FundZone Data Capture Form

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When we mention ‘Standard Life’, we mean ‘Standard Life Savings Limited’. If you need any help completing this form, please contact us on 0345 279 2002. (Call charges will vary)

FZMF30D 1215

FundZone Data Capture Form

with Declaration Notice

Online new business

Who this form is for

This form is for financial advisers to gather details to submit online new business on FundZone.

Filling in this form

• Gather all the details required to submit your client’s application. • Ensure your client has checked the data that is captured on this form.

• Use the Declaration Notice section that makes up the last part of this document to capture the signature(s) required for the online application.

• Send the completed Declaration Notice to Standard Life together with the cheque (if applicable). Only send the cheque once the application has been submitted.

• Do not return the Data Capture section of this form to Standard Life. A schedule confirming all the data that has been submitted to Standard Life will be issued directly to your client.

Please use BLOCK CAPITALS to fill in this form. Do not use correction fluid if you make a mistake. If you need to correct a mistake, please initial any changes you make.

A copy of this completed application form is available on request.

Adviser details (if applicable)

Important – we use this code to pay adviser charges. Please ensure you have completed this box. Adviser Code

Adviser to complete Client Type New Existing

Existing account number (if

applicable) S P

Part 1 – Your investment choice

Stocks & Shares ISA Buy Transfer

Investment Funds Buy Transfer

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Please provide your National Insurance Number. If you do not have one please put a cross in the box to declare this.

Please cross ‘Yes’ if you would like your client to be able to view their products on FundZone. They will be sent a user ID and password. Please obtain your client’s permanent address, care of addresses are not acceptable.

Tax residency information You should speak to your adviser if you need more information about why we need to ask these questions. You can enter up to five countries. If you are tax resident in more than five countries please photocopy this page.

Part 2 – Client details

First applicant

Title (Mr/Mrs/Miss/Ms/ Other eg Dr/Rev) Male Female Surname First name(s) in full Date of birth

(DD/MM/YYYY) UK Resident? Yes No

National

Insurance no. I do not have a National Insurance Number

Permanent UK residential address House number

Street

City/Town County Postcode

Telephone (include area dialling code) Home

Work Mobile Email address

@

Client access _Yes _No

If you are a Court Deputy, you don’t need to answer the following question.

Where are you tax resident? Please provide the relevant Taxpayer Identification Number (TIN). For example, in the UK it will be your National Insurance Number:

Country TIN

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Please provide your National Insurance Number. If you do not have one please put a cross in the box to declare this.

Please cross ‘Yes’ if you would like your client to be able to view their products on FundZone. They will be sent a user ID and password. Please obtain your client’s permanent address, care of addresses are not acceptable.

Tax residency information You should speak to your adviser if you need more information about why we need to ask these questions.

Part 2 – Client details (continued)

Second applicant

Title (Mr/Mrs/Miss/Ms/ Other eg Dr/Rev) Male Female Surname First name(s) in full Date of birth

(DD/MM/YYYY) UK Resident Yes No

National

Insurance no. I do not have a National Insurance Number

Permanent UK residential address House number

Street

Telephone (include area dialling code) Home

Work Mobile Email address

@

Client access _Yes _No

If you are a Court Deputy, you don’t need to answer the following question.

Where are you tax resident? Please provide the relevant Taxpayer Identification Number (TIN). For example, in the UK it will be your National Insurance Number:

Country TIN

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Important:

Your client will need to complete a separate letter of authority for each transfer request. This will be generated by the Platform or you can access this from www.adviserzone.com

Current Manager Name

Surname

First name(s) in full

Current Manager Address Building number

Street

Current Manager’s Contact Telephone Number (including STD) Number

Part 3 – Transfer investment details

Product Type _ISA _{Investment Funds}

Transfer Type _Cash _{Re‑Registration} _Split

Estimated

total value £

.

Split Transfer

Units £

.

Cash

Tax Year _Current _Previous

Subscriptions

this tax year £

.

As at (DD/MM/YYYY)

Account Number

(with current investment manager)

Fund CitiCode Fund name Number of units

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Important:

Current Manager Name

Surname

Street

Part 3 – Transfer investment details (continued)

Estimated

total value £

.

Split Transfer

Units £

.

Cash

Subscriptions

this tax year £

.

As at (DD/MM/YYYY)

Account Number

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Important:

Current Manager Name

Surname

Street

Part 3 – Transfer investment details (continued)

Estimated

total value £

.

Split Transfer

Units £

.

Cash

Subscriptions

this tax year £

.

As at (DD/MM/YYYY)

Account Number

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Important:

Current Manager Name

Surname

Street

Part 3 – Transfer investment details (continued)

Estimated

total value £

.

( Please select a start date between the 1st and 28th of the month).

Frequency _Monthly _Quarterly _{Half‑Yearly} _Yearly

Please note that if you do not select a frequency, a default of ‘Monthly’ will be selected for you.

Fund CitiCode Fund name Single

Investment £units

Regular Investment £ or %

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Important:

Please note that the fund CitiCode and the full fund name must be included on this form, as shown in the example opposite, in order for us to process your application.

A European Union directive requires fund managers to produce a Key Investor Information Document (KIID) for most funds. This document sets out key information about the fund including the objectives and risks of the fund, what it invests in and its charges. It is important that you read the KIID before selecting the fund.

Cheques should be made payable to ‘Standard Life Savings Limited’ and must be drawn from the client(s) personal account.

For Banker’s Drafts or Building Society cheques, please ensure the Bank or Building Society has printed the client(s) name on the cheque to confirm the source of funds. The minimum single investment amount is £500 and the minimum regular amount is £50.

Regular payments will be set up monthly and taken on the same day as your regular payment or the 1st of every month unless you have indicated otherwise.

Part 5 – Supermarket Cash account – also used to pay charges

Regular

payments Single payment

How much do you want to invest in the Supermarket Cash account? £ £

It is important that you put enough money in the Supermarket Cash account to pay any product charges and adviser charges you want paid from it. We suggest keeping enough money in the Supermarket Cash account to cover 12 months of charges.

Part 4 – New payments (continued)

Investment amounts and the details of the payments.

Product Type ISA Investment Funds

Single

investment £

.

Cheque Direct Debit BACS/CHAPS

Regular

investment £

.

Direct Debit Start date

(DD/MM/YYYY)

( Please select a start date between the 1st and 28th of the month).

Frequency _Monthly _Quarterly _{Half‑Yearly} _Yearly

Please note that if you do not select a frequency, a default of ‘Monthly’ will be selected for you.

Fund CitiCode Fund name Single

Investment £units

Regular Investment £ or %

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We call this a ‘Regular Initial Adviser Charge’.

Please note, depending on the amount and frequency you elect, the amount of the Adviser Charge actually paid may be slightly lower due to rounding.

Part 6a – Adviser Charge for regular payments

Complete this section if you will be making regular payments to your plan and have agreed a charge for advice with your adviser.

%

Part 6 – How you want to pay your adviser

Please tell us what you want to pay from your account to your financial adviser. We will use the information you provide in this section to pay your financial adviser. By signing the declaration in Part 11 of this form, you are:

• agreeing to the payment of the Adviser Charges documented in Parts 6a, 6b or 6c, and • authorising Standard Life to accept all future instructions from your adviser for payment

of Adviser Charges that you have agreed to pay them from your product. You do not need to complete the information in Parts 6a, 6b or 6c if: • your financial adviser is billing you directly for their services, or • your financial adviser is not charging you for their services. If either of these options apply, cross this box and then go to Part 7. Important note – ISA allowance

Adviser Charges are deducted from the Supermarket Cash account and therefore do not impact your ISA Allowance. Please complete Part 5 ‘Supermarket Cash account’ to deposit your money.

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We call this an ‘Ongoing Adviser Charge’.

An income share class is one which pays an income from dividends and distributions from the fund. These can be paid to your nominated account, or can be reinvested, to purchase more units in the fund. If you choose to receive an income, please ensure that you have completed Part 12.

Part 6c – Ongoing Adviser Charge

Complete this section if you have agreed to pay your adviser for ongoing advice. The Ongoing Adviser Charge can either be a set amount or a percentage of your product. 1. Set amount

£

.

every month £

.

every year

Have you chosen to invest in Income Units? _Yes _No

If you have chosen to invest in income units, the distribution income can be reinvested to buy more of the units in the fund from which the income was received.

Please cross this box to instruct us to reinvest your income to buy more units in the same fund.

Alternatively, you can elect for this income to be paid to your nominated account. In this case, we can either pay all income automatically as soon as it is received or pay distribution income only once it has reached a minimum payment amount.

You can also choose how often to take this income.

If you wish to be paid the full distribution income as soon as it is received, please indicate the minimum payment amount as £0.00

Minimum payment amount £

.

How often do you want income to be paid? _Monthly _Quarterly _{Half‑yearly} _Yearly Please leave frequency blank if you would like a payment to be made when your minimum payment amount is reached.

Alternatively, you can elect for this income to remain in your Investment Funds cash account or to be transferred to the Supermarket Cash account. If you wish to do this, you must contact us on 0345 279 2002. Otherwise, the distribution income will be automatically reinvested for you to buy more units.

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Any withdrawal amount out of your investment will be made to the nominated bank account you have given in Part 12 of the application. If no bank details have been provided in this application, you will need to provide us with the details of your own personal nominated account prior to making any withdrawals.

Part 8 – Regular withdrawal facility

Complete this section if you want to make a regular withdrawal from your investment. If you wish to withdraw a fixed amount please indicate how much

you want each amount to be. For example, if you want to withdraw £100 each month (£1,200 per year) cross the monthly box and write £1 00 in the amount box.

£

.

OR

If you wish to withdraw a percentage of the current value of your holding, indicate the annual percentage amount. For example, if you want to withdraw 6% per year paid at quarterly intervals, cross the quarterly box and write 6% in the percentage box.

Note, the percentage you specify will be a percentage of the value of your investment when the withdrawal is made, which could be different from your initial investment.

%

.

Start Date (DD/MM/YYYY) Please indicate the date you would like payments to start from

(Please select a start date between the 1st and 28th of the month). Important –

This date must be no sooner than 30 days after you made your investment. Please ensure you have completed Part 12.

Please indicate how often you wish to

make withdrawals Monthly Quarterly Half‑yearly Yearly

Please note that if you do not select a frequency, a default of ‘Monthly’ will be selected for you Please indicate where you wish to make withdrawals from:

Withdrawal to be taken from Supermarket Cash account Withdrawal to be taken across Investment Funds

Withdrawal to be taken across specific funds within the product

Please indicate which funds you wish to make your withdrawals from. You can choose to withdraw a monetary amount, or a percentage of the fund.

Fund

Citicode Fund name Amount £ Percentage %

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Part 9 to be completed by the adviser.

Important – the adviser must send in a verification of identity form along with this application to ensure no delays are encountered when carrying out future transactions on this account.

Part 9 − Advice given and name of regulated firm

(only applicable if you have a financial adviser)

If you have not given advice in respect of this investment, please cross here. Otherwise we will assume that advice has been given.

Basis of Sale _{Whole of Market} _Other If other please specify Adviser FCA or Authorisation Number Name of regulated firm

Address of regulated firm Building number Street City/Town County Postcode Intermediary Reference Number

We may need to contact you (the Business Writer) about this application, please provide your contact details below:

Name of Business Writer Contact Number Email address

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All parties named on this form have a right to know that Standard Life holds personal data about them and what purposes it will be used for. Please give them an opportunity to read this notice.

Part 10 – Important notes for applicants

1. Money Laundering

To comply with Money Laundering Regulations, we may verify your identity, by carrying out an online check with a reference agency. Where an online check is carried out, the agency will verify your identity against public records and it will also check whether you have a credit history (but it will not disclose any information about your actual borrowings). The agency will add a note to show that an identity check was made to your credit file, but this information will not be available to any third parties. If the online check does not confirm your identity, we will carry out a manual check and we may need to contact you for further information. We regret we cannot offer any alternative process.

Acceptance of this application is subject to satisfactory completion of identity verification checks within 30 days of the application date.

2. Data Protection Notice – important, please read

All parties named on this form have a right to know that Standard Life holds personal data about them and the purposes for which it will be used. Please give them an opportunity to read this notice.

Standard Life Savings Ltd will collect personal information about you in order to consider the application and, if the application is successful, to provide our services to you and manage our relationship and Standard Life’s business and services. If the application does not proceed, the information may be held on our records for up to seven years before it is deleted.

The information collected may be disclosed to other Standard Life group companies

(Standard Life plc and its subsidiaries), to professional advisers, to third party service providers and, where appropriate and lawful to do so, to other organisations.

Your information may be held or disclosed in countries outside the European Economic Area which may not have the same standard of data protection laws. Where this occurs, we will take appropriate steps to adequately protect it.

We and the other Standard Life group companies would like to contact you from time to time to keep you up‑to‑date with special offers, new products and services, newsletters and other promotions. We will never pass your details to companies that are not subsidiaries of Standard Life group for marketing purposes.

If you do not want to be kept informed, please cross this box.

We would prefer to contact you electronically. Please cross this box if you want to be contacted this way.

If you would like to request a copy of the personal data we hold about you, please write to the Data Protection Co‑ordinator at Standard Life House, 30 Lothian Road, Edinburgh, EH1 2DH. We may charge a fee for providing the information.

Declaration Notice

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Please note that the payment remittance is printed from the platform.

Part 11 – Declaration Notice

Important

This Declaration Notice section is to be used to capture the signature(s) required for the online application.

Please ensure that the following pages are completed and signed by your client(s), and returned to Standard Life (together with the completed Direct Debit mandate and/or payment remittance and cheque).

We must receive signed confirmation from your client(s) that they have read and understood the details of the Declaration Notice before the plan can be put in force.

Application Details – to be completed by the financial adviser

When you enter the application data online you will be given an SP number (eg. SP1234567). Please write this number here:

S P

Important Note. This number is required to match the declaration with the data submitted online. Not completing this section could result in a delay to the plan being put in force.

Applicant’s Declaration and Consent for ISA Investments

I have read through the completed Data Capture form and confirm the information contained in it is complete and correct.

My financial adviser has my authority to submit the information contained in the Data capture form to Standard Life on my behalf through adviserzone.

I understand that once this information has been submitted to Standard Life a confirmation schedule will be issued to me by Standard Life. I also understand that I will have a period of 14 days from the date of Standard Life posting the confirmation schedule to check the information contained in it is correct. I will advise Standard Life of any errors or omissions within the confirmation schedule within 14 days otherwise it will be deemed to be correct.

I understand that this application may be rejected if my financial adviser has not entered a valid SP number as required.

I declare that:

• All subscriptions made belong to me;

• I understand that I can access the Key Investor Information Documents (KIIDs) for my chosen funds (where available) from the standardlife.co.uk website or by calling Standard Life • I am 18 years of age or over;

• I am resident in the UK for tax purposes or, if not so resident, I am a Crown employee serving overseas and perform duties that are treated as being performed in the UK or I am married to, or in a civil partnership with, a person who performs such duties. I will inform Standard Life if I cease to be so resident or perform such duties or be married to, in a civil partnership with such a person performing these duties.

• I understand that Standard Life Savings Limited can accept no responsibility for any losses incurred as a result of a delay in the submission of this application; and

• I agree to my financial adviser receiving the adviser charge(s) described in Part 6 and authorise Standard Life to accept all future instructions from my adviser to pay the charges that I have agreed with my adviser.

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Please note that only one signature is required for an ISA application.

Part 11 – Declaration Notice (continued)

Applicants’ Declaration and Consent for Investment Funds

I/we have read through the completed Data Capture form and confirm the information contained in it is complete and correct.

My/our financial adviser has my/our authority to submit the information contained in the Data Capture form to Standard Life on my/our behalf through adviserzone.

I/we understand that once this information has been submitted to Standard Life a confirmation schedule will be issued by Standard Life to the first applicant. I/we also understand that the first applicant will have a period of 14 days from the date of Standard Life posting the confirmation schedule to check the information contained in it is correct. The first applicant will advise

Standard Life of any errors or omissions within the confirmation schedule within 14 days otherwise it will be deemed to be correct.

I/we understand that this application may be rejected if my/our financial adviser has not entered a valid SP number as required.

I declare that:

• I am 18 years of age or over;

• I have read the Data Protection Notice and I agree that my personal data may be used for the purposes described (subject to me exercising my right not to be contacted with details of other products and services).

Before signing this Application Form, you should read the Key Features Document and Terms and Conditions carefully, as these are documents on which we will rely. You should also read the KIID or Fund Factsheet for your chosen fund or funds. If you have any questions, you should ask your financial adviser or contact the FundZone Customer Centre before signing.

This section must be completed by all applicants

I authorise you to carry out electronic identification checks if required.

My financial advisers (as detailed at Part 9 of the Data Capture Form) have my authority to notify you, on my behalf, of any switches in investment funds. My financial advisers also have my authority to notify you, on my behalf, of partial encashments of my investment, full encashment of my investment or to set up a regular withdrawal from my investment. The proceeds of these are to be paid into my nominated account. Any notification received from my financial advisers (whether online, over the telephone or in writing) should be acted on as if it had been direct instruction from me.

My financial advisers will continue to have this authority until I have notified you in writing that this authority has ended.

I declare that the information given is correct to the best of my knowledge and belief and that I will inform Standard Life Savings Limited of any change in the information given.

Person 1 Name Signature Date

(DD/MM/YYYY)

Please state the capacity in which you are signing if you are not the bond owner

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The bank details entered here will be your client’s nominated account. This must be your client’s own personal account. Any income, Direct Debit or payments in and out of your client’s investment will be made to/from this bank account.

Part 12 – Nominated Account Details For Regular Payments

Instruction to your Bank or Building Society

to pay by Direct Debit

Issued by: Standard Life Savings Limited, Standard Life House,

30 Lothian Road, Edinburgh EH1 2DH Please supply the following details:

Originator’s identification no. 9 0 1 2 1 1

For Standard Life official use only

This is not part of the Instruction to your Bank or Building Society.

The Manager Name of your Bank or Building Society branch

Full postal address of your Bank or Building Society branch Building number Street City/Town County Postcode Name(s) of Account‑holder(s) Bank or Building

Society Account No. Reference Number

Branch

Sort Code Building Society Roll Number

Please refer to the top right hand corner of your cheque book.

Your Instruction to the Bank/Building Society, and Signature

Please pay Standard Life 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 Standard Life and, if so, details will be passed electronically to my Bank/Building Society.

Signature Date (DD/MM/YYYY) Signature(s) Date (DD/MM/YYYY)

Banks and Building Societies may not accept Direct Debit Instructions for some types of account.

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