Application form
September 2024
This oer of units is only made to recipients of this PDS and Application form within Australia and New Zealand. Units will only be issued on receipt
of this completed application form, customer identication form and any documents required to be attached, issued together with the current PDS.
Applications from US citizens or US residents who have an obligation to pay the US tax authorities on their worldwide income will not be accepted.
You should read all parts of the PDS and Additional Information Booklet before applying. Please phone the Schroders Client Services Team on
1300 136 471 or +61 2 9210 9421 if outside Australia with any enquiries.
Please complete this form using BLACK INK and print well within the boxes in CAPITAL LETTERS. Mark appropriate answer boxes with
a cross (X). Start at the left of each answer space and leave a gap between words.
Fields marked with an asterisk (*) must be completed for the purposes of AML/CTF laws.
Schroders may record and monitor telephone calls for security, training and compliance purposes.
Checklist
Please ensure you have completed all of the requirements in the checklist below in order for your application to proceed.
Completed the application form
Signed the application form
Attached a cheque or arranged a direct credit transfer
Completed a customer identication form
Attached certied copies of relevant identication documents
Read the PDS, Additional Information to the PDS and FSG
Customer identication forms and relevant identication documents are only applicable for initial investments or where details have changed.
1
Account details
Please tick if you are an existing Schroders investor. If yes, please quote your client and/or account number below:
Client number:
Account number:
If your investor details have changed, please complete the details below.
If you have an adviser, proceed to Section 6.
Otherwise, please complete the TMD questionnaire on page 3 and then proceed to Section 6.
2
Investor details
What type of account are you opening? (Please indicate using an ‘X’).
Individual
Joint
Sole Trader
Unregulated or Foreign Trust
Co-operative
Custodian
Australian Company
Foreign Company
Partnership
Government Body
Association
Regulated Trust/Superannuation Fund
Schroder Investment Management Australia Limited
Australian Financial Services Licence 226473
Please complete and send to:
Mail: Attention: Schroders Unit Registry
C/- Link Market Services
Locked Bag 5038
Parramatta NSW 2124
Application Form
1
Investor 1 (individual accounts/sole trader)
Title:
Full given name(s)*
Surname*
Date of birth*
/
/
Your main country of residence, if not Australia*
Tax File Number or reason for exemptionˆ
US Citizen or resident of the USA for tax purposes?* Yes No
If yes, provide US Tax payer Identication Number (TIN)
Full business name of sole trader*
ABN (if any)
Investor 2 (joint accounts)
Title:
Full given name(s)*
Surname*
Date of birth*
/
/
Your main country of residence, if not Australia*
Tax File Number or reason for exemptionˆ
US Citizen or resident of the USA for tax purposes?* Yes No
If yes, provide US Tax payer Identication Number (TIN)
Non-individual investors - company/partnership/trust/superannuation fund or other entity
Full name of company/partnership/trustee/other entity*:
Full name of superannuation fund/trust*:
Principal activity of the fund/trust/company*:
Are you a charity?* Yes No
Country established, if not Australia*
ABN/ARBN/ARSN:
Tax File Number
(superannuation fund/trust/company – if applicable)
Failure to quote a Tax File Number (TFN) or Australian Business Number (ABN) is not an oence, however, we are required to withhold tax from your distributions at the highest
marginal rate of tax (plus medicare levy) until your TFN or ABN is provided. Collection of TFN and ABN information is authorised and its use and disclosure are strictly regulated
by the tax and privacy laws. If exempt please supply supporting documentation.
Existing clients (Australian investors only):
We will use the Tax File Number (TFN)/Australian Business Number (ABN) or Exemption you have previously advised unless you request us not to.
^ Tax File Number (TFN) exemption:
Exemption – please write the full name of the benet that you receive (eg “Age Pension”).
Non-resident – please write the full name of your country of residence. Not for prot organisations – who are not required to lodge a TFN. No TFN or do not wish to quote a TFN.
Application Form
2
Investor details
The following questions may assist Schroders in meeting its regulatory obligations by determining whether this nancial product
is being oered to the stated target market. The below questions only need to be answered if you are a direct retail investor and
do not apply to indirect or intermediated investments. You do not need to answer the questions if you have invested via a platform,
custodian, etc.
Have you received personal nancial advice from a licensed nancial adviser in relation to this investment?
Yes - please ensure the details of your nancial adviser are completed in Section 4.
No - please complete the questions below:
What is your primary investment objective in relation to this investment?
Capital Growth: you seek to invest in a product designed or expected to generate capital return over the investment timeframe.
You prefer exposure to growth assets (such as shares or property) or otherwise seeks an investment return above the current ination rate.
Capital Preservation: you seek to invest in a product designed or expected to have low volatility and minimise capital loss. You prefer
exposure to defensive assets that are generally lower in risk and less volatile than growth investments (this may include cash or xed income
securities).
Income Distribution - you seek to invest in a product designed or expected to distribute regular and/or tax-eective income. You prefer
exposure to income-generating assets (this may include high dividend-yielding equities, xed income securities and money market
instruments).
What is your investment timeframe in relation to this investment?
Up to and Including 2 years i.e. Short term
More than 2 years but less than 5 years i.e. Medium term
Equal to 5 years but less than 7 years i.e. Medium to long term
Equal to 7 years or more i.e. Long term
Under normal circumstances, within what period do you expect to be able to access your funds for this investment?
Within one week
Within one month
Within three months
Within one year
More than one year
In relation to this investment, which investment risk and return prole best describes you?
Low risk and return: You are looking for an investment that is low risk in nature e.g. you have the ability to tolerate up to 1 negative return
over a 20-year period and you are comfortable with a low target return from this investment.
Medium risk and return: You are looking for an investment that is moderate or medium risk in nature, e.g. you have the ability to tolerate up
to 4 negative returns over a 20-year period and you are comfortable with a moderate target return from this investment.
High risk and return: You are looking for an investment that is higher risk in nature e.g. you have the ability to tolerate up to 6 negative
returns over a 20-year period in order to achieve a higher target return from this investment.
Very high risk and return: You are looking for an investment that is very high risk in nature e.g. you have the ability to tolerate 6 or more
negative returns over a 20 year period as you are seeking to maximise returns and you can accept higher potential losses.
Extremely high risk and return: you are for an Investment that is extremely high risk in nature e.g. you have the ability to accept signicant
volatility and losses as you are seeking to obtain accelerated returns (potentially in a short timeframe).
What percentage of your total investable assets are you directing to this fund – that is the total assets you have available for investment, excluding
your residential home
Solution/standalone (up to 100%)
Major allocation (up to 75%)
Core component (up to 50%)
Minor allocation (up to 25%)
Satellite allocation (up to 10%)
Application Form
3
3
Contact details
Investor 1
Postal Address
Unit number:
Street number
Street name:
Suburb:
State:
Postcode:
Country:
Contact: Phone number (business hours): Phone number (after hours):
Mobile phone number:
Email address for investor 1 (Mandatory eld):
Investor 2 (if applicable)
Postal Address
Unit number:
Street number
Street name:
Suburb:
State:
Postcode:
Country:
Contact: Phone number (business hours): Phone number (after hours):
Mobile phone number:
Email address for investor 2
Non-individual investors
Postal address
Unit number:
Street number:
PO Box number:
Street name:
Suburb:
State:
Postcode:
Country:
Contact: Work phone number: Home phone number:
Mobile phone number:
Email address (Mandatory eld):
By providing your email address, you agree that we may use this address to provide you with information about your investment (such as
transaction conrmations, statements, reports and other material). From time to time we may still need to send you letters in the post.
Application Form
4
4
Adviser details
Complete your adviser details (If applicable)
Adviser name:
Adviser contact: Phone number: Dealer Group stamp:
Mobile phone number:
Adviser email:
Adviser authorised representative no:
Unit number:
Street number:
Street name:
Suburb:
State:
Postcode:
Country:
Contact name:
Telephone (business hours):
Adviser rm name:
Dealer group name:
Dealer Group AFS Licence Number
5
Bank account
Distribution Payment Instructions
This will be your primary bank account linked to your investment account.
Please provide your nominated account details in the section below.
Financial Institution Name:
Branch Name:
Branch Number (BSB):
Account Number:
Account Name:
The nominated bank must be an Australian Authorised Deposit Taking Institution. Please note the Responsible Entity will not issue cheques for
income distributions, withdrawal and redemption payments.
Redemption Payment Instructions
Please provide the details of the bank account where you wish to receive your redemption payments, if different from the account noted above for
distribution payments. Please provide your nominated account details in the section below.
Financial Institution Name:
Branch Name:
Branch Number (BSB):
Account Number:
Account Name:
The nominated bank must be an Australian Authorised Deposit Taking Institution. Please note the Responsible Entity will not issue cheques for
income distributions, withdrawal and redemption payments.
Application Form
5
6
Investment Details
Purpose of investment*
Source of funds*
Savings Inheritance
Redundancy Proceeds from asset sale
Other (please provide brief details)
Please specify the investment amount against the corresponding fund in the table below:
Professional Class APIR
Beneciary
Lodgement
Code*
Investment amount
(minimum initial
investment of
AUD 500,000) Reinvestment Bank Deposit
Schroder Absolute Return Income Fund SCH0024AU HSS
Schroder Australian High Yielding Credit Fund SCH7855AU HS2
Schroder Fixed Income Fund SCH0016AU FIS
Schroder Australian Equity Fund SCH0002AU AEF
Schroder Equity Opportunities Fund SCH5738AU EOP
Schroder Real Return Fund SCH0039AU RRF
Schroder Sustainable Growth Fund SCH0010AU BFS
Schroder Global Equity Alpha Fund SCH0554AU GAP
Schroder Specialist Private Equity Fund** SCH0038AU SPE Accumulation class – no cash distributions
Other – Please specify:
Wholesale Class APIR
Beneciary
Lodgement
Code*
Investment amount
(minimum initial
investment of
AUD 20,000) Reinvestment Bank Deposit
Schroder Absolute Return Income Fund SCH0103AU HSF
Schroder Australian High Yielding Credit Fund SCH0778AU HSW
Schroder Fixed Income Fund SCH0028AU FIF
Schroder Wholesale Australian Equity Fund SCH0101AU WAE
Schroder Equity Opportunities Fund SCH0035AU EOF
Schroder Real Return Fund SCH0047AU RRW
Schroder Multi-Asset Income Fund SCH0096AU R3W
Schroder Sustainable Growth Fund SCH0102AU SBF
Schroder Global Emerging Markets Fund SCH0034AU GEM
Schroder Global Value Fund SCH0030AU GAV
Schroder Global Value Fund (Hedged) SCH0032AU GVH
Schroder Global Core Fund SCH0003AU GES
Schroder Global Sustainable Equity Fund SCH0040AU GDB
Schroder Global Equity Alpha Fund SCH8242AU GAW
Application Form
6
Schroder Investment Management Australia Limited ABN 22 000 443 274 AFSL 226473
For enquiries please call our Client Services team on 1300 136 471 between 9am and 5pm AEST.
Schroders may record and monitor telephone calls for security, training and compliance purposes.
Wholesale Class APIR
Beneciary
Lodgement
Code*
Investment amount
(minimum initial
investment of
AUD 20,000)
Reinvestment
Bank Deposit
Other – Please specify:
Unless otherwise specied, the minimum initial investment is $500,000 for the Professional Class and $20,000 for the Wholesale Class. To make a direct
deposit, application money can be deposited directly into the following account:
Name of bank: JPMorgan Chase Bank N.A.
Branch:
Sydney Australia
Name of bank account:
Schroder Applications Trust Account No.1
SWIFT:
CHASAU2X
BSB:
212 200
Account number:
01003 6955
Application monies for amounts in excess of $5 million should be transferred by RTGS and released to Schroders before 12pm on the day of the
application to avoid any delays in processing the application. Please make your cheque payable to: ‘Schroder Applications Trust Account No. 1’
and cross ‘Not Negotiable’.
* Please quote the surname, super fund name, trust name, company name when making electronic fund transfer.
** The minimum initial investment for the Schroder Specialist Private Equity fund is AUD 20,000.
^ If a preference is not indicated, your distribution entitlement will be reinvested as additional units in the Fund.
Any cost incurred by Schroders in paying distributions by bank deposit may be payable by the investor.
Application Form
7
Schroder Investment Management Australia Limited ABN 22 000 443 274 AFSL 226473
For enquiries please call our Client Services team on 1300 136 471 between 9am and 5pm AEST.
Schroders may record and monitor telephone calls for security, training and compliance purposes.
7
Reporting
Please indicate your preference for contact by ticking the appropriate box. All correspondence is to be emailed to:
Investor Adviser/Consultant Other as specied below
Please ensure email addresses are provided in the relevant contact section.
Full name:
Email:
Full name:
Email:
Full name:
Email:
8
Annual nancial report
If you elect to receive a copy of the Fund’s annual report, we are required by law to provide a copy to you free of charge (which will be sent to your specied
email address). If you do not elect to receive a copy, then you may access the Annual Report on our website at www.schroders.com.au.
Please mark if you would like to receive a copy of the Annual Report each year.
I wish to receive a copy of the Annual Report each year.
9
Declaration and signature
(must be completed)
By signing this application each investor acknowledges and conrms that they:
Ȃ Are 18 years of age or over (otherwise applications must be made in the name of parent/guardian and signed by parent/guardian).
Ȃ Agree to be bound by the provisions of the PDS, Additional Information Booklet, Application Form and the Fund’s Constitution
(which may be amended from time to time).
Ȃ Acknowledge that Schroders reserves the right to refuse an application for units at its discretion.
Ȃ Declare that this application was included in, or accompanied by, the current PDS and Additional Information Booklet, which they have read.
Ȃ Acknowledge that neither Schroders nor any other person guarantees the return of capital, or the performance of any Fund.
Ȃ Acknowledge that telephone conversations with Schroders may be recorded.
Ȃ Authorise Schroders to apply the Tax File Number or Australian Business Number quoted to all investments in the name of the investor.
Ȃ Authorise Schroders to collect, hold, use and disclose personal information about the investor in accordance with Schroders’ Privacy Statement
and the privacy statement in the Additional Information Booklet, including direct marketing.
Ȃ Conrm that they have the proper authority as detailed in the signatories terms and conditions section of the PDS, Additional Information
Booklet and Application Form.
Ȃ Have notied Schroders in writing if they are a politically exposed person.
Ȃ Acknowledge that, where they have executed this document using a signature applied electronically, or where they provide a scanned or other digital
copy of a signed version of this document to Schroders, the decision on whether to accept the electronically signed or digital copy of the document is at
Schroders’ absolute discretion. Where such a document is accepted by Schroders, the investor agrees that Schroders will be entitled to assume (without
making any further enquiries) that they have applied (or have authorised the application of) all signatures, and that any digital copy is a true copy of an
original document, and to act on the document as if it had been signed by them, and they agree to release, discharge and indemnify Schroders, and any
other related or associated entities of Schroders, from and against any and all actions, proceedings, accounts, claims, costs, demands, charges and
expenses, losses and liabilities, however arising as a result of the above.
Ȃ Are not a US Person (as that term is dened in the United States Investment Company Act of 1940, the United States Securities Act of 1933, or any other
similar denition under any other applicable US law) unless otherwise notied to Schroders in writing, and undertake to notify Schroders in writing as
soon as practicable if, after units are issued to them, they later become a US Person (or any other similar denition under any other applicable US law).
Application Form
8
Individual/Sole trader/Joint/Partnership/Trustee/Responsible entity/Custodian
Signature Name Date
Signature Name Date
Company/Incorporated or Unincorporated association/Registered co-operatives
/Government body (at least TWO to sign unless you indicate otherwise)
Signature Name and title Date
(e.g. Director, secretary or sole director/Secretary)
Signature Name and title Date
(e.g. Director, secretary or sole director/Secretary)
Additional authorised signatories (including attorneys/agents)*
Signature Name Date
Signature Name Date
Signature Name Date
Please indicate who is to sign
Any 1 to sign 2 to sign All to sign
If you do not indicate a choice, Schroders will assume any one signatory can sign.
Please send the completed application and customer identication form to the address below.
Attention: Schroders Unit Registry
c/-Link Market Services
Locked Bag 5038
Parramatta NSW 2124
Australia
* Must be accompanied by a certied copy of a power of attorney
Company seal
(if applicable):
Application Form
9
Customer identication forms
Customer identication forms In order to comply with the requirements under the ‘Anti-Money Laundering and Counter
Terrorism Financing Act 2006’ (AML/CTF Law), a customer identication form must be
completed for all new investors. We will be unable to process your application request if a
customer identication form and the requested supporting documents are not provided.
If you are an existing investor and you have previously provided a customer identication form,
you will not be required to complete another customer identication form.
How should you complete the customer
identication forms?
1. Identify your customer type in the table below.
2. Complete the relevant elds in the relevant customer type identication form.
3. Attach a legible certied copy or extract of your identication documents
(see denitions below).
Please send the application form to Schroders Unit Registry together with the relevant
completed identication form and supporting identication documents.
Which customer identication form
should you use?
The information you need to provide depends upon your customer type. You will only need
to complete the section(s) of the form that relate(s) to your particular customer type and
circumstances, as follows:
Customer type Identication form to be completed
Individual Individuals & Sole Traders identication form
Sole Trader (a person who is self
employed e.g. carpenter)
Individuals & Sole Traders identication form
Regulated Trust/
Superannuation fund
Complete the Australian Regulated Trusts and
Trustees identication form PLUS either the
Australian Companies or Foreign Companies
identication form if the trustee is a company
Australian Companies Australian Companies identication form
Unregulated Trust Unregulated Australian Trusts identication form
Foreign Companies
Partnerships and Partners
Government Body
Associations – Incorporated
or Unincorporated
Registered-Cooperative
Refer to www.schroders.com.au
for relevant identication forms.
What does ‘certied copy’ mean? Certied copy means a document that has been certied as a true copy of an original
document. The certier should sign the copy document (printing his/her name clearly
underneath) and clearly indicate his/her position or capacity together with a contact address
and phone number. The certier must indicate that the document is a true copy of the original
and that any photo is a true likeness of the person.
What does ‘certied extract’ mean? Certied extract means an extract that has been certied as a true copy of some of the
information contained in a complete original document.
Application Form
10
Who can certify documents or extracts? People who can certify documents or extracts are;
(Italics are added for ease of
comprehension)
4
(a lawyer)
a person who is enrolled on the roll of the Supreme Court of a State or
Territory, or High Court of Australia, as a legal practitioner (however described);
5 a judge of a court;
6 a magistrate;
7 a chief executive ocer of a Commonwealth court;
8 a registrar or deputy registrar of a court;
9 a Justice of Peace;
10 a notary public (for the purposes of the Statutory Declaration Regulations 1993);
11 a police ocer;
12
(a postal agent)
an agent of the Australian Postal Corporation who is in charge of an oce
supplying postal services to the public;
13
(the post oce)
a permanent employee of the Australian Postal Corporation with two or
more years of continuous service who is employed in an oce supplying postal services to
the public;
14 an Australian consular ocer or an Australian diplomatic ocer (within the meaning of the
Consular Fees Act 1955);
15 an ocer with 2 or more continuous years of service with one or more nancial institutions
(for the purposes of the Statutory Declaration Regulations 1993);
16 a nance company ocer with 2 or more continuous years of service with one or more
nancial companies (for the purposes of the Statutory Declaration Regulations 1993);
17 an ocer with, or authorised representative of, a holder of an Australian nancial services
licence, having 2 or more continuous years of service with one or more licensees; and
18
(an accountant)
a member of the institute of Chartered Accountants in Australia, CPA
Australia or the National Institute of Accountants with 2 or more years of continuous
membership.
For the most recent list of persons who can certify documents please refer to our website www.schroders.com.au.
Application Form
11
Identication Form
Individuals & Sole Traders
GUIDE TO COMPLETING THIS FORM
Ȃ Complete one form for each individual. Complete all applicable sections of this form in BLOCK LETTERS.
SECTION 1: PERSONAL DETAILS
Full given name(s)*
Surname*
Date of birth*
/
/
Residential Address (PO Box is NOT acceptable)
Street number:
Street name:
Suburb:
State:
Postcode:
Country:
Business / Occupation:
Complete this part if individual is a sole trader
Full Business Name (if any):
ABN (if any):
Street number:
Street name:
Suburb:
State:
Postcode:
Country:
SECTION 2: TAX INFORMATION
Tax Residency rules dier by country. Whether an individual is tax resident of a particular country is often (but not always) based on the amount
of time a person spends in a country, the location of a person’s residence or place of work. For the US, tax residency can also be as a result of citizenship
or residency.
Please answer both tax residency questions:
Is the individual a tax resident of Australia?
Yes No
Is the individual a tax resident of another Country?
Yes No
If the individual is a tax resident of a country other than Australia, please provide their tax identication number (TIN) or equivalent below.
If they are a tax resident of more than one other country, please list all relevant countries below.
A TIN is the number assigned by each country for the purposes of administering tax laws. This is the equivalent of a Tax File Number in Australia or a Social Security Number in the
US. If a TIN is not provided, please list one of the three reasons specied (A, B or C) for not providing a TIN.
Other country 1
Country:
TIN: If no TIN, list reason A, B or C
Other country 2
Country:
TIN: If no TIN, list reason A, B or C
If there are more countries, provide details on a separate sheet and tick this box.
Reason A The country of tax residency does not issue TINs to tax residents
Reason B The individual has not been issued with a TIN
Reason C The country of tax residency does not mandate provision of the TIN.
Application Form
12
Schroder Investment Management Australia Limited ABN 22 000 443 274 AFSL 226473
For enquiries please call our Client Services team on 1300 136 471 between 9am and 5pm AEST.
Schroders may record and monitor telephone calls for security, training and compliance purposes.
SECTION 3: VERIFICATION PROCEDURE
Please provide either ONE certied copy of a document from Part I or if you are unable to provide this, then a certied copy of a document from
both Part II and III.
PART I – Acceptable Primary ID Documents
Tick Select ONE valid option from this section only
Australian State / Territory driver’s licence containing a photograph of the person
Australian passport (a passport that has expired within the preceding 2 years is acceptable)
Card issued under a State or Territory for the purpose of proving a person’s age containing a photograph of the person
Foreign passport or similar travel document containing a photograph and the signature of the person
*
PART II – Acceptable Secondary ID Documents – should only be completed if the individual does not own a document from PART I
Tick Select ONE valid option from this section
Australian birth certicate
Australian citizenship certicate
Pension card issued by Centrelink
Health card issued by Centrelink
Tick
and ONE valid option from this section
A document issued by the Commonwealth or a State or Territory within the preceding 12 months that records the provision of nancial
benets to the individual and which contains the individual’s name and residential address
A document issued by the Australian Taxation Oce within the preceding 12 months that records a debt payable by the individual
to the Commonwealth (or by the Commonwealth to the individual), which contains the individual’s name and residential address.
Block out the TFN before scanning, copying or storing this document.
A document issued by a local government body or utilities provider within the preceding 3 months which records the provision of services
to that address or to that person (the document must contain the individual’s name and residential address)
If under the age of 18, a notice that: was issued to the individual by a school principal within the preceding 3 months;
and contains the name and residential address; and records the period of time that the individual attended that school
PART III – Acceptable Foreign ID Documents – should only be completed if the individual does not own a document from PART I
Tick BOTH documents from this section must be presented
Foreign driver’s licence that contains a photograph of the person in whose name it issued and the individual’s date of birth
*
National ID card issued by a foreign government containing a photograph and a signature of the person in whose name the card was issued
*
* Documents that are written in a language that is not English must be accompanied by an English translation prepared by an accredited translator.
IDENTIFICATION FORM INDIVIDUALS & SOLE TRADERS
Application Form
13
Schroder Investment Management Australia Limited ABN 22 000 443 274 AFSL 226473
For enquiries please call our Client Services team on 1300 136 471 between 9am and 5pm AEST.
Schroders may record and monitor telephone calls for security, training and compliance purposes.
Identication Form
Australian Regulated Trusts & Trustees
GUIDE TO COMPLETING THIS FORM
Ȃ Complete the following in BLOCK LETTERS:
* Section 1 (all parts) – all trusts.
AND select
and complete one of the following sections for the trustees:
* Section 2 (applicable parts) – selected trustee is an Individual.
* Section 3 (applicable parts) – selected trustee is an Australian Company.
SECTION 1: TRUST DETAILS
1.1 General Information
Full name of trust:
Full business name (if any):
Country where trust established:
1.2 Type of Trust (select only one of the following trust types and provide the information requested)
Tick Select ONE of the following type of Regulated Trust
Self-Managed Superannuation Fund
Provide the SMSF’s ABN
Registered managed investment scheme
Provide Australian Registered
Scheme Number (ARSN)
Unregistered managed investment scheme (Where the scheme is not registered by ASIC, only has wholesale clients and does not
make small scale offerings to which section 1012E of the Corporations Act 2001 applies)
Provide the unregistered managed investment
scheme’s ABN
Government superannuation fund
Provide name of the legislation
establishing the fund
Other regulated Trust (A trust that is subject to the regulatory oversight of a Commonwealth, State or Territory statutory regulator such
as an approved deposit fund, a pooled superannuation trust or an APRA-regulated superannuation fund)
Provide name of the regulator
(e.g. ASIC, APRA, ATO)
Provide the Trust’s ABN or
registration/licensing details
Other types of Trusts (e.g. family, unit, charitable, estate) or Trusts regulated by a foreign regulatory body should complete the Unregulated Australian
Trusts & Foreign Trusts Identication Form, rather than this form.
SECTION 2: INDIVIDUAL DETAILS (to be completed for individual trustees)
Trustee 1
Full given name(s)
Surname
Date of birth
/
/
Residential address:
Suburb:
State:
Postcode:
Country:
Application Form
14
Trustee 2
Full given name(s)
Surname
Date of birth
/
/
Residential address:
Suburb:
State:
Postcode:
Country:
Trustee 3
Full given name(s)
Surname
Date of birth
/
/
Residential address:
Suburb:
State:
Postcode:
Country:
SECTION 3: AUSTRALIAN COMPANY DETAILS
If trustee is an Australian Company, complete the Australian Company ID form on page 16.
SECTION 4: TAX INFORMATION
Collection of tax status in accordance with the United States Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS).
Regulated super funds (Self-Managed Superannuation Funds, APRA regulated super funds, government super funds or pooled superannuation trusts)
are not required to complete section 4.
4.1 Tax Status
Provide the Trust or Trustee’s Global Intermediary
Identication Number (GIIN), if applicable
If the Trust or Trustee is a Financial Institution but does not have a GIIN, provide the Trust’s FATCA status
Tick Select ONE of the following statuses
Deemed Compliant Financial Institution
Excepted Financial Institution
Exempt Benecial Owner
Non Reporting IGA Financial Institution
Nonparticipating Financial Institution
Other (describe the Trust’s FATCA status in the box provided)
IDENTIFICATION FORM TRUSTS & TRUSTEES
Application Form
15
Identication Form
Australian Companies
GUIDE TO COMPLETING THIS FORM
Ȃ This form is for Australian Companies only. For companies with an address, principle place of business or that are incorporated outside of
Australia use the Foreign Companies Identication Form.
Ȃ Complete one form for each company.
Ȃ Complete separate Individual ID Forms for each of the company’s Benecial Owners.
Ȃ Complete all applicable sections of this form in BLOCK LETTERS.
Ȃ Contact Schroders if you have any queries.
SECTION 1: AUSTRALIAN COMPANY DETAILS (to be completed if the company is an Australian Company)
1.1 General Information
Full name as registered by ASIC
ACN
Principal business activity:
1.2 Registered Oce Address (PO Box is not acceptable)
Street address:
Suburb:
State:
Postcode:
Country:
1.3 Regulatory/Listing Details (select any of the following categories if applicable)
Regulated company (licensed by an Australian Commonwealth, State or Territory statutory regulator)
Regulator name
Licence details
Australian listed company
Name of market / exchange
Majority-owned subsidiary of an Australian listed company
Australian listed company name
Name of market / exchange
Companies incorporated outside of Australia should complete the Foreign Company Identication Form, rather than this form.
1.4 Company Type (select only ONE of the following categories and provide any information requested)
Tick Select ONE of the following categories
Public – Listed (Continue to Section 3)
Public – Unlisted (Continue to Section 1.6)
Private / Proprietary (Continue to Section 1.5 below)
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IDENTIFICATION FORM AUSTRALIAN COMPANIES
1.5 Directors (only needs to be completed for proprietary companies)
This section does NOT need to be completed for public and listed companies.
How many directors are there?
Provide full name of each director below
Director 1
Full given name(s)
Surname
Director 2
Full given name(s)
Surname
Director 3
Full given name(s)
Surname
If there are more directors, provide details on a separate sheet.
1.6 Shareholders (only needs to be completed for unlisted public companies, proprietary companies that are not regulated companies)
To be completed for all companies that are not Australian Public Listed companies, majority owned by an Australian Public Listed company or
Regulated Companies as per 1.4.
Are there any individuals who ultimately own 25% or more of the company’s issued share capital (through direct or indirect shareholdings)?
Yes No
1.6.1 Shareholder Benecial Owners
Provide the names of the individuals who ultimately own 25% or more of the company’s issued share capital (through direct or indirect shareholdings).
Complete separate individual customer ID Forms for each of these individuals.
Shareholder 1
Full given name(s)
Surname
Date of birth
/
/
Residential address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
Email
Shareholder 2
Full given name(s)
Surname
Date of birth
/
/
Residential address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
Email
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IDENTIFICATION FORM AUSTRALIAN COMPANIES
Shareholder 3
Full given name(s)
Surname
Date of birth
/
/
Residential address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
Email
If there are more Benecial Owners, provide details on a separate sheet.
1.6.2 Other Benecial Owners
If there are no individuals who meet the requirement of 1.6.1, provide the names of the individuals who directly or indirectly control* the company.
* includes exercising control through the capacity to determine decisions about nancial or operating policies; or by means of trusts, agreements, arrangements, understanding
& practices; voting rights of 25% or more; or power of veto. If no such person can be identied then the most senior managing ocial/s of the company (such as the managing
director or directors who are authorised to sign on the company’s behalf).
Complete separate individual customer ID Forms for each of these individuals.
Customer ID 1
Full given name(s)
Surname
Role (such as Managing Director)
Customer ID 2
Full given name(s)
Surname
Role (such as Managing Director)
Customer ID 3
Full given name(s)
Surname
Role (such as Managing Director)
If there are more Benecial Owners, provide details on a separate sheet.
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IDENTIFICATION FORM AUSTRALIAN COMPANIES
SECTION 2: VERIFICATION PROCEDURE
Please provide either ONE certied copy of a document from Part I or if you are unable to provide this, then a certied copy of a document from
both Part II and III for each shareholder listed in Section 1.6.
PART I – Acceptable Primary ID Documents
Tick Select ONE valid option from this section only
Australian State / Territory driver’s licence containing a photograph of the person
Australian passport (a passport that has expired within the preceding 2 years is acceptable)
Card issued under a State or Territory for the purpose of proving a person’s age containing a photograph of the person
Foreign passport or similar travel document containing a photograph and the signature of the person
*
PART II – Acceptable Secondary ID Documents – should only be completed if the individual does not own a document from PART I
Tick Select ONE valid option from this section
Australian birth certicate
Australian citizenship certicate
Pension card issued by Centrelink
Health card issued by Centrelink
Tick
and ONE valid option from this section
A document issued by the Commonwealth or a State or Territory within the preceding 12 months that records the provision of nancial
benets to the individual and which contains the individual’s name and residential address
A document issued by the Australian Taxation Oce within the preceding 12 months that records a debt payable by the individual
to the Commonwealth (or by the Commonwealth to the individual), which contains the individual’s name and residential address.
Block out the TFN before scanning, copying or storing this document.
A document issued by a local government body or utilities provider within the preceding 3 months which records the provision of services
to that address or to that person (the document must contain the individual’s name and residential address)
If under the age of 18, a notice that: was issued to the individual by a school principal within the preceding 3 months;
and contains the name and residential address; and records the period of time that the individual attended that school
PART III – Acceptable Foreign ID Documents – should only be completed if the individual does not own a document from PART I
Tick BOTH documents from this section must be presented (where translated into English where applicable)
Foreign driver’s licence that contains a photograph of the person in whose name it issued and the individual’s date of birth
National ID card issued by a foreign government containing a photograph and a signature of the person in whose name the card was issued
PART IV – Australian Company – should only be completed for companies
Tick Verication options (select one of the following options used to verify the Company)
Perform a search of the relevant ASIC database
If the ASIC database is not reasonably available, an original or certied copy of the certication of registration issued by ASIC
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IDENTIFICATION FORM AUSTRALIAN COMPANIES
SECTION 3: TAX INFORMATION
3.1 Tax Status
Tick one of the Tax Status boxes below (if the company is a Financial Institution, please provide all the requested information below)
A Financial Institution (A custodial or depository institution, an investment entity or a specied insurance company for FATCA / CRS purposes)
Provide the company’s Global Intermediary
Identication Number (GIIN), if applicable
If the company is a Financial Institution but does not have a GIIN, provide its FATCA status (select ONE of the following statuses)
Deemed Compliant Financial Institution
Excepted Financial Institution
Exempt Benecial Owner
Non Reporting IGA Financial Institution
Nonparticipating Financial Institution
Other (describe the Trust’s FATCA status in the box provided)
If the company is a Financial Institution, the form is now complete.
Australian Public Listed Company, Majority Owned Subsidiary of an Australian Public Listed company or Australian Registered Charity
(Public listed companies or majority owned subsidiaries of Australian listed companies as per 1.4 that are not Financial Institutions as described
above or a company that is an Australian Registered Charity)
If the company type is listed above, the form is now complete.
An Active Non-Financial Entity (NFE) (Active NFEs include those that, during the previous reporting period, derived less than 50% of their gross
income from passive income (e.g. dividends, interests and royalties) and held less than 50% of assets producing the passive income. For other types of
Active NFEs, refer to Section VIII in the Annexure of the OECD ‘Standard for Automatic Exchange of Financial Account Information’ (www.oecd.org)
If the company is an Active NFE, the form is now complete.
Other (Entities that are not previously listed – Passive Non-Financial Entities)
Please proceed to section 3.2 (Foreign Benecial Owners).
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IDENTIFICATION FORM AUSTRALIAN COMPANIES
3.2 Foreign Benecial Owners
Are any of the company’s Benecial Owners tax residents of countries other than Australia?
Yes No
If Yes, please provide the details of these individuals below and complete a separate Individual Identication Form for each Benecial Owner (unless
already provided in section 1.6).
Person 1
Full given name(s)
Surname
Taxpayer Identication Number (TIN):
Country:
Person 2
Full given name(s)
Surname
Taxpayer Identication Number (TIN):
Country:
Person 3
Full given name(s)
Surname
Taxpayer Identication Number (TIN):
Country:
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Identication Form
Unregulated Australian & Foreign Trusts
GUIDE TO COMPLETING THIS FORM
This form is for Unregulated Trusts. For Trusts subject to the oversight of an Australian statutory regulator, including Self-Managed
Superannuation Funds, complete the Australian Regulated Trusts & Trustees Identication Form.
Ȃ Complete the following in BLOCK LETTERS:
Sections 1 and 5 (all parts) – all trusts.
AND select
and complete one of the following sections for ONLY ONE of the trustees:
Section 2 (applicable parts) – selected trustee is an Individual.
Section 3 (applicable parts) – selected trustee is an Australian Company.
Section 4 (applicable parts) – selected trustee is a Foreign Company.
SECTION 1A: TRUST DETAILS
1.1 General Information
Full name of trust:
Full business name (if any):
Country where trust established:
1.2 Type of Trust (select only one of the following trust types and provide the information requested)
Tick Select ONE of the following type of Regulated Trust
Family Trust
Charitable Trust
Testamentary Trust
Other trust type
Description (e.g. Family, unit, charitable, estate)
1.3 Beneciary Details
Are there any individuals who ultimately own 25% or more of the company’s issued share capital (through direct or indirect shareholdings)?
Yes
Provide details of the membership class/es (e.g. unit holders,
family members of named person, charitable purpose)
No
How many beneciaries are there??
Provide full name of each beneciary below
Beneciary 1
Full given name(s)
Surname
Beneciary 2
Full given name(s)
Surname
Beneciary 3
Full given name(s)
Surname
Beneciary 4
Full given name(s)
Surname
If there are more beneciaries, provide details on a separate sheet.
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IDENTIFICATION FORM UNREGULATED TRUSTS & TRUSTEES
1.4 Settlor Details
Full given name(s)
Surname
The settlor details are not required if:
Ȃ the material asset contribution to the trust by the settlor at the time the trust is established less than $10,000; or
Ȃ the settlor is deceased.
1.5 Trustee Details
How many trustees are there?
Provide full name and address of each trustee below
Trustee 1
Full given name(s)
Surname
Residential address if an individual trustee or company
registered oce address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
Trustee 2
Full given name(s)
Surname
Residential address if an individual trustee or company
registered oce address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
Trustee 3
Full given name(s)
Surname
Residential address if an individual trustee or company
registered oce address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
Trustee 4
Full given name(s)
Surname
Residential address if an individual trustee or company
registered oce address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
If there are more trustees, provide details on a separate sheet
Go to Section 1B
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IDENTIFICATION FORM UNREGULATED TRUSTS & TRUSTEES
SECTION 1B: TRUST VERIFICATION PROCEDURE
Tick Verication options (supply one of the following options used to verify the Trust)
A notice issued by the Australian Taxation Oce within the last 12 months (eg a Notice of Assessment).
Block out the TFN before scanning, copying or storing this document.
A letter from a solicitor or qualied accountant that conrms the name of the trust.
An original or certied copy or certied extract of the trust deed.
Documents that are written in a language that is not English must be accompanied by an English translation prepared by an accredited translator.
Complete ONLY ONE of the following sections, as required, to collect the additional information about the identity of ONLY ONE of the trustees:
Ȃ Section 2 (applicable parts) – where the selected trustee is an Individual.
Ȃ Section 3 (applicable parts) – where the selected trustee is an Australian Company.
Ȃ Section 4 (applicable parts) – where the selected trustee is a Foreign Company.
SECTION 2A: INDIVIDUAL DETAILS (to be completed if selected trustee is an Individual)
Full given name(s)
Surname
Date of birth
/
/
Residential address (PO Box is NOT acceptable)
Only provide address details if not provided
in Section 1.5 above.
Suburb:
State:
Postcode:
Country:
SECTION 2B: INDIVIDUAL TRUSTEE VERIFICATION PROCEDURE
PART I – Acceptable Primary ID Documents
Tick Select ONE valid option from this section only
Australian State / Territory driver’s licence containing a photograph of the person
Australian passport (a passport that has expired within the preceding 2 years is acceptable)
Card issued under a State or Territory for the purpose of proving a person’s age containing a photograph of the person
Foreign passport or similar travel document containing a photograph and the signature of the person
*
PART II – Acceptable Secondary ID Documents – should only be completed if the individual does not own a document from PART I
Tick Select ONE valid option from this section
Australian birth certicate
Australian citizenship certicate
Pension card issued by Centrelink
Health card issued by Centrelink
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Tick and ONE valid option from this section
A document issued by the Commonwealth or a State or Territory within the preceding 12 months that records the provision of nancial
benets to the individual and which contains the individual’s name and residential address
A document issued by the Australian Taxation Oce within the preceding 12 months that records a debt payable by the individual
to the Commonwealth (or by the Commonwealth to the individual), which contains the individual’s name and residential address.
Block out the TFN before scanning, copying or storing this document.
A document issued by a local government body or utilities provider within the preceding 3 months which records the provision of services
to that address or to that person (the document must contain the individual’s name and residential address)
PART III – Acceptable Foreign ID Documents – should only be completed if the individual does not own a document from PART I
Tick BOTH documents from this section must be presented (where translated into English where applicable)
Foreign driver’s licence that contains a photograph of the person in whose name it issued and the individual’s date of birth
National ID card issued by a foreign government containing a photograph and a signature of the person in whose name the card was issued
SECTION 3: AUSTRALIAN COMPANY DETAILS
If trustee is an Australian company, complete the Australian Company ID form on page 16.
SECTION 4: FOREIGN COMPANY DETAILS
If trustee is a foreign company, complete the Foreign Companies ID form. Refer to www.schroders.com.au to download the form.
IDENTIFICATION FORM UNREGULATED TRUSTS & TRUSTEES
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IDENTIFICATION FORM UNREGULATED TRUSTS & TRUSTEES
SECTION 5: TAX INFORMATION
5.1 Tax Status
Tick one of the Tax Status boxes below (if the Trust is a Financial Institution, please provide all the requested information below)
Financial Institution or Trust with a Trustee that is a Financial Institution (A custodial or depository institution, an investment entity or a
specied insurance company for FATCA/CRS purposes)
Provide the Trust’s Global Intermediary
Identication Number (GIIN), if applicable
If the Trust is a Financial Institution but does not have a GIIN, provide its FATCA status (select ONE of the following statuses)
Deemed Compliant Financial Institution
Excepted Financial Institution
Exempt Benecial Owner
Non Reporting IGA Financial Institution (If the Trust is a Trustee-Documented Trust, provide the Trustee’s GIIN)
Nonparticipating Financial Institution
US Financial Institution
Other (describe the Trust’s FATCA status in the box provided)
PLEASE ANSWER THE QUESTION BELOW FOR ALL FINANCIAL INSTITUTIONS
Is the Financial Institution an Investment Entity located in a Non-Participating CRS Jurisdiction and managed by another Financial Institution?
Yes No
If Yes, proceed to section 5.2 (Foreign Controlling Persons). If No, form is now complete.
CRS Participating Jurisdictions are on the OECD website at
http://www.oecd.org/tax/automatic-exchange/crs-implementation-and-assistance/crs-by-jurisdiction.
Australian Registered Charity or Deceased Estate
If the Trust is an Australian Registered Charity or Deceased Estate, form is now complete.
A Foreign Charity or an Active Non-Financial Entity (NFE) (Active NFEs include those that, during the previous reporting period, derived less than
50% of their gross income from passive income (e.g. dividends, interests and royalties) and held less than 50% of assets producing the passive income.
For other types of Active NFEs, refer to Section VIII in the Annexure of the OECD ‘Standard for Automatic Exchange of Financial Account Information’
(www.oecd.org).
If the Trust is a Foreign (non-Australian) Charity or an Active NFE, please proceed to section 5.3 (Country of Tax Residency).
Other (Trusts that are not previously listed – Passive Non-Financial Entities)
Please proceed to section 5.2 (Foreign Controlling Persons).
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IDENTIFICATION FORM UNREGULATED TRUSTS & TRUSTEES
5.2 Foreign Controlling Persons
Are any of the Trust beneciaries, Trustees, settlors or benecial owners tax residents of countries other than Australia
Yes No
If the Trustee is a company, are any of this company’s benecial owners tax residents of countries other than Australia
Yes No
If Yes to either of the two questions above, please provide the details of these individuals below and complete a separate Individual Identication
Form for each Controlling Person (unless already provided as a Benecial Owner).
Person 1
Full given name(s)
Surname
Taxpayer Identication Number (TIN):
Residential address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
Person 2
Full given name(s)
Surname
Taxpayer Identication Number (TIN):
Residential address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
Person 3
Full given name(s)
Surname
Taxpayer Identication Number (TIN):
Residential address (PO Box is NOT acceptable):
Suburb:
State:
Postcode:
Country:
* A Controlling Person is any individual who directly or indirectly exercises control over the Trust. For a Trust, this includes Trustees, Settlors, Protectors or Beneciaries.
For a Trustee company this includes any benecial owners controlling more than 25% of the shares in the company or Senior Managing Ocials.
Tax Residency rules dier by country. Whether an individual is tax resident of a particular country is often (but not always) based on the amount of time a person spends
in a country, the location of a person’s residence or place of work. For the US, tax residency can also be as a result of citizenship or residency.
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IDENTIFICATION FORM UNREGULATED TRUSTS & TRUSTEES
5.3 Country of Tax Residency
Is the Trust a tax resident of a country other than Australia?
Yes No
If Yes, please provide the Trust’s country of tax residence and tax identication number (TIN) or equivalent below. If the Trust is a tax resident of more than
one other country, please list all relevant countries below.
If No, the form is now complete.
A TIN is the number assigned by each country for the purposes of administering tax laws. This is the equivalent of a Tax File Number in Australia or a Employee
Identication Number in the US. If a TIN is not provided, please list one of the three reasons specied (A, B or C) for not providing a TIN.
Tax resident 1
Full given name(s)
Surname
Taxpayer Identication Number (TIN): If no TIN, list reason A, B or C
Country:
Tax resident 2
Full given name(s)
Surname
Taxpayer Identication Number (TIN): If no TIN, list reason A, B or C
Country:
Tax resident 3
Full given name(s)
Surname
Taxpayer Identication Number (TIN): If no TIN, list reason A, B or C
Country:
If there are more countries, provide details on a separate sheet and tick this box.
Reason A The country of tax residency does not issue TINs to tax residents
Reason B The individual has not been issued with a TIN
Reason C The country of tax residency does not mandate provision of the TIN.
CAN-SCH087_005_08.24
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