Selected Margetts Unit Trusts · Private Client Application Form Margetts Providence Strategy Fund The objective of the Margetts Providence Strategy Fund is to provide a balance of

Selected Margetts Unit Trusts

Private Client Application Form

Margetts Providence Strategy Fund

The objective of the Margetts Providence Strategy Fund is to provide a balance of long term (more than 5 years) capital growth and increasing income (measured by annual monetary distribution per unit).

Margetts Opes Income Fund

To provide a total return to the investor through income distributions and capital growth over the medium and

longer term. This will be achieved through a diversified portfolio of collective investments in equity, equity

linked and fixed interest securities, or money market funds from anywhere around the world but expected to

be predominantly UK funds. The Manager will be able to select any economic sector in any geographic area

at any given time.

Margetts Opes Growth Fund

To provide a total return to the investor on a medium risk basis over the medium to longer term. This will be

achieved through an actively managed spread of collective investment schemes investing predominantly in

equity, equity linked and fixed interest investments in various world markets.

Margetts Venture Strategy Fund

The objective of the Margetts Venture Strategy Fund is to provide long term (more than 5 years) capital growth through a portfolio of regulated collective investment schemes, that focuses on shares in high growth geographical areas.

Full details of the aims and objectives can be found in the full prospectus which is available from the

Manager.

www.margetts.com Vat No. (GB) 795 0415 16

Registered in England No. 4158249

Authorised and regulated by the Financial Conduct Authority

HEAD OFFICE 1 SOVEREIGN COURT GRAHAM STREET BIRMINGHAM B1 3JR TELEPHONE: 0121 236 2380 FACSIMILE: 0121 236 2330

DEALING & REGISTRATION PO BOX 17067 BIRMINGHAM

B2 2HL

TELEPHONE: 0345 607 6808 FACSIMILE: 0121 236 8990

M A R G E T T S F U N D M A N A G E M E N T L T D

Treating Customers Fairly (TCF)

POLICY STATEMENT

At Margetts we are committed to treating our customers fairly. If you

ever feel that any treatment you have received from Margetts has

been unfair, either prior to investing with Margetts, during the

period of investment, or after you have sold the investment, then

please let us know and we will investigate the matter fully.

Examples of unfair treatment may include:

Misleading marketing information

Unclear documentation (which may be difficult to read or to understand)

Lack of information (either prior to, during or after the period of investment)

Poor service

Investments not performing in the manner you were led to believe

Our full TCF policy is available on request or at

www.margetts.com

Margetts Fund Management Limited

This document contains important information to assist you in making an investment with Margetts Fund Management Ltd. It should be read in conjunction with the Key Investor Information (KII) Document. Please note that nothing in this document is intended as financial advice. Margetts Fund Management Ltd does not provide financial advice, therefore if you are in any doubt as to whether the Margetts Funds are suitable for you please contact an authorised and regulated financial adviser.

Margetts Fund Management Ltd (“Margetts”) is the Operator and Manager of a range of Authorised Unit Trust Schemes. These are diversified collective investment vehicles which pool assets to purchase a wide range of investments and form an underlying portfolio. The portfolio is divided into units which can then be bought and sold. Margetts Fund Management Ltd is authorised and regulated by the Financial Conduct Authority (“FCA”) under registration number 208565. Margetts Fund Management Ltd is also a recognised Plan Manager for Individual Savings Accounts (“ISAs”). Margetts’ registered address is 1 Sovereign Court, Graham Street, Birmingham B1 3JR. Further information is contained in the ACD Terms and Conditions available from www.margetts.com or on request from Margetts.

Margetts Risk Rated Unit Trusts

Each Margetts Fund is an Authorised Unit Trust Scheme which is a diversified collective investment vehicle, authorised by the FCA and established in the United Kingdom. The Margetts Funds are classified as non-UCITS retail schemes, each of which has a specific aim which determines the investments they will make.

Accounting Periods

The annual accounting period of the Company ends each year on 31 December (the accounting reference date). The interim accounting period of the Company ends each year on 30 June.

Income Allocations

Income units are available for the Margetts Opes Income Fund and the Margetts Providence Fund. The income units go ex-dividend on 31 December (interim) and 30 June (year end). Dividends will be paid to unitholders two months after these dates. The other Funds do not have an income unit class and therefore any income received within the Fund will be included in the unit price and accounted for at the year-end date. Although no income will be received it is possible that you will be liable for tax on income reinvested within the Fund.

Competent Authority

The Margetts Unit Trusts are authorised and regulated by the Financial Conduct Authority, 25 The North Colonnade, Canary Wharf, London E14 5HS.

Valuation Point

We value the Funds at 8.30am on each working day. Units are valued on a bid / offer basis, which is derived by using the mid-market prices to value the Fund’s portfolio and dividing by the total number of units in issue at each valuation point.

How will charges and expenses affect my investment?

The annual and interim Report and Accounts also provide information with regard to all charges incurred by the Funds.

There are three types of charges applied to the Funds.

Ongoing Charges Figure (OCF)

This includes the Annual Management Charge and additional fees for activities such as custody of assets, depositary services, audit fees and regulatory fees. Where underlying funds are held, the ongoing charges of these funds is also included within the quoted figure. Factsheets contain regularly updated OCF figures.

Annual Management Charge (AMC)

This is the fee taken for the management of the Fund. Margetts Fund Management Limited receives a significant share of the annual management charge in respect of its services as the Investment Manager.

Initial Charge

‘R’ units/share classes do not have an initial charge.

The OCF figures are based on reasonable estimates.

Legacy unit classes are not quoted as they are not open to retail clients - information available on request.

Fund Name OCF AMC Initial Charge As At

Margetts Providence Strategy Fund R Acc 1.22% 0.695% Zero 30/11/2019

Margetts Providence Strategy Fund R Inc 1.22% 0.695% Zero 30/11/2019

Margetts Opes Income Fund R Acc 1.60% 0.750% Zero 30/11/2019

Margetts Opes Income Fund R Inc 1.60% 0.750% Zero 30/11/2019

Margetts Opes Growth Fund R Acc 1.39% 0.750% Zero 30/11/2019

Margetts Venture Strategy Fund R Acc 1.32% 0.695% Zero 30/11/2019

Checklist

AML Documents / Certificate of Verification of Identity / “We know the client documents”

Payment (Cheque or confirmation a bank transfer is being made)

Adviser Charge Facilitation Consent Form (if needed)

Regular withdrawal - additional letter of instruction needed

If encashing from your Margetts non-ISA holdings to pay for an ISA - include a signed letter of instruction

Guide

Page 9 - Registration Page (must be completed)

Page 10 - Duplicate Registration page

Page 12 - Unit Trust/OEIC (joint or single) lump sum

Page 12 - Unit Trust/OEIC regular investment

Page 14 - ISA lump sum

Page 14 - ISA regular investment

Page 16 - ISA lump sum (duplicate)

Page 16 - ISA regular investment (duplicate)

Page 18 - ISA transfer form (duplicate if multiple copies are needed)

Checklist

AML Documents / Certificate of Verification of Identity / “We know the client” documents.

Payment - cheque or confirmation a bank transfer is being made.

Adviser Charge Facilitation Consent Form - if applicable.

Regular Withdrawal - additional letter of instruction required.

If encashing from Margetts non-ISA holdings to pay for an ISA investment - include a signed letter of instruction.

Guide

Page 5 Primary Applicant Registration Fomr

Page 6 Additional Application Registration Form

Page 7 General Investment Account (GIA)

Page 9 ISA Account

Page 10 Additional ISA Account

Page 11 Automatic ISA Account

Page 13 ISA Transfer Authority

Page 15 Additional ISA Transfer Authority

Page 17 Adviser Charge Facilitation Consent Form

Page 17 ISA transfer form (duplicate)

Primary Applicant Investor Registration Form

REQUIRED FOR ALL INVESTMENTS AND TOP-UPS (PRIVATE CLIENTS)

Account Number (existing investors)

Title Investor Name (print)

Address

City, Town

Post Code

Country

National Insurance Date of Birth

Town/City of Birth

Country of Birth

CRS Declaration of Tax Residency Please indicate all countries in which you are resident for tax purposes and the associated Taxpayer Identification Number(s) in the below. Please see the CRS Portal for more information on Tax Residency.

Note: Provision of a Tax Identification Number (TIN) is required unless you are tax resident in a jurisdiction that does not issue a TIN.

Country/Countries of Tax Residence

Tax ID Number (for Non-UK Residency)

FATCA Declaration of U.S. Citizenship or U.S. Residence for Tax Purposes

Please tick either (a) or (b) and complete as appropriate.

a) I confirm that I am not a U.S. citizen or resident in the U.S. for tax purposes.

b) I confirm that I am a U.S. citizen and/or resident in the U.S. for tax purposes and my U.S. federal taxpayer identifying number (U.S. TIN) is as follows:

Source of Wealth

(Bonus/Income/Property/Gift/Inheritance/Other)

Declaration and Undertakings

I declare that the information provided in this form is, to the best of my knowledge and belief, accurate and complete.

I acknowledge that the information contained in this form and information regarding myself may be reported to the tax authorities of the country in which

this account(s) is/are maintained and exchanged with tax authorities of another country or countries in which I may be tax resident where those countries

(or tax authorities in those countries) have entered into Agreements to exchange financial account information.

I undertake to advise Margetts Fund Management Ltd promptly and provide an updated self-certification form where any change in circumstances occurs

which causes any of the information contained in this form to be incorrect.

I agree to be bound by the Margetts Terms and Conditions and accept they may be varied at the Account Manager’s discretion. The application has been

completed to the best of my knowledge but should circumstances change I will inform Margetts immediately.

Please note that by signing this document you are confirming that you have read the Supplementary Information Document together with the most recently

issued Key Investor Information Document(s) (or non-UCITS Retail Scheme Key Investor Information Document(s)), relevant to the Fund(s) selected below.

Documentation is available on the Margetts website: www.margetts.com or by calling Margetts on 0121 236 2380.

This application when accepted by Margetts will constitute a binding contract and be evidenced by the issue of a contract note or allocation letter. No other

acknowledgement will be issued at the time of application and only in the event of a query will there be further communication.

Signature Date

Print Name Capacity

Return to:

Margetts Fund Management Ltd, 1 Sovereign Court, Graham Street, Birmingham, B1 3JR

Additional Applicant Investor Registration Form

REQUIRED FOR ALL INVESTMENTS AND TOP-UPS (PRIVATE CLIENTS)

Account Number (existing investors)

Title Investor Name (print)

Address

City, Town

Post Code

Country


Town/City of Birth

Country of Birth

CRS Declaration of Tax Residency Please indicate all countries in which you are resident for tax purposes and the associated Taxpayer Identification Number(s) in the below. Please see the CRS Portal for more information on Tax Residency.

Note: Provision of a Tax Identification Number (TIN) is required unless you are tax resident in a jurisdiction that does not issue a TIN.

Country/Countries of Tax Residence

Tax ID Number (for Non-UK Residency)

FATCA Declaration of U.S. Citizenship or U.S. Residence for Tax Purposes

Please tick either (a) or (b) and complete as appropriate.

a) I confirm that I am not a U.S. citizen or resident in the U.S. for tax purposes.

b) I confirm that I am a U.S. citizen and/or resident in the U.S. for tax purposes and my U.S. federal taxpayer identifying number (U.S. TIN) is as follows:

Source of Wealth

(Bonus/Income/Property/Gift/Inheritance/Other)

Declaration and Undertakings

I declare that the information provided in this form is, to the best of my knowledge and belief, accurate and complete.

I acknowledge that the information contained in this form and information regarding myself may be reported to the tax authorities of the country in which

this account(s) is/are maintained and exchanged with tax authorities of another country or countries in which I may be tax resident where those countries

(or tax authorities in those countries) have entered into Agreements to exchange financial account information.

I undertake to advise Margetts Fund Management Ltd promptly and provide an updated self-certification form where any change in circumstances occurs

which causes any of the information contained in this form to be incorrect.

I agree to be bound by the Margetts Terms and Conditions and accept they may be varied at the Account Manager’s discretion. The application has been

completed to the best of my knowledge but should circumstances change I will inform Margetts immediately.






Signature Date

Print Name Capacity

Return to:

Margetts Fund Management Ltd, 1 Sovereign Court, Graham Street, Birmingham, B1 3JR

General Investment Account (GIA) REQUIRED FOR ALL NON-ISA INVESTMENTS AND TOP-UPS (PRIVATE CLIENTS)

Account Number Designation

Lump Sum Payment

£ Regular

Payments £

Split across the below funds:

Accumulation Distribution Accumulation Distribution

Providence R % % % %

Opes Income R % % % %

Opes Growth R % %

Venture R % %

Cheques should be made from a bank account in the account holder’s own name and made payable to “Margetts Fund Management Ltd”.


issued Supplementary Information Document(s) (or non-UCITS Retail Scheme Key Investor Information Document(s)), relevant to the Fund(s) selected

below. Documentation is available on the Margetts website: www.margetts.com or by calling Margetts on 0121 236 2380.



Please also complete the Direct Debit Mandate below.

Regular Investment applications should be accompanied by a cheque for the first instalment as this allows time to ensure the Direct Debit is in place for

subsequent collections. When a cheque is supplied it will be invested on the day it is received. Direct Debit collections are made on the sixth day of each

month, or the first working day thereafter, and invested on the next valuation date. No interest will be paid in the interim.

Primary Holder Signature

Joint Holder Signature

Direct Debit Mandate - Service User Number 419985

Instruction to your Bank or Building Society: Please pay Margetts Fund Management Ltd 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 Margetts Fund Management Ltd and,

if so, details will be passed electronically to my Bank/Building Society.

The Direct Debit Guarantee This guarantee should be detached and retained by the Payer

• 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 Margetts Fund Management will notify you 10 working days in

advance of your account being debited or as otherwise agreed.

• If you request Margetts Fund Management Ltd 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 Margetts Fund Management Ltd 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 Margetts Fund Management Ltd 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.

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

Account Number

Sort Code

Bank Account Holder Name

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ISA Account REQUIRED FOR ALL ISA INVESTMENTS AND TOP-UPS (PRIVATE CLIENTS)

Account Number I apply to subscribe for the tax year: 19 / 20

I declare that: (i) all subscriptions made, and to be made, belong to me; (ii) I am 18 years of age or over; (iii) 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; (iv) 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, and; (v) 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 the 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 Margetts Fund Management Ltd 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. I will inform Margetts

Fund Management Ltd promptly of any change in circumstances which affects any of this information.

Lump Sum Payment

£ Regular

Payments £





Opes Growth R % %

Venture R % %


I authorise Margetts Fund Management Ltd: (i) to hold my cash subscription, ISA investments, interest, dividends and any other rights or proceeds in

respect of those investments; (ii) to make on my behalf any claims to relief from tax in respect of ISA investments; (iii) on my written request to transfer or

pay me, as the case may be, ISA investments, interest, dividends, rights or other proceeds in respect of such investments or any cash.

I agree to be bound by the Margetts ISA Terms and Conditions and accept they may be varied at the Account Manager’s discretion. The application has

been completed to the best of my knowledge but should circumstances change I will inform Margetts immediately.







Regular Investment Applications should be accompanied by a cheque for the first instalment as this allows time to ensure the Direct Debit is in place for



Account Holder Signature

Direct Debit Mandate Service User Number 419985 Instruction to your Bank or Building Society: Please pay Margetts Fund Management Ltd Direct Debits from the account detailed in this instruction





• If there are any changes to the amount, date or frequency of your Direct Debit Margetts Fund Management will notify you 10 working days in advance of your account being debited or as otherwise agreed.

• If you request Margetts Fund Management Ltd 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 Margetts Fund Management Ltd 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.


• You can cancel a Direct Debit at any time by contacting your bank or building society. Written confirmation may be required. Please also notify us.


Account Number

Sort Code


Ba

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eta

ils f

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Dis

trib

utio

ns a

nd

D

irect

Additional ISA Account REQUIRED FOR ALL ISA INVESTMENTS AND TOP-UPS (PRIVATE CLIENTS)

Account Number I apply to subscribe for the tax year: 19 / 20

I declare that: (i) all subscriptions made, and to be made, belong to me; (ii) I am 18 years of age or over; (iii) 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; (iv) 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, and; (v) 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 the 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 Margetts Fund Management Ltd 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. I will inform Margetts

Fund Management Ltd promptly of any change in circumstances which affects any of this information.

Lump Sum Payment

£ Regular

Payments £





Opes Growth R % %

Venture R % %


I authorise Margetts Fund Management Ltd: (i) to hold my cash subscription, ISA investments, interest, dividends and any other rights or proceeds in

respect of those investments; (ii) to make on my behalf any claims to relief from tax in respect of ISA investments; (iii) on my written request to transfer or

pay me, as the case may be, ISA investments, interest, dividends, rights or other proceeds in respect of such investments or any cash.

I agree to be bound by the Margetts ISA Terms and Conditions and accept they may be varied at the Account Manager’s discretion. The application has

been completed to the best of my knowledge but should circumstances change I will inform Margetts immediately.







Regular Investment Applications should be accompanied by a cheque for the first instalment as this allows time to ensure the Direct Debit is in place for



Account Holder Signature

Direct Debit Mandate Service User Number 419985 Instruction to your Bank or Building Society: Please pay Margetts Fund Management Ltd Direct Debits from the account detailed in this instruction





• If there are any changes to the amount, date or frequency of your Direct Debit Margetts Fund Management will notify you 10 working days in advance of your account being debited or as otherwise agreed.

• If you request Margetts Fund Management Ltd 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 Margetts Fund Management Ltd 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.


• You can cancel a Direct Debit at any time by contacting your bank or building society. Written confirmation may be required. Please also notify us.


Account Number

Sort Code


Ba

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Automatic ISA Account For Advised Clients

Investment Funded From Investment Made Into

GIA Account Number ISA Account Number

GIA Account Name ISA Account Name

GIA Designation Notes

Please automatically encash the full current year ISA allowance (or entire GIA value if my account holds less than the ISA allowance)

to fund my ISA each tax year. I understand that the encashment of my GIA product is a capital gains tax event.

The sale and purchase of units/shares should be placed proportionately in line with the GIA fund split on the day the deals are

processed.

Automatic ISA dealing months are April, July, October and January.

I understand that if I do not make a contribution into my ISA in a tax year using the Automatic ISA function that the agreement will

terminate.

I acknowledge the Automatic ISA function will remain in place unless terminated in writing.

It is my responsibility to comply with HMRC ISA rules.

I declare that: (i) all subscriptions made, and to be made, belong to me; (ii) I am 18 years of age or over; (iii) 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; (iv) 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, and; (v) 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 the

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 Margetts Fund

Management Ltd 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. I will inform Margetts Fund Management Ltd promptly of any change in circumstances which affects any of

this information.

I authorise Margetts Fund Management Ltd: (i) to hold my subscription, ISA investments, interest, dividends and any other

rights or proceeds in respect of those investments; (ii) to make on my behalf any claims to relief from tax in respect of ISA

investments; (iii) on my written request to transfer or pay me, as the case may be, ISA investments, interest, dividends, rights or other

proceeds in respect of such investments or any cash.

I agree to be bound by the Margetts ISA Terms and Conditions and accept they may be varied at the Account Manager’s discretion.

The application has been completed to the best of my knowledge but should circumstances change I will inform Margetts

immediately.

Please note that by signing this document you are confirming that you have read the Supplementary Information Document together with

the most recently issued Key Investor Information Document(s) (or non-UCITS Retail Scheme Key Investor Information Document(s)),

relevant to the Fund(s) selected below. Documentation is available on the Margetts website: www.margetts.com or by calling Margetts

on 0121 236 2380.

This application when accepted by Margetts will constitute a binding contract and be evidenced by the issue of a contract note or

allocation letter. No other acknowledgement will be issued at the time of application and only in the event of a query will there be further

communication.

Date

Joint Holder Signature

Client Signature

Agent Signature


ISA Transfer Authority This document will be sent to your existing ISA provider

Title Existing Account Number (if applicable)

Investor Name (print)

Address

City/Town

Post Code

Country


Margetts Fund Management Ltd will apply to your current provider(s) to transfer your ISA holdings to its management. Please indicate how you would like the ISA Transfer proceeds to be split across the funds once received:

Accumulation Distribution

Providence R % %

Opes Income R % %

Opes Growth R %

Venture R %

Application to the Current ISA Plan Manager For use if you wish to transfer existing ISA(s) to Margetts Fund Management Ltd

To: The Manager

ISA Plan Manager address including postcode:

Plan Type

ISA Plan Reference

I hereby authorise and instruct you:-

(1) to transfer forthwith my ISA Plan(s) in cash to Margetts Fund Management Ltd an approved Plan Manager with HMRC

(2) to provide Margetts Fund Management Ltd with all relevant information relating to my ISA Plan(s) as it may require

(3) to transfer my ISA in full unless stated otherwise

Please note that by signing this document you are confirming that you have read the Supplementary Information Document together with the most

recently issued Key Investor Information Document(s) (or non-UCITS Retail Scheme Key Investor Information Document(s)), relevant to the Fund(s)

selected above. Documentation is available on the Margetts website: www.margetts.com or by calling Margetts on 0121 236 2380.

IF NECESSARY, PHOTOCOPIES OF THIS PAGE ARE ACCEPTABLE ALL SIGNATURES MUST BE ORIGINAL

Signature

Account Number

Sort Code


Return to: Margetts Fund Management Ltd, 1 Sovereign Court, Graham Street, Birmingham, B1 3JR


Additional ISA Transfer Authority This document will be sent to your existing ISA provider

Title Existing Account Number (if applicable)

Investor Name (print)

Address

City/Town

Post Code

Country


Margetts Fund Management Ltd will apply to your current provider(s) to transfer your ISA holdings to its management. Please indicate how you would like the ISA Transfer proceeds to be split across the funds once received:

Accumulation Distribution

Providence R % %

Opes Income R % %

Opes Growth R %

Venture R %

Application to the Current ISA Plan Manager For use if you wish to transfer existing ISA(s) to Margetts Fund Management Ltd

To: The Manager

ISA Plan Manager address including postcode:

Plan Type

ISA Plan Reference

I hereby authorise and instruct you:-

(1) to transfer forthwith my ISA Plan(s) in cash to Margetts Fund Management Ltd an approved Plan Manager with HMRC

(2) to provide Margetts Fund Management Ltd with all relevant information relating to my ISA Plan(s) as it may require

(3) to transfer my ISA in full unless stated otherwise

Please note that by signing this document you are confirming that you have read the Supplementary Information Document together with the most

recently issued Key Investor Information Document(s) (or non-UCITS Retail Scheme Key Investor Information Document(s)), relevant to the Fund(s)

selected above. Documentation is available on the Margetts website: www.margetts.com or by calling Margetts on 0121 236 2380.

IF NECESSARY, PHOTOCOPIES OF THIS PAGE ARE ACCEPTABLE ALL SIGNATURES MUST BE ORIGINAL

Signature

Account Number

Sort Code


Return to: Margetts Fund Management Ltd, 1 Sovereign Court, Graham Street, Birmingham, B1 3JR


Adviser Charge Facilitation Consent Form

Client Name Client Account Number

Margetts Agency Code (if known) Advisor Firm FCA Number

Title Surname Forename(s)

Name of Adviser Firm

Registered Address

Postcode Telephone Fax

Email

Adviser Bank Account Name

Bank/Building Society Name and Address

Account Number Sort Code

1. Initial Adviser Charge

Lump sum, regular investment and ISA transfer applications. Fees will only be applied to the applications accompanying this form upon submission. This does not act as a standing instruction for any subsequent investments. Fees will be applied to all applications (Unit Trust/OEIC, ISA, ISA transfer, regular investments) unless otherwise stated.

£ OR %

£ OR %

£ OR %

£ OR %

Total Adviser Charge

£

2. Periodic Adviser Charge

A. Periodic charge to be takenfrom: (please select one of the following three options)

ISA only GIA Both Fees will be applied to all funds held in the specified portfolio including any previous or subsequent investments

.

B. Select the charge frequen-cy: (Please select one of the following four options)

Monthly Quarterly Six-monthly Annually

PLEASE NOTE THAT WHEN YOU SELECT A PERCENTAGE OR MONETARY AMOUNT BELOW THIS RELATES TO THE AMOUNT PER ANNUM

Adviser charge will be applied to all funds proportionally unless otherwise specified

Periodic Adviser Charge (annual)

£ %

Investor Declaration

(a) I/We have appointed the financial adviser shown on this form

(b) The financial adviser has explained their charges to my/our full satisfaction and I/we agree to the release of this information and payment of the

Adviser Charges as detailed in this form.

(c) I/We understand that Margetts is simply facilitating the payment of the Adviser Charges to my/our financial adviser and any queries or

complaints in respect of these charges should be directed to the financial adviser and not Margetts.

(d) I/We agree that all Adviser Charges become immediately due and payable on and from the date next to my signature.

(e) I/We also accept that if I/we exercise cancellation rights in relation to the Margetts funds, cancellation proceeds will not include any Adviser

Charge monies.

If you believe it is appropriate to seek a refund of the Adviser Charge, you should contact the financial adviser to discuss the possibility of a

refund.

(f) I/We understand it is the financial adviser’s responsibility to account for VAT and any other taxes and duties within all Adviser Charges

(g) If I/we subsequently send new or amended instructions authorising payment of other Adviser Charges in respect of any fund covered by this

declaration, it will take effect upon receipt by Margetts.

(h) I/We understand that this agreement will continue in full force and effect unless and until cancelled in writing by either the adviser or the investor(s).

(i) I/We have read and understood the important information shown on this document.

All parties to an account must sign– signatures must be original.

First Holder Signature

Date Second Holder Signature

Date

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Third Holder Signature

Date Fourth Holder Signature

Date

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Adviser Declaration

(a) I am duly authorised to bind the adviser firm to the terms of this Adviser Charging arrangement between the investors and the firm and to make

the declarations in this form on the firm’s behalf. I acknowledge I will also be personally liable to Margetts Fund Management Ltd in the event

that the firm claims that I am not so duly authorised and/or to the extent that the firm does not fulfil its obligations to Margetts under the terms of

this form.

(b) I declare that all completed details on this form in relation to the firm are true and complete and agree that the firm will notify Margetts

immediately in writing should any of the details change.

(c) I declare that the firm has fulfilled its regulatory responsibilities to the investor(s) and the firm agrees to be also bound by the terms agreed with

the investor(s).

(d) I declare that the firm has explained to and advised the investor(s) concerning all implications regarding the use of the Margetts Adviser

Charging Facility, including:

i) Capital Gains Tax considerations

ii) The effects of capital erosion on redemptions for the Periodic Adviser Charge

iii) The fact that units / shares will be redeemed to meet the Periodic Adviser Charge

iv) How to cancel this agreement if the investor so wishes

v) The service that the investor(s) can expect from my firm for the Adviser Charge payment

(e) I declare that the firm understands that the Adviser Charge monies will become due and payable immediately from the date of consent by the

investor(s) to the Adviser Charge and these Adviser Charge monies will not be treated as client money. Adviser Charge monies will be accrued

in a non-client money account awaiting payment to the adviser firm.

(f) I declare that, in the event of Margetts’ insolvency, the firm agrees to waive its right to make any claim against the investor in respect of any

unpaid Adviser Charge monies and agrees to become a creditor of Margetts in respect of such monies

(g) I declare that, in the event of the investor payment(s) not being honoured or received by Margetts, I and the firm agree to return any Adviser

Charge monies to Margetts immediately, but no later than 15 business days, following notification.

(h) I declare that in the event of the investor(s) exercising cancellation rights, any Adviser Charges will still be paid and the firm agrees to take full

responsibility to manage any communications with the investor in relation to the Adviser Charge.

(i) I declare that in the event that the firm wishes to process a refund in respect of Adviser Charges paid or due to be paid, the firm will take

responsibility for such process and action.

(j) I declare that in the event of an error on the part of Margetts, the firm agrees to liaise with Margetts and promptly respond to issues raised in

order to resolve the issue satisfactorily.

(k) I declare that the firm acknowledges and accepts that it is the firm’s responsibility to solely account for VAT and any other taxes and duties as

appropriate within all Adviser Charge values instructed and Margetts takes no such responsibility.

N.B. Unsigned declarations may result in Adviser Charge monies being returned to the investor without prior notification.

Adviser Signature Date

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Role in firm

THIS DOCUMENT HAS BEEN ISSUED BY MARGETTS FUND MANAGEMENT LTD JANUARY 2020