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ADVISED INVESTMENT FUNDS TO ISA APPLICATION FORM This form is to be used to apply for an Investment ISA with Cofunds. The ISA allowance for all investors is £20,000. Please complete this form and return it to: Cofunds Limited, PO Box 1103, Chelmsford, CM99 2XY (STOCKS AND SHARES) 2017/2018 The Terms and Conditions can be found at: www.cofunds.co.uk/advisedterms for new and existing clients Section 1 Client details 1A. New and existing client details Existing Cofunds Client Reference Title Mr Mrs 4 4 Ms 4 Miss 4 Other First and middle name(s) Surname FATCA 4 I confirm that I’m solely UK resident for tax purposes and not a US citizen If you can’t confirm and tick the box above, please download and complete the Individual Self-Certification Form from the Cofunds website. / Date of birth National Insurance Number / / Male / 4 Female I don’t have a National Insurance Number For existing Cofunds clients, we just need client reference, name, FATCA information and date of birth. i When completing date fields please use the usual DD/MM/YYYY format. i For existing Cofunds clients who have a new address, use this section to tell us. i If this section isn’t completed and you’ve provided a personal cheque for this application, we’ll use the bank account details from the cheque as your nominated bank account details on our records, if you do not already have one. i 4 4 1B. New client address details Permanent residential address Postcode Previous address If time at current address is less than two years Postcode 1C. Nominated bank account Complete this section to set up a new nominated bank account. We’ll use the details below to pay any future income/withdrawals to. Name of account holder Branch sort code Bank/Building Society account number Building Society roll number / / CLEAR FORM Investment Funds to ISA Application Form 1 Section 2 Funding the investment 2A. Third party details (please complete this section if the person funding all or part of this investment isn’t the applicant listed in Section 1) Existing Cofunds Client Reference (if applicable) Title Mr Mrs 4 4 Ms 4 Miss 4 Other First and middle name(s) If this section is completed then the third party must sign Section 3C and be verified in Section 5B i If you wish to sell from a designated holding please add the designation here. If no designation is added we will withdraw from your undesignated holding. i Surname Permanent residential address Postcode Relationship to applicant / Date of birth Section 3 / Withdrawal details Male 4 Female 4 (Investment Funds) 3A. What funds would you like to sell? If you don’t tell us how your investment(s) should be withdrawn, we’ll automatically withdraw proportionally across your funds. This will maintain your current fund percentage. Total cash amount to withdraw £ Designation (if applicable) Full fund manager name, fund name and share class (example) World Equity Z Fund Amount to be sold (only choose one option) Cash amount Continue monthly saving All % to be sold 4 % 4 Yes 4 No 4 % 4 Yes 4 No 4 % 4 Yes 4 No 4 % 4 Yes 4 No 4 % 4 Yes 4 No 4 % 4 Yes 4 No 4 % 4 Yes 4 No 4 % 4 Yes 4 No We can’t always guarantee the exact amount that your deal will realise. In these cases, we’ll sell the amount stated above, plus an additional 3% in units. This is to make sure we get the amount you require for your ISA, but this may lead to an excess balance. For more information about excess balances, please see Section 3B. If you’re already subscribing by monthly Direct Debit to the fund(s) that you have selected to sell, please specify whether you wish to continue subscribing to these fund(s). The withdrawal and investment selection will be actioned in the same tax year unless you tick this box (if you tick this box we will withdraw from the Investment Funds on the last business day in the current tax year, and buy into the next tax year ISA). 4 Please tick this box if you don’t want us to include an additional 3% 4 CLEAR FORM Investment Funds to ISA Application Form 2 Section 3 Withdrawal details (Investment Funds) – continued 3B. Excess balances (if applicable) Pay any excess balances into my Cofunds Cash Account (this will not form part of your ISA allowance) 4 If you don’t tick the box above, we’ll reinvest any excess balances into the highest value commission-free share class fund in your holding. The value of your Investment Funds holding may change by the time you complete this instruction and the deal being placed, which may result in an excess balance. i Third party/joint holder withdrawals - if you complete this section, we’ll pay any excess balances from third party/ joint holder withdrawals into that cash account. i If the holder of the Investment Funds is also the ISA applicant, please only complete Section 7. i 3C. Withdrawal authorisation I authorise Cofunds to withdraw on my behalf and reinvest into a current year Investment ISA as indicated in this form. I also authorise any adviser fees to be paid from the joint holder cash account (if applicable). First and middle name(s) If the Investment Funds that is funding the ISA is held jointly or by a third party, all parties must sign this section to authorise the withdrawal. Surname Primary holder signature / Date / If a third party is funding the ISA, please ensure Section 2A has been completed. First and middle name(s) Surname Joint holder signature / Date Section 4 / Investment details (Investment ISA) 4A. What funds would you like to invest in? For further details about the available funds, please refer to the Key Investor Information Documents (KIID) and/or Fund Key Features Document. Invest proportionally into the same funds, listed in Section 3A Total amount to invest 4 or I’ve included a separate list of funds with this form 4 or I’ve listed funds below 4 £ Amount to invest (only choose one option) Full fund manager name, fund name and share class (example) World Equity Z Fund Type of unit/share1 % to be invested Cash amount 4 ACC 4 INC % £ 4 ACC 4 INC % £ 4 ACC 4 INC % £ 4 ACC 4 INC % £ 4 ACC 4 INC % £ 4 ACC 4 INC % £ 4 ACC 4 INC % £ 4 ACC 4 INC % £ Cash Reserve (this will be included as part of your ISA allowance and not placed into your cash account) % £ TOTAL AMOUNT % £ ACC/INC: if you don’t specify ACC or INC in this column, and don’t complete Section 4B, Cofunds will invest into accumulation units/shares where available. 1 Investment Funds to ISA Application Form CLEAR FORM 3 Section 4 Investment details – continued 4B. Income options (please tick one of the following options) The option you choose will be applied to all income units/shares you hold within this product. Retain in fund (default) – reinvest any income back into the fund 4 Consolidated monthly income – pay any income to my bank account on a monthly basis 4 Cofunds Cash Account – pay any income into my Cofunds Cash Account 4 If you already hold income units/shares within this product and you don’t tick one of the boxes above, we’ll apply your existing income option. If you’re an existing client and are taking regular withdrawals from your Cofunds Cash Account you can’t choose consolidated monthly income. If you wish to change from regular withdrawal to consolidated monthly income, please use the Income Instruction Amendment Form. i If you don’t choose an option, we’ll apply your income option to all products you hold. i 4C. Product income options (please tick one of the following options) Choose which product you’d like your income option above to apply to. Investment Funds 4 Section 5 Investment ISA (PEP and ex Mini) 4 Both 4 Adviser details (for adviser use only) Cofunds Intermediary Authorisation Code (required) 5A. Segmentation Only complete this section if the client isn’t currently segmented or if you wish to change their segment. All clients trading through Cofunds must be assigned to a segment. Please enter the full name of the segment as known by Cofunds using BLOCK CAPITALS: 5B. Confirmation of Verification of Identity (CVI) I/We confirm that the names, addresses and dates of birth contained in this application for the client(s) and third party payer (if relevant) have been verified by me/us, and that the evidence I/we obtained: Meets the standard evidence in the Joint Money Laundering Steering Group guidance for the UK financial services sector 4 Exceeds the standard evidence - where the client is a Politically Exposed Person (written details of the further verification evidence taken are attached to this application) 4 I/We also confirm that (please tick as applicable): The sort code, bank account number and account name in Section 1C have been obtained and verified by me/us Signed Date 4 / / FCA Reference Number (Firm) Name Position Section 6 Adviser fee agreement (for adviser use only) One-off advice fee The fee will be deducted from your client’s Cofunds Cash Account. The fee will be paid from the same Platform Account Reference as this investment instruction. If your client would like their fee to be paid from a different account, please enter this below. Pay from Platform Account Reference A Percentage of fee VAT is applicable to % VAT amount £ Fee amount (monetary amount) £ Total amount £ Date of advice / To avoid duplication, please don’t enter this one-off fee on any other application form. i Fee calculation Cofunds will use the VAT rate that’s in place at the date of advice. i / CLEAR FORM Investment Funds to ISA Application Form 4 Section 7 Client declaration 7A. I declare that I am aged 18 years or over. The information contained in this application form is correct to the best of my knowledge and belief. The Terms and Conditions of the Cofunds Platform are the standard terms upon which Cofunds intends to rely, and it is important that I read and understand the terms before agreeing to be bound by them. If there is any term or point I do not understand or do not wish to be bound by, I understand that I can request further information before signing this application. All investment subscriptions made now and in the future belong to me. My signed application form (once accepted by Cofunds) together with the Terms and Conditions of the Cofunds Platform (Advised) form my Customer Agreement with Cofunds Limited. I am applying to subscribe to a stocks and shares ISA for the 2017/2018 tax year and each subsequent year until further notice. The commencement of my ISA may be delayed or rejected if this application form is not complete in all respects. I have not subscribed/made payments, and will not subscribe/make payments more than the overall subscription/payment limit in total to a cash ISA, a stocks and shares ISA, an innovative finance ISA, and a Lifetime ISA in the same tax year. I am entitled to cancel my application in accordance with the Investment ISA Key Features and that if I choose to cancel my application, my investment shall be subject to market movement during the period from the date when my application is processed to the date my investment is sold. I have received financial advice from a financial adviser in relation to this investment. I have not subscribed and will not subscribe to another stocks and shares ISA in the same tax year that I subscribe to this stocks and shares ISA. I am resident in the United Kingdom for tax purposes, or, either perform duties which, by virtue of Section 28 of Income Tax (Earnings & Pensions) Act 2003 (Crown 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. I will inform Cofunds Limited if I cease to be so resident or to perform such duties, or be married to or in a civil partnership with a person who performs such duties. 7B. I authorise Cofunds Limited to Hold my cash subscription, ISA investments, interest, dividends and any other rights or proceeds in respect of those investments and any other cash. Make on my behalf any claims to relief from tax in respect of my ISA investments. If required, undertake searches with a reference agency for the purposes of verifying my identity. To do so, I understand that the reference agency may check the details I supply against any particulars on any database (public or otherwise) to which they have access. They may also use my details in the future to assist other companies for verification purposes. I understand that a record of the search will be retained as an identity search. 7C. I confirm that I have viewed the Terms and Conditions of the Cofunds Platform (Advised) and by signing this application form I agree to be bound by them. I have viewed the relevant product Key Features and fund specific information and/or Key Investor Information Documents (KIIDs) relating to my investment. A copy of the KIIDs can be found via the following link: www.cofunds.co.uk/investorsreportsandaccounts 7D. I understand that There are fees (the Cofunds Platform Charges) for the use of Cofunds services. I authorise Cofunds to collect these fees from my Cofunds Cash Account. If there is insufficient money in my account, I authorise Cofunds to sell enough of my platform assets to pay these fees in accordance with the ‘Our charges’ section of the Terms and Conditions of the Cofunds Platform (Advised). Signed 7E. Fund Sale Instruction I confirm that my adviser has explained to me whether a Fund Sale Instruction applies to the segment linked to my investment. If so, I accept and agree that funds will be sold to settle any outstanding fees and charges which have accrued prior to this date and all fees and charges payable hereafter. I understand and accept that this may result in commission-included share class funds being sold to cover the fees and charges. 7F. Adviser fee agreement (applicable if Section 6 is completed) I confirm that I have received my Fees and Charges Schedule and understand the fees and charges that are applicable to my investment. I instruct Cofunds to pay my adviser the agreed one-off fee as specified in Section 6. For Powers of Attorney more than one signature may be required. By signing this I agree that my adviser has explained the attributes of the one-off fee to me, and agree to pay my adviser fees from my Cofunds Cash Account. 7G. Notes If you require a Fund prospectus, please contact your adviser or Fund Manager directly. If you wish to attend/vote at unit holder or shareholder meetings, please tick this box 4 If you wish to download reports and accounts, you can do so at: www.cofunds.co.uk/investorsreportsandaccounts If you wish to receive paper copies of reports and accounts, product Key Features, other fund-specific information and/or KIIDs, please write to us at: Cofunds Limited, PO Box 1103, Chelmsford, CM99 2XY. If you wish to pay your adviser by another means then Section 6 shouldn’t be completed. Date / / CLEAR FORM Issued and approved by Cofunds Limited, Level 43, The Leadenhall Building, 122 Leadenhall Street, London, EC3V 4AB. Registered in England and Wales No. 3965289. Authorised and regulated by the Financial Conduct Authority (FCA) under FCA Registration No. 194734. Investment Funds to ISA Application Form CA17AUB 07/17 5