OEIC Application Form Please read the relevant Key Investor Information Document (KIID) and Supplementary Information Document before completing this application form. The Architas Open-Ended Investment Companies are not open to residents of the USA. This form can be used for regular investments, lump sum investments and additional investments into the Architas Open- Ended Investment Companies. If there is more than one shareholder, we will use the first shareholder s address when we write to you. Please send your completed application form to: Architas, PO Box 10939, Chelmsford, CM99 2XU, United Kingdom. Please tick here if this application is a confirmation of a deal made over the telephone. To help us process your application accurately please complete this form clearly using BLOCK CAPITALS and in BLACK INK. Please tick here to confirm you have read the Key Investor Information Document* for the Fund in which you wish to invest. Please tick if advice has not been received. We will assume advice has been given if left unticked. 1. About the investor(s) in whose name(s) the shares will be held Title (Mr/Mrs/Miss/Ms/Other): Male Female Designation: 1 Address: 2 Contact telephone number: Contact email address: 2 Date of birth: Nationality: 3 Tax residency 4 If you are making an investment in your name on behalf of another person such that the investment is being held under trust, please complete the Entity Self-Certification form and where relevant ensure that the appropriate Controlling Persons Self-Certification form(s) is (are) completed. These forms are available at www.architas-mm.com If you are making an investment in your name, please indicate all countries in which you are resident for tax purposes and the associated Tax Reference Numbers in the table below. If you are a US citizen or resident in the US for tax purposes, please include United States in this table along with your US Tax Identification Number. Country/Countries of Tax Residency If you are not resident in any country for tax purposes, please tick this box Tax Reference Number (Or National Insurance Number if resident in the UK) Do you already have an OEIC or ISA with us? Yes No n 1 If this application is made on behalf of a child, the holding must be registered in the name of an adult but designated on behalf of the child. Please put the child s initials in the designation box. 2 Please state your permanent residential address. You must also include your postcode. These funds are not available to a US Person (as defined in the Full Prospectus which is available free of charge on request). 3 Note this is not a mandatory field. 4 Tax Regulations require us to collect information about each investor s tax residency. In certain circumstances (including if we do not receive a valid self-certification from you) we may be obliged to share information on your account with HMRC. If you have any questions about your tax residency, please contact your tax advisor. Should any information provided change in the future, please ensure you advise us of the changes promptly. * Available from www.architas-mm.com, your Financial Adviser or directly from the contact details on the back page of this document. If so please quote your customer number: 1.
1. About the investor(s) in whose name(s) the shares will be held...continued... Title (Mr/Mrs/Miss/Ms/Other): Male Female Designation: 1 Address: 2 Contact telephone number: Contact email address: 2 Date of birth: Nationality: 3 Tax residency 4 If you are making an investment in your name on behalf of another person such that the investment is being held under trust, please complete the Entity Self-Certification form and where relevant ensure that the appropriate Controlling Persons Self-Certification form(s) is (are) completed. These forms are available at www.architas-mm.com If you are making an investment in your name, please indicate all countries in which you are resident for tax purposes and the associated Tax Reference Numbers in the table below. If you are a US citizen or resident in the US for tax purposes, please include United States in this table along with your US Tax Identification Number. Country/Countries of Tax Residency Tax Reference Number (Or National Insurance Number if resident in the UK) 1 If this application is made on behalf of a child, the holding must be registered in the name of an adult but designated on behalf of the child. Please put the child s initials in the designation box. 2 Please state your permanent residential address. You must also include your postcode. These funds are not available to a US Person (as defined in the Full Prospectus which is available free of charge on request). 3 Note this is not a mandatory field. 4 Tax Regulations require us to collect information about each investor s tax residency. In certain circumstances (including if we do not receive a valid self-certification from you) we may be obliged to share information on your account with HMRC. If you have any questions about your tax residency, please contact your tax advisor. Should any information provided change in the future, please ensure you advise us of the changes promptly. If you are not resident in any country for tax purposes, please tick this box n Do you already have an OEIC or ISA with us? Yes No If so please quote your customer number: 2.
2. Information about beneficial owners This section is to be used to provide Architas with details of Beneficial Owners when you are making an investment in your name on behalf of another person. Architas may refuse your application if beneficial owner details are not provided or are incomplete. Will any person other than those named in section 1 exercise beneficial ownership* or control of the investment? No - please go to section 3. Yes - please provide details below: Although Architas does not recognise ownership title of any persons other than the legally registered shareholder(s), UK Money Laundering legislation requires Architas to obtain details of individuals who ultimately own or control the investment or on whose behalf the investment is being made. Please provide details below. For applicants acting as Trustee(s) or (similar), please provide details of all Settlors (even if deceased), any further trustees or others that have any control over the management of the trust or arrangement, and any named individuals or classes that have a potential entitlement to 25% or more of the property of the trust assets (even where discretion exists). * Beneficial ownership refers to the interest held by a beneficial owner which is defined as either owning or controlling more than 25% of body corporates or partnerships (or at least 25% of trusts) or otherwise owning or controlling the customer Please give the full name(s) of all beneficial owners. Beneficial owner 1 Beneficial owner 2 (if applicable) Mr: Mrs: Miss: Ms: Other: Mr: Mrs: Miss: Ms: Other: Permanent residential address: Permanent residential address: *e.g. Trustee, Settlor, beneficiary, other. Date of birth: Capacity* Date of birth: Capacity* Beneficial owner 3 (if applicable) Beneficial owner 4 (if applicable) Mr: Mrs: Miss: Ms: Other: Mr: Mrs: Miss: Ms: Other: Permanent residential address: Permanent residential address: Date of birth: Capacity* Date of birth: Capacity* If there are more than four beneficial owners falling under the definition above, please provide detalis on a separate sheet. 3.
3. Your Investment Before completing this section, please refer to the relevant KIID and Supplementary Information Document or speak to your Financial Adviser. 4. Payments to you 6 Name of bank/building society: Branch: Address: Building society ref: Account holder s name: Account number: Acc shares (Share class R) Sort code: - - Lump sum 4 Regular 5 Income shares (Share class R) Architas MA Passive Prudent Fund Architas MA Passive Reserve Fund n/a Architas MA Passive Moderate Fund Architas MA Passive Intermediate Fund n/a Architas MA Passive Progressive Fund n/a Architas MA Passive Growth Fund n/a Architas MA Passive Dynamic Fund n/a Architas MA Blended Reserve Fund** Architas MA Blended Moderate Fund Architas MA Blended Intermediate Fund n/a Architas MA Blended Progressive Fund n/a Architas MA Blended Growth Fund n/a Architas MA Active Reserve Fund** Architas MA Active Moderate Income Fund** Architas MA Active Intermediate Income Fund Architas MA Active Progressive Fund Architas MA Active Growth Fund Architas MA Active Dynamic Fund n/a Architas MM Strategic Bond Fund** n/a Architas MM Monthly High Income Fund** Architas MM UK Equity Fund n/a Architas Liquidity Fund ** Architas Multi-Manager Diversified Protector 70 n/a Architas Multi-Manager Diversified Protector 80 n/a Architas Multi-Manager Diversified Protector 85 n/a Architas BirthStar Target Date 2015-20 n/a Architas BirthStar Target Date 2021-25 n/a Architas BirthStar Target Date 2026-30 n/a Architas BirthStar Target Date 2031-35 n/a Architas BirthStar Target Date 2036-40 n/a Architas BirthStar Target Date 2041-45 n/a Architas BirthStar Target Date 2046-50 n/a Acc shares (Share class D) Income shares (Share class D) Architas Diversified Real Asset Fund Acc shares (Share class A) Income shares (Share class A) Architas Diversified Global Income Fund Total Acc Shares (Share class R) Acc Shares (Share class D) Acc Shares (Share class A) If you are making a LUMP SUM INVESTMENT you must send us a cheque. Please make your cheque payable to Architas Multi-Manager Limited. The cheque should clearly show that it is drawn on the account in the name of the person making this application. If you send a building society cheque, please ensure the cheque shows your name as the account holder. If you have chosen to invest in INCOME SHARES please complete the bank Details in section 4 below. If you have chosen to make REGULAR INVESTMENTS please complete the Direct Debit Instruction attached. Direct Debits will be collected on the 1st of each month, or the next business day. 4 Lump sum investments (Share Class R) The minimum lump sum investment is 500. The minimum investment into a single fund is 500. The minimum additional investment is 500. 5 Regular investments (Share Class R) The minimum regular investment is 50 per fund. The minimum increase to an existing regular investment is 10. Only accumulation shares are available for regular investments. If you would like to invest in other share classes of these funds, please contact us using the details at the end of this document. ** Gross interest share classes are available. Please complete the separate gross interest share class declaration of eligibility form which is available from www.architas-mm.com, your Financial Adviser or directly from the contact details on the back page of this document. 6 These details are used for any payments to you, including withdrawals. In the event that you do not complete this section payments to you may be delayed 4.
5. Declaration (all shareholders must sign and date this section) I/We apply to buy shares as shown in Section 3 based on the price at the next valuation point after receipt of my/our instructions. I/We declare that I am/we are over 18 years of age. I/We confirm that I am/we are not a US Person (as defined in the Full Prospectus which is available free of charge on request) and am/are not acquiring shares in the fund(s) on behalf of, or for the benefit of, a US Person, nor do I/we intend to transfer any shares which I/we may purchase to any US Person. I/We acknowledge that my/our money may be held for up to one business day in Architas bank account as outlined within the your money section of the Supplementary Information Document. I/We declare that the named holders are the beneficial owner(s) of this investment. If you are not the beneficial owner(s) of this investment i.e. this investment has been registered in your name(s) on behalf of someone else, please tick this box n and make sure you complete section 2 of this Application form. Architas reserves the right to reject or delay your request to purchase shares. I/We acknowledge that the application for shares is subject to all applicable laws and regulations, verification of my/our identity and Architas approval. I/We authorise Architas and its third party providers to carry out electronic identification checks. I/We acknowledge that it is my/our responsibility to inform Architas of any changes in any personal information provided to Architas. I/We confirm that I/We will provide Architas with information about my/our tax residence upon request at any time (including when I /We no longer hold the shares). This may include information about the identity and tax residence of individuals associated with the holder of the shares where the shares are not held by an individual. I/We acknowledge that Architas may also be required to disclose this information and other personal data to the tax authority(ies) of which I am/we are tax resident or HMRC, and otherwise co-operate with formal requests from such tax authority(ies). I/We acknowledge that, to the extent allowed by law and FCA rules, Architas does not accept liabilty to me/us or any other person entitled to benefit from holding the shares for any loss that may be incurred as a result of my/our failure to provide Architas with information or providing incorrect information. I/We acknowledge that any benefits payable in respect of holding the shares will be subject to applicable law and regulations. Use of your information I/We declare that we are not resident in the United States of America. Architas is part of the AXA UK Group and together we will hold and use personal information supplied by you to set up and administer your investment policy. We may send your information in confidence for processing to other companies in the AXA group (and companies acting on our instructions, introducers or intermediaries) including those outside of the European Economic Area. By signing this form you consent to the use of your personal data. We would like to use your contact details and share them with other AXA group companies (or other carefully selected companies) to enable us and them to send you information about other products and services. You may be contacted by post, telephone or email. If you do not wish us to do this please tick the box shown beneath your signature. Otherwise we will assume that you are happy for us to contact you in this way for the time being. You may change your mind at any time by writing to Architas, PO Box 10939, Chelmsford, CM99 2XU, United Kingdom. As part of AXA s commitment to quality service, telephone calls may be recorded. Financial Crime (verifying your identity to prevent Fraud & Money Laundering) To verify your identity and prevent financial crime we may use and share your information with any company within the AXA Group, with companies who work for us and with appropriate organisations. We may also search, send your details to, and use information from third party verification service providers and financial crime and credit reference agencies (Third Parties). This involves checking your details against databases these Third Parties use. AXA Group and these Third Parties may keep a record of the search, the results of the search, any suspicions of financial crime and the details may be used to assist other companies for verification and identification purposes. The search is not a credit check and your credit rating should be unaffected. By applying for this investment you are giving consent to these activities which will make it easier for you to do business with us and help prevent financial crime. For more information please write to the Money Laundering Reporting Officer at Architas, PO Box 10939, Chelmsford, CM99 2XU, United Kingdom. First shareholder s signature n Please tick this box if you do not wish us to send you information about other products and services. Second shareholder s signature n Please tick this box if you do not wish us to send you information about other products and services. Third shareholder s signature n Please tick this box if you do not wish us to send you information about other products and services. Fourth shareholder s signature n Please tick this box if you do not wish us to send you information about other products and services. A copy of this application form, the Supplementary Information Document, the most up to date copies of the KIID, report and accounts and the current Prospectus of all the funds offered in the Architas Multi-Manager range of funds are available free of charge from the address below. Please send your completed application form to: Architas, PO Box 10939, Chelmsford, CM99 2XU, United Kingdom. 5.
6. Adviser details Agency number: Adviser name: Company name: Company address/ network name and address: FCA regulatory number:* Other UK/EU regulatory number:* *delete as applicable. Name: 7. Checklist Tick the box to indicate that you have: n Ticked the box on the first page to indicate you have reviewed the Key Investor Information Document (KIID). n Completed Section 4. Payments to you if you are applying for Income Shares. n Completed Section 5. Declaration including signature. n Enclosed a cheque made payable to Architas Multi-Manager Limited for a lump sum investment or completed the Direct Debit Instruction for Regular Investments. If you are making an investment in your name on behalf of another person such that the investment is being held under trust. n I have completed or will arrange for the completion and return of the Entity Self-Certification Form and where relevant the appropriate Controlling Persons Self-Certification form(s) within 90 days of the date of this Application Form. Office use only Marketing code 6.
Architas OEIC Application Form Direct Debit instruction- for monthly investment only Instruction to your Bank or Building Society to pay by Direct Debit Architas Multi-Manager Limited PO Box 10939 Chelmsford CM99 2XU Please fill in the form using a ball point pen and return it with your completed application form. Name and full postal address of your Bank or Building Society To the Manager Bank/Building Society Address Service user Number 2 9 0 4 0 1 Reference Name(s) of Account Holder(s) Postcode Bank/Building Society account number Instruction to your Bank or Building Society Please pay Architas Multi-Manager Limited Direct Debits from the account detailed in this instruction subject to the safeguards assured by the Direct Debit Guarantee. I understand that this instruction may remain with Architas Multi-Manager Limited and, if so, details will be passed electronically to my Bank/Building Society. Signature(s) Branch Sort Code Date Banks and Building Societies may not accept Direct Debit Instructions for some types of account. This guarantee should be detached and retained by the Payer. The Direct Debit Guarantee This Guarantee is offered by all banks and building societies that accept instructions to pay Direct Debits. If there are any changes to the amount, date or frequency of your Direct Debit, Architas Multi-Manager Limited will notify you 14 working days in advance of your account being debited or as otherwise agreed. If you request Architas Multi-Manager Limited to collect a payment, confirmation of the amount and date will be given to you at the time of the request. If an error is made in the payment of your Direct Debit, by Architas Multi-Manager Limited or your bank or building society you are entitled to a full and immediate refund of the amount paid from your bank or building society. - If you receive a refund you are not entitled to, you must pay it back when Architas Multi-Manager Limited asks you to. You can cancel a Direct Debit at any time by simply contacting your bank or building society. Written confirmation may be required. Please also notify us. 7.
Need help? If you have any queries or would like further information, please contact your Financial Adviser. Alternatively, you may like to contact us directly. Customer Services 0800 953 0197* Address Architas PO Box 10939 Chelmsford CM99 2XU Website www.architas-mm.com * Monday to Friday 9.00am-5.30pm. As part of our commitment to quality service and security, telephone calls may be recorded. Calls are free from landlines and mobiles within the UK. Architas Multi-Manager Limited Architas Multi-Manager Limited is a company limited by shares and authorised and regulated by the Financial Conduct Authority. It is registered in England: No.06458717, Registered Office: 5 Old Broad Street, London, EC2N 1AD. As part of our commitment to quality service and security, telephone calls may be recorded. ARC5030_0815 8.