Liontrust International Funds (Luxembourg) SICAV

Transcription

1 Liontrust International Funds (Luxembourg) SICAV Subscription Form Liontrust Credit Absolute Return Fund is a Collective Investment Fund, organized under the laws of the Grand Duchy of Luxembourg, hereinafter also the Company. Transfer Agent: State Street Bank Luxembourg S.A. 49 Avenue J.F. Kennedy, L-1855 Luxembourg Tel number: (00 352) Fax number: (00 352) This Subscription Form should be read in conjunction with the most recent consolidated Prospectus of the Company, including any relevant Addendum(s). 1. INVESTMENT DETAILS Please enter your investment details below. Note: Minimum investment amounts in any Sub-fund are as set out in the current version of the Prospectus FUND NAME(S) CLASS AMOUNT SHARES Liontrust Credit Absolute Return Fund A B C D (EURO; RETAIL) ISIN: LU OR (EURO; INSTITUTIONAL) ISIN: LU OR (GBP; INSTITUTIONAL) ISIN: LU OR (USD; INSTITUTIONAL) ISIN: LU $ OR 2. REGISTRATION DETAILS If you are an existing shareholder/unitholder, please provide us with your Account Number (if known): A. INDIVIDUAL INVESTORS 1 st Account Holder Title First name Surnames(s) in full Date of birth Place of birth (city & country) Address (no PO Box addresses) Gender Nationality Professional activity Tax ID number as per Country ID card Source of funds invested Country of Residence for Tax Purposes Facsimile number 1/7

2 2 nd Account Holder Title First name Surnames(s) in full Date of birth Place of birth (city & country) Address (no PO Box addresses) Gender Nationality Professional activity Tax ID number as per Country ID card Source of funds invested Country of Residence for Tax Purposes Facsimile number For completion by Financial Advisers/Agents only: If you are applying via a Financial Adviser/Agent with whom you have entered into an agreement to conclude transactions on your behalf, please ensure your Financial Adviser/Agent confirms as appropriate by ticking the boxes below and then signs and stamps the box (iii) provided for this purpose. (i) (ii) (iii) I/We certify that the identity of the above named investor(s) has/have been verified by me/us in accordance with the requirements of anti-money laundering regulations in Luxembourg or the jurisdiction where the Fund is domiciled. I/We further declare that the documentary evidence to support the identification is held by me/us and can be produced on demand. Name of Financial Adviser/Agent: Signature of Financial Adviser/Agent: Yes No Yes No Stamp (containing registered address): Date: NOTE: For Financial Advisers/Agents, please refer to section 11 for the documentation requirements. If you are applying directly and not via a Financial Adviser/Agent, please refer to sections 10 and 11 for identification documentation requirements. Payment of initial commission I/we authorise the payment of % of the subscription amount to my/our professional adviser/ intermediary/distributor named above by way of an issuing commission. 2/7

3 B. INSTITUTIONAL INVESTORS Company Name: Date of Incorporation: Type of Company (please specify): Regulated in an FATF/EU/EEA country: Listed on an FATF/EU/EEA Stock Exchange: Tax identification number: Country of residence for tax purposes: Corporation / Insurance / Broker / Financial institution / Other No Yes, by: No Yes, by: (if applicable) (if applicable) Registered Address Address (no PO Box allowed): Country: Facsimile number Internet site Contact person for daily business Name address 3. INVESTING ON YOUR OWN BEHALF If investing on your own behalf, please tick the following box: 4. INVESTING ON BEHALF OF A THIRD PARTY If investing behalf of a third party, please tick the following box: If investing on behalf of a third party, you are required to complete an Intermediary Certificate declaring that you are permitted to undertake this. A form in respect of the Intermediary Certificate will be forwarded to you on request. 3/7

4 5. VALUATION DAY (TRADE DATE) Please indicate the valuation day you would like to apply to your investment: / / Note: Acceptance of applications received after the cut-off time of 3:00pm CET of the requested valuation day will be deferred until the next valuation day. 6. DIVIDENDS Dividends, if declared, will be automatically accumulated and will be reflected in the price of the relevant sub fund. 7. THE PAYMENT OF INVESTMENTS Currency EUR GBP USD Bank Name Bank of America N.A. Bank of America N.A. Bank of America N.A. Branch An der Welle 5, D Frankfurt am Main, Germany 5 Canada Square, London E14 5AQ, UK 100, 33rd Street West, New York, USA Account Name Liontrust Intl Funds (Lux) SICAV Liontrust Intl Funds (Lux) SICAV Liontrust Intl Funds (Lux) SICAV Domestic Receipts Bank code BACS: CHAPS: ABA: CHIPS: 959 Account number International Receipts SWIFT BOFADEFX BOFAGB22 BOFAUS3N IBAN DE GB61BOFA Account number Reference Liontrust Credit Absolute Return Fund The normal currency of payment for shares will be the currency of the relevant class of subscription as indicated in Section 1 above. A subscriber may, however, with the agreement of the Registrar and Transfer Agent, effect payment to the company in another class currency. The Registrar and Transfer Agent will arrange for any necessary currency transaction to convert the subscription monies from the currency of receipt into the currency of the relevant class of subscription as indicated in Section 1 above. Any such currency transaction will be effected at the subscriber's cost and risk. Currency exchange transactions may delay any issue of shares since the Registrar and Transfer Agent may choose in its discretion to delay the execution of any foreign exchange transaction until cleared funds have been received by it. 8. THE SUBSCRIPTION PAYMENT WILL BE TRANSFERRED FROM BANK The subscription payment MUST come from a Bank account in the name of the registered shareholder(s) account only. The subscription payment should be made within 3 business days after the relevant trade date. Bank Name Bank Address BIC / SWIFT Account Name Account Number 4/7

5 9. INDICATE REDEMPTION PAYMENT INSTRUCTIONS Please note that all payments will be made in the name of the registered shareholder only, no third party payment will be effected. Any omission to complete these details for redemption requests could result in late or non-payment of redemption proceeds. Beneficiary Bank Name Beneficiary Bank Address Beneficiary Bank Code details (BIC) Beneficiary Bank account name Beneficiary Bank account number Currency of the account Correspondent Bank name Correspondent Bank Address Correspondent Bank Code details (BIC) Correspondent Bank account name Correspondent Bank account number For Further Credit (FFC is optional) Payment Type Reference MT103 MT202 Liontrust Credit Absolute Return Fund 10. IDENTIFICATION FOR INDIVIDUAL INVESTORS* Originals or certified copies of all the following documents in or translated into English, German or French must be attached to this Subscription Form. All translations or copies are to be certified in English, German or French as a true translation or copy by one of the following competent Authorities: Embassy, Consulate, Solicitor, Licensed Lawyer, Notary (empowered Public Authority) or FATF bank. The certification must show the official stamp of the competent Authority, the persons name and signature, date and their position. A certified true copy of an official identification card or passport; or, A certified true copy of a current driver s license; or, A certified true copy of any equivalent legal identification document. Please note that the valid identification document must feature a photograph, date of birth, signature and full name of the applicant. If a retail investor is investing on behalf of a third party, the following additional documentation is required: Attached Statements of Economic Beneficiary Ownership to be completed and signed by the economic beneficiary (one to be completed and signed by each subscriber; one to be completed and signed by the economic beneficiary). 5/7

6 11. IDENTIFICATION FOR INSTITUTIONAL INVESTORS* Originals or certified copies of all the following documents in, or translated into English, German or French must be attached to this Subscription Form. All translations or copies are to be certified in English, German or French as a true translation or copy by one of the following competent Authorities: Embassy, Consulate, Solicitor, Licensed Lawyer, Notary (empowered Public Authority) or FATF bank. The certification must show the official stamp of the competent Authority, the person s name and signature, date and where possible their position. A. You are a regulated and/or listed entity in an FATF/EU/EEA country OR covered by a comfort letter from a regulated mother company in a FATF country Original application form completed and signed Original or certified true comfort letter Authorised signatories and signature specimen list s stating who will operate the account, on company letterhead and dated as being not more than one year old Proof of regulation by a competent national supervisory authority or proof of listing on a recognised Stock Exchange B. You are a non-regulated and non-listed entity* Original application form completed and signed Certificate or / and Articles of Incorporation with the seal of the regulatory body Company by-laws/ Statutes Extract of Commercial Register or Certificate of Incorporation Latest annual audited report or financial statements describing the nature & purpose of the business entity Board resolution listing the authorised signatory (ies) to make investments on your behalf Authorised signatories and signature specimen list s authorising the distributing and / or investing in the fund and dated as being not more than one year old List of Company Representatives/Board of Directors and their IDs (as a minimum Ids of authorised signatories) List of shareholders and IDs of those owning more than 25% of the shareholders capital A and B: If investing on behalf of a Third Party, the following additional documentation is required* Procedure on Know Your Customer and Anti-Money Laundering in distributing the shares of the fund If investing on behalf of a third party, you are required to complete an Intermediary Certificate declaring that you are permitted to undertake this investment. A form in respect of an Intermediary Certificate will be forwarded to you on request. *Please note that the Company and/or its appointed Transfer Agent (State Street Bank Luxembourg S.A.) reserve the right to ask for supplementary identification documents upon receipt of this application form. 12. PROTECTION AGAINST MONEY LAUNDERING Pursuant to the Luxembourg legal framework on countering money laundering and the financing of terrorism, the central administration of the Company and/or its appointed Transfer Agent (State Street Bank Luxembourg S.A.) may inquire for more details concerning the financial institutions from which the transfer payments are to be made. If such financial institution is not based in a Financial Action Task Force ( FATF ) / Groupe d Action Financière ( GAFI ) country, the central administration of the Company and its service providers may also ask you for complementary documents (duly certified by the local authorities of your country of residence) in order to verify the facts listed in this application form. If you are not able to provide the required details or other necessary documents, the central administration of the Company may refuse the subscription. 6/7

7 13. DECLARATION The Undersigned declare(s) that he/she/they is/are aware that: Subscriptions received by the Company on the valuation date no later than the cut-off time stated in the prospectus shall be dealt at the Subscription price calculated for that same day and issued on the next day. This application is a contract which will be legally binding when it is signed and the sums paid to the Fund are received. Correspondence should be sent to our correspondence address noted above unless otherwise notified by us in writing from time to time. If the subscription is not for the benefit of the named shareowner of the account, State Street Bank Luxembourg S.A. needs to be provided with the necessary Know Your Customer documentation for the Economic Beneficiary. The Company may delegate the processing of the Personal Data to one or several entities (the "Processors") which are located in the European Union (such as the Administrative Agent, the Registrar and Transfer Agent and the Principal Distributor). The investor agrees that Personal Data may be disclosed to any member of the Company and/or State Street group of companies and their affiliates, including external consultants as well as companies based in countries where the data protection laws might not exist or be of a lower standard than in the EU or when required by any law or regulation (Luxembourg or otherwise. 14. SIGNATURES The Undersigned declare(s) that he/she/they is/are duly authorised to sign this application form and that he/she/they has/have received a copy of the Prospectus (and where relevant a current Annual or Semi-Annual Report) which he/she/they accept(s) in full. He/she/they further declare(s) that all information contained in this application form is accurate to the best of their knowledge and belief. TITLE NAME (In capital letters) SIGNATURE 1) 2) 3) 4) Date Location 7/7