Close Asset Management (UK) Limited X Share Class Unit Trust/OEIC & ISA Application Form This share class is available to investment advisers providing fee-based advice to underlying investors, distribution partners and to direct investors. This share class does not pay commission. This form may be used for investment in any of the different funds listed below: Close Discretionary Funds Range: Close Bond Income Portfolio Close Diversified Income Portfolio Close Conservative Portfolio Close Specialist Funds Range: Close FTSE techmark Fund Close Strategic Alpha Fund Close OLIM UK Equity Income Fund Close Balanced Portfolio Fund Close Growth Portfolio Fund Close Managed Diversified Income Fund Close Managed Conservative Fund Close Managed Balanced Fund Close Managed Growth Fund Close Tactical Select Passive Conservative Fund Close Tactical Select Passive Balanced Fund Close Tactical Select Passive Growth Fund Close Brothers Asset Management is a trading name of Close Asset Management (UK) Limited, the manager of these funds. Before investing: You may obtain a copy of the current Key Investor Information Document and/or the most recent Annual or Interim report and accounts from Close Asset Management (UK) Limited on our website www.closebrothersam.com If you need advice on whether this investment is suitable for you consult your professional financial adviser or contact our Close Brothers Advisers on 08442 640 705. Our Financial Planning Service can give you more details regarding both our full range of funds and a wide range of third party funds. They will also discuss the suitability of each of these options for you based on your personal circumstances and attitude to risk. Please remember that the value of investments can go down as well as up and you may get back less than invested. How do I invest in a Fund? To make an investment either: a) Telephone your order to our dealers on 0870 606 6402 (calls to this number will be recorded); b) Visit our website www.closebrothersam.com/funds and print, complete and post an application form along with a cheque made payable to Close Asset Management (UK) Limitedto Close Brothers Asset Management, BNY Mellon House, Ingrave House, Brentwood, Essex, CM15 8TG. If your cheque is drawn on a building society account, please make the cheque payable to: Close Asset Management (UK) Limited Reference [Insert Your Name] ; 1
Please complete in BLOCK capitals using black ink. Please note any sections that are not completed correctly may incur delays or may have to be returned to you. 1. Applicant 1 - Main Account Holder Title Mr Mrs Miss Ms Other Date of birth D D / M M / Y Y First name(s) in full Surname Nationality Marital status Permanent residential address ( care of and PO Box are not acceptable). Only UK mainland and Northern Ireland addresses are acceptable. Telephone number Email address Postcode: National Insurance number (not applicable to Trustees) Please note that ISA applications cannot be held as a Trustee account 2. Applicant 2 - (if applicable) NB - If the joint Holder also wishes to apply for an ISA, please complete a separate form. Title Mr Mrs Miss Ms Other Date of birth D D / M M / Y Y First name(s) in full Surname Nationality Marital status Permanent residential address ( care of and PO Box are not acceptable). Only UK mainland and Northern Ireland addresses are acceptable. Telephone number Email address Postcode: National Insurance number (not applicable to Trustees) 3. Amount of subscription Single investment amount Please note that, for ISA applications, you cannot invest more than the current annual ISA limit. Please tick the appropriate method of payment: Cheque BACS Direct Debit Cheques should be made payable to Close Asset Management (UK) Limited. BACS payments to: Sort Code: 16-04-00, Account Number: 20008832, Account Name: Close Asset Management (UK) Ltd. If you are paying your single contribution by Direct Debit, please fill out the attached mandate. Please allow up to 15 working days from receipt of your confirmation schedule for collection of your contribution. 2
We do not accept third party payments. Cheques and direct credit transfers should be issued from your personal or joint bank account. If an application is accompanied by a bankers draft or building society cheque, please ensure the bank or building society enters your name and address on the reverse of the cheque/draft and adds their stamp and signature. Regular investment amount Please note that, for ISA applications, you cannot invest more than the current annual ISA limit in total. Payment start date D D / M M / Y Y Frequency Monthly Quarterly Half Yearly Yearly If you are paying your regular instalments by direct debit, please fill out the attached mandate. Please allow up to 15 working days from receipt of your confirmation schedule before the first regular instalment is collected. For ISA Applications Approximate cash transfer from existing ISA Plan Manager. Approximate re-registration amount from existing ISA Plan Manager. Please complete Section 10 (ISA transfer in schedule) Please complete Section 10 (ISA transfer in schedule) 4. Fund choice Please tick the fund(s) in which you wish to invest and indicate the amount(s) you wish to invest. Your investment will be into the X share class, either Accumulation or Income where applicable. Please note for an ISA application, you should indicate your amount to invest in the columns below the shaded blue headings. Accumulation Income Close Discretionary Funds (Please tick the appropriate box(es) below) Unit Trust/OEIC Application Lump sum amount Minimum 1,000 Regular monthly savings Minimum 250 ISA Application Lump sum amount Minimum 1,000 Regular monthly savings Minimum 100 Bond Income Portfolio Fund Diversified Income Portfolio Fund Conservative Portfolio Fund Balanced Portfolio Fund Growth Portfolio Fund Managed Diversified Income Fund Managed Conservative Fund Managed Balanced Fund Managed Growth Fund Tactical Select Passive Conservative Fund Tactical Select Passive Balanced Fund Tactical Select Passive Growth Fund Accumulation Income Close Specialist Funds (Please tick the appropriate box(es) below) Lump sum amount Minimum 1,000 Regular monthly savings Minimum 250 Lump sum amount Minimum 1,000 Regular monthly savings Minimum 100 FTSE techmark Fund Close Strategic Alpha Fund Close OLIM UK Equity Income Fund Regular Savings In order to open your Monthly Savings Plan you MUST COMPLETE the Direct Debit Mandate (supplied) to allow us to automatically deduct the amount you have decided to save from your bank / buildings society account. Please note that the first instalment must be by cheque. It should be drawn on the same UK bank or building society account from which the monthly savings direct debits are made. Please make your cheque payable to Close Asset Management (UK) Limited. 3
5. Income please indicate where you would like your dividends to be paid by ticking the appropriate box Dividend re-investment options (income units only) Re-invest dividends Pay dividends to my nominated bank account Pay dividends to my Close Cash Account Pay dividends to my Product Cash Account 6. Payment and withdrawal details Bank details Name of account holder Account number/building society number Bank or building society name and address Branch sort code Postcode 7. Notes If you have any additional information which is relevant to your investment, please give details in the box below. 8. Reporting Agent s stamp and signature We confirm that we have verified the client(s) for money laundering purposes in line with the UK Money Laundering Regulations and JMLSG Guidance. Furthermore, we confirm that the client(s) has/have been verified via documentary evidence and that the client(s) is / are applying on their own behalf. Agent s Stamp (to be completed by agent if appropriate) FCA reference number Data Protection Your personal details will be held by or on behalf of Close Asset Management (UK) Limited in accordance with current data protection law for the purposes of carrying out our agreement with you. This may include: transferring such information to other members of the Close Brothers Group and to other businesses (in both cases including offices based in countries having different standards of protection for personal information outside the European Union) where each transfer is necessary for the provision of services in relation to any Close Brothers Group product or service; providing you with information about other products and services. By signing this form, you agree that you may be sent information about the Close Brothers Group other products and services. If you do not wish to give this consent please tick this box. We will keep confidential all information acquired in the course of providing products and services to you unless: such information is in the public domain; we are required to disclose such information by law or by regulatory or tax authorities (including disclosing information to HMRC which then may be transferred to the government of another territory in accordance with any international information sharing agreement); or you consent to the disclosure. 4
9. ISA transfer in schedule investment funds Close Brothers Asset Management investment options - please tick the appropriate box or complete details where necessary. Date of original Name of transferring ISA plan subscription manager (If not known write NK) Type of plan being transferred from outgoing manager Is the transfer in cash or in specie? Fund(s) to be invested in Unit type Fund range to be invested in Is the Approximate transfer? value of transfer 07/05/2003 ABC ISA Managers 3 3 3 3 3 3 25,000 Key to abbreviations: BI = Bond Income DI = Diversified Income Co = Conservative B = Balanced G = Growth M = Managed P = Portfolio TS = Tactical Select External investment options - please tick the appropriate box or complete details where necessary. Date of original Name of transferring ISA plan subscription manager (If not known write NK) Type of plan being transferred from outgoing manager Is the transfer in cash or in specie? Fund(s) to be invested in Unit type Sedol number Is the Approximate transfer? value of transfer Cash Stocks and Shares Cash In Specie Fund name INC ACC Cash Stocks and Shares Cash In Specie Fund name INC ACC Cash Stocks and Shares Cash In Specie Fund name INC ACC Cash Stocks and Shares Cash In Specie Fund name INC ACC 5
Close Brothers Asset Management BNY 10. Declaration Mellon House and signature for Unit Trust/OEIC applications Ingrave House Declaration Brentwood to be completed by all applicants. Essex This CM15 is our 8TGstandard client application form for the Unit Trust / OEIC funds upon which we intend to rely. For your own benefit and protection you should read these terms carefully before signing them. If you do not understand any point please ask for further d in black information. Please ink. complete this form in BLOCK CAPITALS and in black ink. irect Debit. I Instruction declare that: to your bank or building society to pay by Direct Debit. account detailed Please To the in pay this best Close instruction of my Asset knowledge Management subject to and the belief, (UK) safeguards the Limited information assured from the I provide account is detailed true and in correct this instruction and I will subject notify Close to the Asset safeguards Management assured(uk) y remain with Direct Limited Close Debit Asset of Guarantee. any Management changes; I understand (UK) Limited that this and, instruction if so, details may will remain with Close Asset Management (UK) Limited and, if so, details will and building be I societies passed understand electronically may the not risk accept of to investments my Direct bank/building Debit and instructions this society. investment for Banks some represents and building a small societies percentage may not of accept my total Direct assets; Debit instructions for some types of accounts. I wish to invest the sum shown in Units in the Fund(s); I am over 18 years of age; Service Name(s) User of account Number holder third parties are not accepted Service User Number I am not a US person or investing on behalf of a US person; 916307 Close Asset Management (UK) Limited and its administrators are authorised 916307 to use the information provided by me for the purposes of verifying my identity in accordance with the Money Laundering Regulations, including using a licensed reference agency; Reference Bank/building society account number Reference I have read the information contained in this form and the Fund prospectus and request Close Asset Management (UK) Limited to act in accordance with my instructions; A copy of the Key Investor Information Document has been supplied to or made available to me and I acknowledge I have read it; Branch I understand sort code that this application is made on the basis of the full Prospectus, a copy of which has been made available to me; I confirm that I have read the Prospectus; including the provisions in relation to Close Asset Management (UK) Limited s use of the Delivery versus Payment exemption from the requirement to treat client money as client money in accordance with the FCA y Name Handbook full of postal Rules address and Guidance. of your bank I hereby or building consent society to Close Asset Management (UK) Limited making use of the Delivery versus Payment exemption as set out in the relevant section of the Prospectus. I am aware that in the event that Close Asset Management To: (UK) TheLimited Manager becomes insolvent or otherwise fails, there is a risk of loss or delay in the return of any money held by Close Asset Instructions Management to your (UK) bank Limited or building that is society not treated as client money as a result Instructions of Close to Asset your bank Management or building (UK) society Limited s use of the Please Delivery pay Close versus Asset Payment Management exemption. (UK) Limited There would Direct Debits also be from no the guarantee Please that pay all Close or any Asset of the Management money would (UK) be Limited returned Direct to Debits me. from the account detailed in this Instruction subject to the safeguards assured by account detailed in this Instruction subject to the safeguards assured by the I Direct understand Debit Guarantee. that as required I understand by the that Money this instruction Laundering may Regulations remain the I may Direct be Debit asked Guarantee. to provide I understand evidence of that identity this instruction and that may the remain failure with to provide such evidence within a reasonable time will lead to the sale of any Units purchased and the return of my proceeds (which Postcode Close Asset Management (UK) Limited and, if so, details will be may be less than the original investment amount). passed electronically to my bank/building society. with Close Asset Management (UK) Limited and, if so, details will be passed electronically to my bank/building society. Print name (in BLOCK CAPITALS) Print name (in BLOCK CAPITALS) Y Signature Applicant 1 Main account holder Date D D / M M / Date D D / M M / Y Y Signature Applicant 2 Date D D / M M / Date D D / M M / Y Y Please retain this guarantee for your records. The Direct Debit Guarantee ties that accept This instructions guarantee to is pay offered by Direct by all Debit. banks and building societies that accept instructions to pay by Direct Debit. y of your Direct If Debit, there are Close any Asset changes Management to the amount, (UK) Limited date or frequency will notify of your Direct Debit, Close Asset Management (UK) Limited will notify debited or as otherwise you 10 business agreed. days If you in request advance Close of your Asset account Management being debited or as otherwise agreed. If you request Close Asset Management ount and the date (UK) will Limited be given to collect to you aat payment, the time confirmation of the request. of the amount and the date will be given to you at the time of the request. Close Asset Management If error is made (UK) Limited in the payment or your bank of your or Direct building Debit society, by Close Asset Management (UK) Limited or your bank or building society, ount paid from your are bank entitled or building to a full society. and immediate refund of the amount paid from your bank or building society. ay it back when If you Close receive Asset amanagement refund you are (UK) not Limited entitled asks to, you you must to. pay it back when Close Asset Management (UK) Limited asks you to. tacting your bank You or can building cancel society. a Direct Written Debit confirmation any time by may simply be required. contacting your bank or building society. Written confirmation may be required. Please notify us. 8 8 6
BNY Mellon House Ingrave House Brentwood Essex 11. Declaration and signature for ISA Application - Applicant 1 CM15 8TG I apply to subscribe for a stocks and shares ISA for the tax year I apply to Close Asset Management (UK) Limited to operate the ISA. Please complete this form in BLOCK CAPITALS and in black I confirm ink. that I have read and agreed to the ISA Terms and Conditions, contained in the General Terms and Conditions of Instruction to your bank or building society to pay by Direct Debit. and declare that: which this application forms part and I request that any subscription Please pay Close Asset Management (UK) Limited from the account detailed be invested this as instruction detailed in subject this form, to the or as safeguards directed from assured time to time. All Direct subscriptions Debit Guarantee. made, and I understand to be made, that belong this instruction to me; may remain with Close Asset Management (UK) Limited and, if so, details will I declare that the information in this application form is correct to the be passed electronically to my bank/building society. Banks and building societies may not accept Direct Debit instructions for some I am 18 years of age or over; best of my knowledge and belief: types of accounts. I have not subscribed, and will not subscribe, more than the I am willing for the Company, and anyone authorised by the overall subscription limit in total to a Cash ISA and a Stocks and Name(s) of account holder third parties are not accepted Service Company User to Number call on me by telephone, visit, or otherwise Shares ISA in the same tax year; communicate on with me at all reasonable times for the I have not subscribed, and will not subscribe, to another Stocks 916307 purposes of or in connection with the Service or other services and Shares ISA in the same tax year that I subscribe to this offered by the Company or an associate; Bank/building Stocks and Shares society ISA account and; number Reference I have read the risk warnings set out in the Terms and Conditions and Key Features Document or Key Investor Information Document. I am resident in the United Kingdom for tax purposes or, if not so resident, either perform duties which, by virtue of Section 28 of Income Tax (Earnings & Pensions) Act 2003 (crown Branch sort code employees serving overseas), are treated as being performed in the United Kingdom, or I am married to or in a civil partnership with, a person who performs such duties. Name I will and inform full Close postal Asset address Management of your bank (UK) or Limited building if society I cease to be so resident or to perform such duties or be married to, or in a To: civil Thepartnership Manager with, a person who performs such duties. I authorise Close Asset Management (UK) Limited: To hold my cash subscription, ISA investments, interest, dividends and any other rights or proceeds in respect of those Postcode investments and any other cash; To make on my behalf any claims to relief from tax in respect of Print ISA investments; name (in BLOCK CAPITALS) On my request to transfer or pay to me, as the case may be, ISA investments, interest, dividends, rights or other proceeds in respect of such investments or any cash. If you wish to opt out of the Close online service, please tick the box This service is provided in accordance with our Terms and Conditions that we intend to rely on. For your own benefit, and protection, you should read these terms carefully before signing them. If you do not understand any point please ask for further information. Instructions to your bank or building society Please pay Close Asset Management (UK) Limited Direct Debits from the Close account Brothers detailed Asset in this Management Instruction subject will to hold, the process safeguards and assured protect by your the Direct personal Debit information Guarantee. I in understand the course that of this our instruction business and may remain services, with Close as Asset previously Management notified (UK) to Limited you in your and, Terms if so, details and Conditions. will be Please passed refer electronically to these to Terms my bank/building and Conditions society. for further information. By signing this form you consent to us the use of your personal information Print name as set (in out BLOCK in this CAPITALS) statement. In order to confirm these declarations and authorisations and to accept these terms and to clarify that certain powers are being conferred on the Company, please sign below. Print Signature name (in BLOCK CAPITALS) Date D D / M M / Y Y Signature Date D D / M Date D D / M M / Y Y Please retain this guarantee for your records. The Direct Debit Guarantee This guarantee is offered by all banks and building societies that accept instructions to pay by Direct Debit. If there are any changes to the amount, date or frequency of your Direct Debit, Close Asset Management (UK) Limited will notify you 10 business days in advance of your account being debited or as otherwise agreed. If you request Close Asset Management (UK) Limited to collect a payment, confirmation of the amount and the 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 Close Asset Management (UK) 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 Close Asset Management (UK) 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 notify us. 8 Close Brothers Asset Management is a trading name of Close Asset Management Limited (Registered number: 01644127) and Close Asset Management (UK) Limited (Registered number: 02998803). Both companies are part of Close Brothers Group plc, are registered in England and Wales and are authorised and regulated by the Financial Conduct Authority. Registered office: 10 Crown Place, London EC2A 4FT. VAT registration number: 245 5013 86. CBAM1086 X Class Share Application form (BNY) 05.02.16. EXP 31.01.17 7
Close Brothers Asset Management BNY Mellon House Ingrave House Brentwood Essex CM15 8TG Please complete this form in BLOCK CAPITALS and in black ink. Instruction to your bank or building society to pay by Direct Debit. Please pay Close Asset Management (UK) Limited from the account detailed in this instruction subject to the safeguards assured Direct Debit Guarantee. I understand that this instruction may remain with Close Asset Management (UK) Limited and, if so, details will be passed electronically to my bank/building society. Banks and building societies may not accept Direct Debit instructions for some types of accounts. Name(s) of account holder third parties are not accepted Bank/building society account number Service User Number 916307 Reference Branch sort code Name and full postal address of your bank or building society To: The Manager Postcode Print name (in BLOCK CAPITALS) Instructions to your bank or building society Please pay Close Asset Management (UK) 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 Close Asset Management (UK) Limited and, if so, details will be passed electronically to my bank/building society. Print name (in BLOCK CAPITALS) Signature Signature Date D D / M M / Y Y Date D D / M M / Y Y Please retain this guarantee for your records. The Direct Debit Guarantee This guarantee is offered by all banks and building societies that accept instructions to pay by Direct Debit. If there are any changes to the amount, date or frequency of your Direct Debit, Close Asset Management (UK) Limited will notify you 10 business days in advance of your account being debited or as otherwise agreed. If you request Close Asset Management (UK) Limited to collect a payment, confirmation of the amount and the 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 Close Asset Management (UK) 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 Close Asset Management (UK) 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 notify us. 8
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