if applicable, or if the company does not have a GIIN, please provide its FATCA status:

22 Hunter Hall Australian Equities Fund Application Form Page 22 Non-Financial Public Company (Public companies that are not Financial Institutions as described above) Non-Financial Proprietary Company (Proprietary companies that are not Financial Institutions as described above) Are any of the beneficial owners US citizens or residents of the US for tax purposes? Yes No If yes, provide the name and US Taxpayer Identification Number (TIN) of each beneficial owner who is a US citizen or resident of the US for tax purposes 9.4 Partnerships For investors who are partnerships, please select one of the following categories and provide the information requested: United States Partnership (A partnership created in the US, established under the laws of the US or a US taxpayer) Provide the partnerships US Taxpayer Identification Number (TIN): Is the partnership an exempt payee for US tax purposes? Yes No Financial Institution (A custodial or depository institution, an investment entity or a specified insurance company for FATCA purposes) Provide the partnership s Global Intermediary Identification Number (GIIN), if applicable, or if the company does not have a GIIN, please provide its FATCA status: Other (Partnerships that are not US partnerships) Are any of the partners US citizens or residents of the US for tax purposes? Yes No If yes, provide the name, address and US Taxpayer Identification Number (TIN) of each partner who is a US citizen or resident of the US for tax purposes

23 Hunter Hall Australian Equities Fund Application Form Page AML - CTF Further information Certification All documents must be provided in a certified copy format. This means you must provide us with the copy of the original document that has been certified by an eligible certifier. Each certified copy must include the statement I certify this is a true copy of the original document and must be signed and dated by the certifier. The certifier must provide their full name and state his/her qualification or occupation which makes them an eligible certifier. Who can certify copies of documents? an officer with, or authorised representative of a holder of an Australian financial services licence (AFSL) having two or more continuous years of service an officer of a financial institution or finance company with two or more years continuous service an Australia Post employee with two or more years of continuous service a justice of the peace a notary public an Australian police officer a lawyer/solicitor/barrister a judge/magistrate/ceo of a commonwealth court/registrar or deputy registrar of a court a certified practising or chartered accountant with two or more years of continuous membership a government officer an Australian consular or diplomatic officer Translation of Non English Documents Customer Identification Documents that are not written in English require translation by an accredited Translator. In Australia, translations should be done by translators accredited by the National Authority of Translators and Interpreters ( NAATI ). You can find an accredited translator at or contacting NAATI on In New Zealand, contact NTIS New Zealand or MLT Translation Centre. Outside of Australia and New Zealand contact your local government office. Politically-Exposed Persons You must advise us if you are a Politically-Exposed Person AUSTRAC defines Politically-Exposed Persons as individuals who are, or have been entrusted with prominent functions in a foreign country. For example: Heads of State or of government, senior politicians, senior government, judicial or military officials, senior executives of state owned corporations, important political party officials. The definition is not intended to cover middle ranking or more junior individuals in the foregoing categories. Privacy Collection Notice Under the Privacy Act (the Act) Hunter Hall Investment Management Limited is required to provide you with certain information as to how we protect your privacy and how we comply with the requirements of the Act and the Australian Privacy Principles set out in the Act. This information is set out in the Privacy Policy of Hunter Hall International Limited which is available on our public website at and is also available upon request in hard copy from our business office. Our Privacy Policy describes: Who we collect information from; The types of personal information collected and held by the Hunter Hall Group; How this information is collected and held; The purposes for which your personal information is collected, held, used and disclosed; How you can gain access to your personal information and seek its correction; How you may complain or inquire about our collection, handling, use or disclosure of your personal information and how that complaint or inquiry will be handled; and Whether we are likely to disclose your personal information to any overseas recipients. We recommend you read our Privacy Policy and if you have any queries about its contents, you may contact our Privacy Officer at privacy@hunterhall.com.au.