BlackRock Global Index Funds (BGIF) (the Company ) Account Opening and Dealing Form for Distributing Shares, Non-Distributing Shares

Transcription

1 For individual investors only BlackRock Global Index Funds (BGIF) (the Company ) Account Opening and Dealing Form for Distributing Shares, Non-Distributing Shares A. Account Opening FOR ADDITIONAL INVESTMENTS ON EXISTING ACCOUNTS, PLEASE ONLY COMPLETE SECTION C Please complete this form in black pen and BLOCK CAPITALS. Please read and consider the prospectus of the Company (the Prospectus ) and the relevant Key Investor Information Document for the share class in which you wish to invest. Terms in this form shall have the same meaning given to them in the Prospectus, unless defined otherwise herein. This completed application form and/or any written enquiries should be sent to: BlackRock Investment Management (UK) Limited, c/o BlackRock (Luxembourg) SA, PO Box 1058, L-1010 Luxembourg. All other enquiries: Telephone: , Fax: , investor.services@blackrock.com The prevailing anti-money laundering legislation requires that the identity of investors is verified. Without this information redemption proceeds cannot be paid to you if and when holdings are redeemed. Your local Investor Services team can be contacted on the number above for further details. 1. Professional Adviser s Details Please complete this section if you are submitting this application through a professional adviser. Dealing instructions received from your professional adviser will be acted upon, provided that the Company and/or the Transfer Agent have received documents proving authorisation of the professional adviser satisfactory to them. To prove the authorisation of the professional adviser, please provide the Company and/or the Transfer Agent with a copy of the discretionary agreement with the signature of the investor(s) or other written authorisation signed by the investor(s), i.e. a copy of the power of attorney granted to the professional adviser by the investor(s). Where applicable, the professional adviser must also stamp and sign this form. Name of Professional Adviser Professional Adviser s Stamp (mandatory) Address Telephone number Fax number address Country We hereby confirm that we have verified the identity of the investor(s), the ultimate beneficial owner(s) where applicable and related parties (e.g. power of attorney holder) by viewing original identification documents. Copies of these documents will be kept by us for a minimum period as required by law after the termination of the relationship. Certified true copies of said identification documents will be provided to the Company and/or the Transfer Agent upon reasonable request. Signature of Professional Adviser BlackRock agent code 2. Details of Applicant(s) All applicants must complete this section. This section is mandatory, your application form cannot be processed without this information. Please note: PO Box and c/o addresses are not permitted. In the case of joint shareholders, (a) all correspondence will be sent to the first-named holder unless otherwise requested; and (b) all payments will be made to the notified bank account (payment to the notified bank account releases the Company from its corresponding payment obligation towards all joint shareholders). K

2 Shareholder 1 and Designation Full permanent address First name(s) Daytime telephone number Country of Birth* Town of Birth* of Birth* Passport Number Passport Citizenship address DAY MONTH YEAR Designation (if applicable) Tax Identification Number (TIN) (if available)* OR Certificate of Tax Residence: (for all other joint shareholders, if any) The below information is mandatory to be able to invest and meet our obligations of profiling the investor and monitor his transactions. Professional activity and sector Source of investment Savings Professional activity Pension Inheritance Sale of assets (please specify - property, securities, life policy...) Other (please specify) Target investments in BlackRock fund(s) Currency 0-25,000 USD 25-50,000 EUR ,000 GBP ,000 PLN >250,000 Other (please specify) Shareholder 2 Full permanent address First name(s) Daytime telephone number Country of Birth* Town of Birth* of Birth* Passport Number Passport Citizenship address Tax Identification Number (TIN) (if available)* DAY MONTH YEAR OR Certificate of Tax Residence: (for all other joint shareholders, if any)

3 The below information is mandatory to be able to invest and meet our obligations of profiling the investor and monitor his transactions. Professional activity and sector Source of investment Savings Professional activity Pension Inheritance Sale of assets (please specify - property, securities, life policy...) Other (please specify) Target investments in BlackRock fund(s) Currency 0-25,000 USD 25-50,000 EUR ,000 GBP ,000 PLN >250,000 Other (please specify) Shareholder 3 Full permanent address First name(s) Daytime telephone number Country of Birth* Town of Birth* of Birth* Passport Number Passport Citizenship address Tax Identification Number (TIN) (if available)* DAY MONTH YEAR OR Certificate of Tax Residence: (for all other joint shareholders, if any) The below information is mandatory to be able to invest and meet our obligations of profiling the investor and monitor his transactions. Professional activity and sector Source of investment Savings Professional activity Pension Inheritance Sale of assets (please specify - property, securities, life policy...) Other (please specify) Target investments in BlackRock fund(s) Currency 0-25,000 USD 25-50,000 EUR ,000 GBP ,000 PLN >250,000 Other (please specify)

4 Shareholder 4 Full permanent address First name(s) Daytime telephone number Country of Birth* Town of Birth* of Birth* Passport Number Passport Citizenship address Tax Identification Number (TIN) (if available)* DAY MONTH YEAR OR Certificate of Tax Residence: (for all other joint shareholders, if any) The below information is mandatory to be able to invest and meet our obligations of profiling the investor and monitor his transactions. Professional activity and sector Source of investment Savings Professional activity Pension Inheritance Sale of assets (please specify - property, securities, life policy...) Other (please specify) Target investments in BlackRock fund(s) Currency 0-25,000 USD 25-50,000 EUR ,000 GBP ,000 PLN >250,000 Other (please specify) * TINs, Certificate of Tax Residence and date/place of birth are only required in the case of individual applicants. * Certificate of Tax Residence is only required if individual is resident outside EU but carries EU passport/id card. * Original certified true copy of a driving licence or an identity card can be provided as an alternative to passport ID. * If you are an elective UCITS, please provide the Transfer Agent with a certificate issued by the member state of establishment proving that the option to be treated as an elective UCITS has been exercised. Preferred Reporting Currency EUR USD GBP CHF SEK 3. Correspondence Address (to be completed only if different from permanent address) Address Daytime telephone number Fax number Country Please send all correspondence to my professional adviser s address as stated in section 1. (Please tick if required)

5 4. Beneficial Owners Please tick one of the boxes below otherwise the application will be rejected. I am/we are investing on my/our own behalf and I am/ we are the ultimate economic beneficiary(ies) of the funds and any subsequent income invested I am/we are investing on behalf of a third party/ies who is/are the ultimate economic beneficiary/ies of the funds and any subsequent income invested If the applicant(s) is/are investing on behalf of one or more third parties who are the ultimate beneficial owner(s), the name and address detail of each of the beneficial owner(s) need to be provided and I/we will provide all other documents and information (including, but not limited to, documents required for anti-money laundering or other regulatory purpose) in respect of the beneficial owner(s) as requested by the Company and/or the Transfer Agent. If you are not the ultimate beneficial owner but are holding these investments on behalf of another person(s) who is/are the ultimate beneficial owners, please complete the details below. First beneficial owner Full permanent address First name of Birth Second beneficial owner DAY MONTH YEAR Full permanent address First name of Birth DAY MONTH YEAR 5. Dividend Instruction Complete this section if you would like any applicable dividend to be reinvested Reinvested Unless otherwise instructed dividends will be paid out to the bank account listed below. 6. Bank details for settlements and dividend distributions The bank account details provided below will be used to originate subscription payments and to receive any payments including redemption proceeds and dividend distributions. Bank charges are to be borne by the shareholder. If you wish to pay in a currency other than EUR, Sterling or USD, please refer to the Prospectus or call for further information. Payment by telegraphic transfer should be made in accordance with the following payment instructions and must be made within 3 business days of the relevant Dealing Day. I/We have instructed my/our bank to transfer the amount specified from my/our bank account as specified below. Please ensure payment is made net of bank charges. Euros Sterling US Dollars Beneficiary Bank A/C Details Please note that for Anti-Money Laundering purposes, subscriptions into the Funds must originate from an account in the name of the investor Name of the Bank * * * Address of the Bank * * * ABA Code N/A N/A *

6 Swift (BIC) Code Euros Sterling US Dollars * * * Sort Code N/A * N/A Beneficiary Account Name (must match registered shareholder) * * * Beneficiary Account Number * * * IBAN * * N/A Reference/Narrative (max 18 characters) * * * Correspondent Bank * * * Correspondent Bank SWIFT (BIC) Code * * * 7. EU Savings Directive Since 1 st January 2015, the Grand Duchy of Luxembourg applies the automatic exchange of information on interest payments made by a paying agent established in Luxembourg to individuals resident in another EU Member State according to the EU Savings Directive principle (Council Directive 2003/48/EC). The Luxembourg paying agent will communicate the information below in relation to the investor(s) to the Ministre des Finances du Grand-Duché du Luxembourg or one of its authorised representatives: a) the first name(s), family name, address and country of residence; b) the account number(s) held; c) the total amount of the interest or revenues periodically received and falling under the EU Savings Directive; and d) the tax identification number (TIN) or, as an alternative, the date and place of birth. The Ministre des Finances du Grand-Duché du Luxembourg or one of its authorised representatives will automatically exchange this information at least once a year, and at the latest on 30 th June to the relevant tax authority of the country in which the investor(s) is/are resident. The European Union has adopted a Directive repealing the EU Savings Directive on taxation on savings income from 1 January 2016 (1 January 2017 in the case of Austria). In the meantime the agreement above is still required, while transitional rules are in place. 8. Declarations and Signature (Please contact the Investor Services team if you cannot make any of these statements) a) US Persons: I am/we are not a US Person (as defined in the Prospectus from time to time; the definition is also available in full from the Investor Services team) and am/are not applying for Shares for or on behalf of any US Person. b) I/We acknowledge and accept that my/our application and all subsequent dealings in any of the Funds shall be on the terms detailed in the then current Prospectus and the terms and statements set out in this form. c) The following confirmation is applicable to investors that are resident, domiciled and/or investing from within the European Economic Area (EEA) or Switzerland only: I/We acknowledge that the key investor information document (KIID) for the relevant Fund can be obtained from or hard copies can be obtained by contacting the Investor Services team (processing time should be factored in for requests for hard copies). If I/we choose to download KIIDs from the website, I/we thereby confirm that I/we have expressly chosen to do so and consent to being provided with the KIIDs in this form via the website. I/We confirm that, I/we will ensure that I/we have received and read the key investor information document (KIID) for the relevant Fund prior to submitting each application to subscribe for Shares in such Fund and will provide confirmation of this in each application. d) Where we are making this application as joint holders, all of us must jointly authorise any subsequent dealing or

7 other instructions and written confirmations of redemption instructions, unless we complete a separate signing authority. e) I/We understand that the personal data and other information given in my/our application form or otherwise provided to or obtained by the Company, acting as data controller, on application or at any other time, as well as details of my/our shareholding, will be stored in digital form or otherwise and processed in compliance with the provision of the Luxembourg Data Protection Law dated 2 August 2002 as amended and any other applicable data protection law for the purposes of carrying out our agreement with you. This may include the transfer of such data to other members of the BlackRock Group and/or JP Morgan group and to other businesses (in both cases including their offices based in countries having different standards of protection for personal data outside the European Economic Area) where the transfer is necessary for the provision of services in relation to any of the BlackRock Group s investment products or services. I/We consent/do not consent (please delete as appropriate) to my/our data being used for promoting products relating to the Company and any BlackRock Group company. I/We acknowledge that the Company as well as, where relevant, the data processors, may be required by applicable laws to provide my/our data to supervisory or other authorities in various jurisdictions, in particular those jurisdictions where (i) the Company is or is seeking to be registered for public or limited offering of its shares, (ii) investors are resident, domiciled or citizens or (iii) the Company is or is seeking to be registered, licensed or otherwise authorised to invest. By investing, I/we consent to the above and expressly acknowledge that the transfer of my/our data may be to a country that does not have equivalent data protection laws to those countries of the European Economic Area (for example, the Luxembourg professional secrecy law of 5 April 1993, as amended). I/We have the right to request a copy of the personal data held in relation to us, and to request that it be amended, updated or deleted as appropriate, if incorrect. I/We hereby agree that any change to my/our consent should be notified in writing to the Company. My/our data shall not be held for longer than (i) necessary with regard to the purpose of the data processing or (ii) required by law. The Company, any BlackRock Group company and the Transfer Agent are each permitted to record telephone conversations with me/us, or a third party authorised to act on my/our behalf, which recordings may be permitted as evidence in the event of a disagreement. The absence of recordings may not in any way be used against the Company, any BlackRock Group company or the Transfer Agent. f) I/We acknowledge and accept that I/we may be required as result of any applicable laws and regulations, including but not limited to, relevant anti-money laundering legislation, tax laws and regulatory requirements, to provide additional documentation to confirm mine/our identity or provide other relevant information pursuant to such laws and regulations, as may be required from time to time, even if an existing Shareholder. I/We accept that the Company and the Transfer Agent reserve the right to withhold redemption proceeds or freeze mine/our account until these enquiries have been addressed to their satisfaction. g) I/we declare that I/we are over 18 years of age and have full capacity to subscribe, hold and/or otherwise deal in the Shares. h) I/we declare that the information contained in, or provided in relation to, this form is accurate to the best of my/our knowledge and I/we hereby undertake to inform the Company immediately of any changes (i) in my/our details contained herein or (ii) to the information provided in relation to this form. i) I/we declare that the subscription monies are coming from an account in my/our name and that such amounts were not and are not directly or indirectly derived from activities that may contravene applicable laws and regulations, including, but not limited to, anti-money laundering laws and regulations. j) Instructions I/we acknowledge and accept that, where permissible, the Company (including any of its delegates) and the Transfer Agent may accept and execute instructions relating to the Shares submitted via fax, telephone or other electronic means. Accordingly, I/we agree to the recording by the Company (including any of its delegates) and the Transfer Agent of the telephone conversations containing such telephone instructions, and that if conversations are recorded, I/we agree to the retention of the recordings by the Company (including any of its delegates) and the Transfer Agent. As part of the security procedures the caller may be asked a number of questions to verify his or her identity on the telephone as authorised representative on behalf of the investor(s). Correct responses to these questions will entitle the Company (including any of its delegates) and the Transfer Agent to treat the caller as an authorised representative. In the event that the caller is not able to confirm the required information, or if the Company (including any of its delegates) or the Transfer Agent in their sole discretion is not satisfied with the callers authenticity, the investor(s) could be required to submit any instructions in writing, signed by me/us or any authorised representative in the usual manner. I/we acknowledge and accept that the Company (including any of its delegates) and the Transfer Agent may rely conclusively upon and shall incur no liability in respect of any action (including, but not limited to, the execution of the instruction) taken upon any instruction submitted by telephone, fax or other electronic means or other instrument believed in good faith to be genuine. k) Neither of the Company, its delegates and the Transfer Agent shall be liable (i) for the fraudulent use by a third party of the signature of the investor(s) or its/their authorised representatives, whether such signature be authentic or forged; (ii) or for any instructions (whether submitted in writing or, where permissible, by telephone, fax or other electronic means) purportedly from the investor(s) which are fraudulent. Should the Company (including its delegates) or the Transfer Agent not identify the fraudulent use of the authentic or forged signature of the investor(s) or its/their authorised representatives or the fraudulent instructions, and effects transactions on the basis of such documents or instructions, the Company (including its delegates) or the Transfer Agent shall, except in cases of gross negligence in the verification of any signature or instruction, be released from any liability. The Company shall, in such circumstances, be considered as having made a valid payment, as if it had received authorised instructions from the investor(s). l) Severability. If any provision of this form is invalid or unenforceable in any jurisdiction, this shall not affect the validity or enforceability of the remaining terms of this form in that jurisdiction or affect the validity or enforceability in any other jurisdiction.

8 m) Applicable Law. This form, any dealing form as well as the execution of share transactions by the Company or the Transfer Agent in accordance with the Prospectus and Articles of Association of the Company shall be governed by and construed with the laws and regulations of the Grand-Duchy of Luxembourg. Signature(s) of Applicant(s) (All joint applicants must sign (see notes (i) and (ii) below).) Signature 1 Signature 2 Signature 3 DAY MONTH DAY MONTH DAY MONTH YEAR YEAR YEAR Signature 4 Notes: (i) All Applicants: This application must be signed by the applicant(s) unless an acceptable power of attorney or other written authority is provided. DAY MONTH YEAR (ii) Form of Shares: Registered Shares are available for all Funds. Registered Shares will be issued in your name(s). No certificates are issued for Registered Shares.

9 B. Individual self-certification form To be completed by individual investors who are also the beneficial owners of their investments. If you are holding investments as nominee/trustee, you will need to complete the Entity Self-Certification instead, which you should request from our Investor Services team. Tax residency Tax Regulations 1 require us to collect certain information about each investor s tax residency 2. We also require you to provide further relevant information in this form. In each case, we may use the information you provide in this form for the purpose of assisting us, our affiliates and our agents to comply with the Tax Regulations, including by disclosure to the relevant tax authorities. In certain circumstances (including if we do not receive a valid self-certification from you) we will be obliged to share information about your account(s) with the relevant tax authorities. In each case, the relevant tax authorities may in turn share this information with the tax authorities of any or all participating jurisdictions 3, including the US. Please indicate all countries in which you are resident for tax purposes and your associated Taxpayer Identification Number(s) in the table below. If you are also a US citizen you must include the United States in this table along with your US Tax Identification Number. If you have any questions about your tax residency 2, please contact your tax adviser and see the information on the OECD website 4. Country/Countries of tax residency Taxpayer Identification Number (TIN) N/A* * Please only tick this column if you are resident in a country which does not issue TINs 5. Data protection BlackRock 6 is the data controller in respect of any personal data you provide in this form and all such personal data may be processed only for the purposes set out in this form. Depending on the laws of your location, you may have the right to request from us a copy of your personal data and the right to rectify such personal data in the event of any errors or inaccuracies. Declaration I declare that the information provided on this form is, to the best of my knowledge and belief, accurate and complete and I consent to the processing of my personal data for the purposes and in the manner described in this form. I agree to notify BlackRock immediately if any of this information changes in the future. Full permanent address First name Town/City of birth Country of birth of birth Country DAY MONTH YEAR Signature DAY MONTH YEAR Notes 1 The term Tax Regulations refers to laws, treaties and regulations created to enable automatic exchange of tax information and include sections 1471 to 1474 of the United States Internal Revenue Code ( FATCA ), and the OECD Common Reporting Standard for Automatic Exchange of Financial Account Information, and any local regulations implementing or similar to the same ( CRS ). 2 In general, you are tax resident where you are liable to taxes, based on where you live and work permanently although different jurisdictions have different rules in relation to tax residency. If in doubt, please contact your tax adviser. 3 Those countries that have agreed to exchange information under FATCA and/or the CRS The column should also be ticked if you do not have a TIN because your country does not issue TINs to all residents or you are resident in a jurisdiction where domestic law does not require the collection of this information (details of which are published on the OECD website 6 For the purpose of this form, BlackRock refers to the BlackRock entity in which you are, or are seeking to be, an investor.

10 Please note: this section is only to be completed if you have already filled out an Entity Self-Certification form and have identified yourself as a Controlling person of a Passive Non-Financial Entity (NFE). Please tick one box only in this section. Name of organisation you are a controlling person of Client identification number (if known) a) CP of legal person ownership b) CP of legal person other means c) CP of legal person senior managing official d) CP of legal arrangement trust settlor e) CP of legal arrangement trust trustee f) CP of legal arrangement trust protector g) CP of legal arrangement trust beneficiary h) CP of legal arrangement trust other i) CP of legal arrangement other settlor-equivalent j) CP of legal arrangement other trustee-equivalent k) CP of legal arrangement other protector-equivalent l) CP of legal arrangement other beneficiary-equivalent m) CP of legal arrangement other other-equivalent

11 C. Dealing 1. Professional Adviser s Details Please complete this section if you are submitting this application through a professional adviser. Dealing instructions received from your professional adviser will be acted upon, provided that the Company and/or the Transfer Agent have received documents proving authorisation of the professional adviser satisfactory to them. To prove the authorisation of the professional adviser, please provide the Company and/or the Transfer Agent with a copy of the discretionary agreement with the signature of the investor(s) or other written authorisation signed by the investor(s), i.e. a copy of the power of attorney granted to the professional adviser by the investor(s). Where applicable, the professional adviser must also stamp and sign this form. Name of Professional Adviser Professional Adviser s Stamp (mandatory) Address Telephone number Fax number address BlackRock agent code Country We hereby confirm that we have verified the identity of the investor(s), the ultimate beneficial owner(s) where applicable and related parties (e.g. power of attorney holder) by viewing original identification documents. Copies of these documents will be kept by us for a minimum period as required by law after the termination of the relationship. Certified true copies of said identification documents will be provided to the Company and/or the Transfer Agent upon reasonable request. Signature of Professional Adviser 2. Details of Shareholder(s) (this section is only to be completed by existing shareholders) This section is mandatory. Your investment cannot be processed without this information. Shareholder 1 Existing account number First name Full permanent address Shareholder 2 First name Shareholder 3 First name Please note: In the case of joint shareholders, (a) all correspondence will be sent to the first-named holder unless otherwise requested; and (b) all payments will be made to the notified bank account (payment to the notified bank account releases the Company from its corresponding payment obligation towards all joint shareholders). Shareholder 4 First name

12 3. Details of Investment The minimum initial subscription for any one Fund is stated in the Prospectus. The minimum for additions to existing holdings in any Fund is also detailed in the Prospectus. Fractions of Registered Shares may be issued. Name of Fund (Please insert the full name of the Fund(s)). Distributing Shares* Share Class Share Class Currency** Settlement Currency and Amount of Subscription ISIN ISIN ISIN ISIN Registered Shares will be recorded in your name(s). No certificates are issued for Registered Shares. * If you do not tick this box, you will be deemed to have requested Non-Distributing Shares. ** Certain Funds may have two or more dealing currencies, please refer to the Prospectus for further details. Please specify your choice of Share Class currency in the box above. If you do not specify a Share Class currency then the Base currency of the relevant Fund will be used. 4. Declarations and Signature I/We acknowledge that my/our dealing form and all subsequent dealings shall be on the terms detailed in the then current Prospectus and the terms and the statements set out in my/our account opening form. The following confirmation is applicable to investors that are resident, domiciled and/or investing from within the European Economic Area (EEA) or Switzerland only: I/We confirm that, where I/we am/are subscribing for Shares in this dealing form, I/we have received, and read the key investor information document (KIID) for the relevant Fund. I/We acknowledge that the KIID can be obtained from or hard copies can be obtained by contacting the Investor Services team (processing time should be factored in for requests for hard copies). Signature 1 DAY MONTH YEAR Signature 2 DAY MONTH YEAR Signature 3 DAY MONTH YEAR Signature 4 DAY MONTH YEAR Check list Please ensure you have completed the Details of Applicant(s) section 2 of the Account Opening form, this is mandatory, your application form cannot be processed without this information. Please ensure you have completed the beneficial owners section. In order that dividend distributions and settlements payments can be paid direct to your bank account, please complete section 6 of the Account Opening section. Please ensure you have signed and dated the declaration in section 8 of the Account Opening form and section 4 of the Dealing form. Contact us: if you have any further queries please contact our Investor Services Team on Please return your completed application form to: BlackRock Investment Management (UK) Limited, c/o BlackRock (Luxembourg) SA, PO Box 1058, L-1010 Luxembourg.

13

14

15

16 Want to know more? +44 (0) blackrockinternational.com 2015 BlackRock, Inc. All Rights reserved. BLACKROCK, BLACKROCK SOLUTIONS, ishares, BUILD ON BLACKROCK, SO WHAT DO I DO WITH MY MONEY and the stylized I logo are registered and unregistered trademarks of BlackRock, Inc. or its subsidiaries in the United States and elsewhere. All other trademarks are those of their respective owners. PRISMA 15/1968/1 BGIF AOF A INDIVIDUAL ENG/ROW 0116