DIMENSIONAL WHOLESALE TRUSTS
Application Form | 23 July 2021
Issuer: DFA Australia Limited (‘Dimensional’) ABN 46 065 937 671 Australian Financial Services Licence number: 238093
Date of Product Disclosure Statements: 26 May 2020 (with the exception of the PDS for the Dimensional Emerging Markets
Sustainability Trust which is dated 23 July 2021)
Denitions of certain capitalised terms used in this application form appear in the Glossary attached to the Additional Information Guide
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 1
SECTION TOPIC
1 Introduction
2 Investor Details
3 Individual / Individual Trustee(s) / Sole Trader(s)
4 Company / Corporate Trustee / Association / Co-operative / Partnership / Government Body
5 Trust / Superannuation Fund / Deceased Estate / Other
6 Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS)
7 Investor Contact Details
8 Annual Report
9 Investment Details
10 Redemption and Distribution Bank Details
11 Adviser Contact Details
12 Investor Identication
13 Third-Party Technology Providers
14 Declarations and Signatures
15 Appendix
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 20212
SECTION 1 INTRODUCTION
All new applications must either have approval through a Dimensional relationship or be submitted through a participating adviser
(Section 12) and meet our minimum initial investment requirements (Section 9). If you do not have an existing relationship with
Dimensional or a participating adviser please contact our client services team at (+612) 8336 6556 before submitting an application.
Please complete all relevant sections of the application form in CAPITAL LETTERS and sign Section 14.1
Please email through your application form and Identication Information to Dimensional at [email protected]
for review. Once approved your original application form and certied copies of Identication Information for initial investments MUST
be mailed to the Unit Registry postal address. Dimensional will not accept an application form or Identication Information from a new
investor via facsimile or email.
1.1
Are you an existing investor with Dimensional?
Yes (If yes, please provide existing account number and name) No (Go to Section 1.2)
Existing account number:
Existing account name:
If any of your details have changed please complete the relevant sections for your investor type specied in Section 1.3.
If there are no changes to the details of your existing account, please complete Section 9 and sign Section 14.1
1.2
Anti Money Laundering and Counter Terrorism Financing Identication Information
As detailed in Section 1.1.4 of the Additional Information Guide, the AML/CTF Act and Rules oblige Dimensional to collect
Identication Information from prospective Investors.
You or your Participating Adviser must submit the application form with the relevant supporting evidence of your identity (‘Identication
Information’) as outlined in Section 12 and the Appendix. If the application form is not completed properly, or Dimensional is not
satised with the Identication Information, Dimensional may request additional Identication Information or reject the application.
If you have already provided the required Identication Information to Dimensional, you do not need to resupply it with this application
form.
1.3
Completing your application form based on Investor Type
Note that ONLY legal entities are allowed to hold units in the Trusts. Applications must be in the name of a natural person, company
or a legal entity acceptable to Dimensional.
Please your investor type and complete all referenced sections:
INVESTOR TYPE SECTIONS
Individual, which includes:
• Joint investors
• Child/minor accounts
• Sole traders
2, 3, 6 to 14
Company, which includes:
• Custodians/Wraps
2, 4, 6 to 14
Trust and Superannuation Fund, which includes:
• Individual(s) acting as Trustee(s) or Executor(s)
• Company acting as Trustee(s)
• Company acting as Nominee/Custodian
2, 3, 5, 6 to 14
2, 4, 5, 6 to 14
2, 4, 5, 6 to 14
Partnership 2, 4, 6 to 14
Association 2, 4, 6 to 14
Co-operative 2, 4, 6 to 14
Government Body 2, 4, 6 to 14
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 3
SECTION 2 INVESTOR DETAILS
You are not obliged to quote your Tax File Number (TFN) or Australian Business Number (ABN). However, if you do not quote either
of them, Dimensional is required to deduct tax from your distributions at the highest marginal tax rate, plus the Medicare Levy. If you
are exempt from quoting a TFN, please provide your reason for the exemption and your exemption number.
All non-resident investors are required to provide their tax information in Section 6 of this application.
2.1
Residency status
Please appropriate option:
Residency status for tax purposes: Australian resident Non-resident
SECTION 3 INDIVIDUAL / INDIVIDUAL TRUSTEE(S) / SOLE TRADER(S)
3.1
Individual 1 (all elds are mandatory)
Title: Mr Mrs Miss Ms Dr
Surname:
Given name(s):
Date of birth: / /
Tax le number:
OR reason
for exemption:
Are you a ‘Politically Exposed Person’?
(Politically Exposed Persons are individuals who occupy, or have occupied, prominent public positions, including prominent positions
in international organisations both within and outside Australia, or their close family or associates). See full denition in the Appendix.
Note, Dimensional may request additional information from you.
Yes No
3.2
Individual 2 (for joint investors, all elds are mandatory)
Title: Mr Mrs Miss Ms Dr
Surname:
Given name(s):
Date of birth: / /
Tax le number:
OR reason
for exemption:
Are you a ‘Politically Exposed Person’?
(Politically Exposed Persons are individuals who occupy, or have occupied, prominent public positions, including prominent positions
in international organisations both within and outside Australia, or their close family or associates). See full denition in the Appendix.
Note, Dimensional may request additional information from you.
Yes No
If you are a joint investor, go to Section 3.2
Otherwise, go to Section 3.3
Go to Section 3.3
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 20214
3.3
Individual trustee(s)
Are you making this investment in your capacity as trustee(s)?
Yes (If yes, please complete Section 5 for trust details) No (Go to Section 3.4)
3.4
Sole traders
Are you making this investment as a sole trader?
Yes (If yes, please provide business name and ABN) No
Business name:
ABN:
Go to Section 6
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 5
SECTION 4 COMPANY / CORPORATE TRUSTEE / ASSOCIATION / CO-OPERATIVE
/ PARTNERSHIP / GOVERNMENT BODY
For accounts with multiple entities / trustees, please submit a separate Section 4 with details of each additional entity / trustee.
4.1
Entity Details (all elds are mandatory)
Full legal name:
Tax le number:
OR reason
for exemption:
ABN/ACN/ARBN:
Country
of establishment:
4.2
Entity type
Please appropriate option:
ENTITY TYPE YES DETAILS
Listed company Name of market:
Regulated company Name of regulator and licence no:
Majority-owned
subsidiary of
an Australian
listed company
Australian listed company name:
Name of market:
Other company*
Provide description:
Public: Proprietary:
Association*
Provide ID number issued by
relevant registration body (if any):
Incorporated: Unincorporated:
Co-operative*
Provide ID number issued by
relevant registration body (if any):
Partnership*
Name of association regulating
partnership and membership
details (if any):
Government Body Commonwealth of Australia: Australian State or Territory: Foreign country:
Provide name of legislation
establishing the government body:
Go to Section 4.2
* Go to Section 4.2a
Otherwise, go to Section 4.3
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 20216
4.2a
Benecial Owner details
‘Benecial Owner’ means an individual (natural person) who ultimately owns or controls (directly or indirectly) the investor. ‘Control’
includes control as a result of, or by means of, trusts, agreements, arrangements, understandings and practices, whether or not
having legal or equitable force and whether or not based on legal or equitable rights, and includes exercising control through the
capacity to determine decisions about nancial and operating policies. ‘Owns’ means ownership (either directly or indirectly) of 25%
or more of the investor.
Full name:
Residential address of the Benecial Owner (P.O. Box not accepted):
Date of birth: / /
Are you a ‘Politically Exposed Person’?
(Politically Exposed Persons are individuals who occupy, or have occupied, prominent public positions, including prominent
positions in international organisations both within and outside Australia, or their close family or associates). See full denition in the
Appendix. Note, Dimensional may request additional information from you.
Yes No
If there is more than one Benecial Owner, please provide additional Benecial Owner details on a separate piece of paper that is
marked with the investor’s name and include it with this application form.
4.3
Corporate trustee
Are you making this investment as a corporate trustee?
Yes (go to Section 5) No (go to Section 6)
Go to Section 4.3
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 7
SECTION 5 TRUST / SUPERANNUATION FUND / DECEASED ESTATE / OTHER
5.1
Trust Details
A trust or superannuation fund is not a legal entity and cannot be the registered investor in its own right.
The trustee must be the registered investor. An application form cannot be accepted where the trustee details are missing.
Please the relevant category below:
Individual trustee(s) ensure Section 3 is completed
Corporate trustee(s) ensure Section 4 is completed
Full name of Trust:
Full name of Trustee:
Tax le number of Trust:
OR reason for exemption:
ABN/ACN/ARBN of Trust:
Country of establishment:
5.2
Type of Trust
Please appropriate option:
TRUST TYPE YES DETAILS
Regulated Trusts
Registered managed
investment scheme
Provide ARSN:
Australia APRA regulated
trust or fund
(industry, retail or public sector fund)
Provide SFN:
Self-managed
superannuation fund
(SMSF)
Provide ABN:
Government
superannuation fund
Provide name of legislation
establishing the fund:
Non-Australian pension
fund
Provide name of regulator/
registration/licence details:
Master fund (IDPS
platforms such as WRAP’s
and Master Trusts)
Provide name of regulator:
Continued on next page
Go to Section 5.2
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 20218
5.2
Type of Trust (continued)
Please appropriate option:
TRUST TYPE YES DETAILS
Unregulated Trusts
Family trust
*
Provide full name of the ‘Settlor’ of the trust (if applicable, see below):
(Provide certied copy or certied extract of the trust deed)
Charitable trust*
Provide full name of the ‘Settlor’ of the trust (if applicable, see below):
(Provide certied copy or certied extract of the trust deed)
Deceased Estate
(Provide certified copy of the death certificate and Grant of Probate/Letters of Administration)
Other trust*
Provide full name of the ‘Settlor’ of the trust (if applicable, see below):
(Provide certied copy or certied extract of the trust deed)
Settlor of the trust (i.e. the grantor or donor of the trust): provide details of the Settlor of the trust if they contributed $10,000 or
more to the trust and they are alive at the date of this application.
5.2a
Benecial Owner details (if Unregulated Trust type is selected in Section 5.2)
‘Benecial Owner’ means an individual (natural person) who ultimately owns or controls (directly or indirectly) the investor. ‘Control’
includes control as a result of, or by means of, trusts, agreements, arrangements, understandings and practices, whether or not having
legal or equitable force and whether or not based on legal or equitable rights, and includes exercising control through the capacity to
determine decisions about nancial and operating policies. ‘Owns’ means ownership (either directly or indirectly) of 25% or more of the
investor.
Full name:
Residential address of the Benecial Owner (P.O. Box not accepted):
Street Address:
Suburb: State:
Postcode: Country:
Date of birth: / /
Is the Benecial Owner a ‘Politically Exposed Person’?
(Politically Exposed Persons are individuals who occupy, or have occupied, prominent public positions, including prominent positions
in international organisations both within and outside Australia, or their close family or associates). See full denition in the Appendix.
Note, Dimensional may request additional information from you.
Yes No
If there is more than one Benecial Owner, please provide additional Benecial Owner details on a separate piece of paper that is
marked with the investor’s name and include it with this application form.
*Go to Section 5.2a
Otherwise, go to Section 6
Go to Section 6
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 9
SECTION 6 FOREIGN ACCOUNT TAX COMPLIANCE ACT (FATCA) AND COMMON
REPORTING STANDARD (CRS) - MANDATORY
The collection of personal information in this Section is in accordance with the United States Foreign Account Tax Compliance Act
(FATCA) and Organisation for Economic Cooperation and Development (OECD) Common Reporting Standard (CRS).
If you do not provide the requested information, Dimensional will not be able to accept your application.
Kindly tick the appropriate box below relating to your application;
Individual, sole trader or deceased estate *
Entity (e.g. company, trust, partnership, association, registered co-operative or government body).
6.1
FATCA/CRS certication of individual, joint individual, sole trader or deceased estate
(A) Is the account to be held by an individual acting in the capacity of executor or administrator of a deceased estate?
Yes – ensure one of the following supporting documents have been submitted with your application;
• Certied copy of the death certicate or Grant of Probate/Letters of Administration
If you selected Yes above, your FATCA/CRS certication is complete.
No – proceed to question B.
(B) Is/are all of the individual applicants (including the person/s for whom the account will be held e.g. a children’s account) a citizen
or a resident for tax purposes in a country other than Australia?
Yes – provide the Foreign Individual Investors and Individual Benecial Owner details below. Note: If an individual is both
an Australian and a foreign tax resident, or a tax resident of more than one foreign country, you must also provide this
information.
No – your FATCA/CRS certication is complete and no further information is required.
Only some of the individuals are Australian tax residents:
• For those Individuals who are Australian tax residents only, no further information is required
• For the remaining individuals (ie who are NOT solely Australian tax residents), please provide the Foreign Individual
Investors and Individual Benecial Owner details below.
Foreign Individual Investor(s) and Individual Benecial Owner(s) details
Please provide ALL information, including your foreign TIN (Taxpayer Identication Number), or exclusions, as relevant.
Full name of individual 1:
Date of Birth: / /
Street address
(P.O. Box not accepted):
Country 1
of tax residency:
Country 2
of tax residency:
Continued on next page
*Go to Section 6.1
Otherwise, go to Section 6.2
Go to Section 7
Go to Section 7
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202110
TIN 1
If you do not have a TIN (or equivalent) select one of the following:
The country of tax residency does not issue TINs to tax residents
The individual has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
TIN 2
If you do not have a TIN (or equivalent) select one of the following:
Country does not require the TIN to be disclosed
The individual has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
Full name of individual 2:
Date of Birth: / /
Street address
(P.O. Box not accepted):
Country 1
of tax residency:
Country 2
of tax residency:
TIN 1
If you do not have a TIN (or equivalent) select one of the following:
The country of tax residency does not issue TINs to tax residents
The individual has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
TIN 2
If you do not have a TIN (or equivalent) select one of the following:
The country of tax residency does not issue TINs to tax residents
The individual has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
Please provide additional Benecial Owner details on a separate piece of paper that is marked with the investor’s name and
include it with this application form.
6.1
FATCA/CRS certication of individual (continued)
Go to Section 7
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 11
6.2
FATCA and CRS certication of an entity
Answer questions A, B & C (where applicable) if you are one of the following entities:
• A company or other incorporated body, or
• Another type of entity e.g. a trust, partnership, cooperative or association etc., or
• An individual/s that will hold the account on behalf of another entity that is a superannuation fund, trust, partnership,
government body, co-operative, association or other type of entity.
(A) Is the entity registered for Australian tax purposes?
Yes (If yes, ensure your ABN, ACN or ARBN has
been provided in Section 4.1 and go to question B)
No (Go to question B)
(B) Is this account holder a US citizen or a resident for tax purposes in a country other than Australia?
Yes (provide ALL information below, including your
foreign TIN (Taxpayer Identication Number), or
exclusions, as relevant)
No (Go to Section 6.3)
Country of
tax residency 1:
Address:
TIN 1
If you do not have a TIN (or equivalent) select one of the following:
The country of tax residency does not issue TINs to tax residents
The entity has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
Country of
tax residency 2:
Address:
TIN 2
If you do not have a TIN (or equivalent) select one of the following:
The country of tax residency does not issue TINs to tax residents
The entity has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
(C) If you answered Yes to question B above, is the account holder a “specied US person”?
Denition of "specied US person" can be found in the glossary of our Additional Information Guide on our public site
https://au.dimensional.com/funds
Yes No
Go to Section 6.3
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202112
6.3
Entity classication
Please appropriate classication:
An Australian regulated superannuation fund (including a complying SMSF), retirement or pension fund.
Please ensure you have provided the fund’s ABN in Section 4.1 to complete your certication.
If you selected this option, your certication is complete.
An account held by an entity acting in the capacity of executor or administrator of a deceased estate.
Ensure one of the following supporting documents have been submitted with your application:
• Certied copy of the death certicate or Grant of Probate/Letters of Administration
If you selected this option, your certication is complete.
Public Listed Company, or a Majority Owned Subsidiary of a Public Listed company or Registered Charity (includes
public listed companies or majority owned subsidiaries of listed companies that are not Financial Institutions).
Please ensure entity’s details are provided in Section 4.2
If you selected this option, your certication is complete.
Not a Financial Account. Certain accounts are NOT considered to be ‘Financial Accounts’ for the purposes of CRS and
FATCA. These include:
• An Employee Share Scheme or Trust as dened in the Income Tax Assessment Act 1997
• An Escrow Account established in connection with a court order or judgment, or a sale, exchange, or lease of real or
personal property where certain requirements have been met
If you selected this option, your certication is complete.
Exempt Benecial Owner. Under CRS and FATCA, an Exempt Benecial Owner includes, but is not limited to:
• Australian government organisation or agency
• Reserve Bank of Australia
• International (including intergovernmental) organisation
If you selected this option, your certication is complete.
Financial institution. Includes:
• Depository institution
• Investment entity
• Specied insurance company
• Custodian institution
Provide your Global Intermediary Identication Number (GIIN)*
* If GIIN not available, answer the following questions (A, B & C) on the following page.
Go to Section 7
Go to Section 7
Go to Section 7
Go to Section 7
Go to Section 7
Go to Section 7
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 13
Financial institution (continued)
(A) If you do not have a GIIN, what is your nancial institution status? (tick one):
Deemed Compliant Financial Institution
Excepted Financial Institution
Non-Reporting IGA Financial Institution
Non-participating Financial Institution
Other (describe the entity’s FATCA Status in the box provided)
(B) Are you an Investment Entity (nancial institution) located in a non-CRS participating jurisdiction and professionally managed by
another nancial institution? (Please refer to the Australian Tax Ofce (ATO) website for a list of CRS Participating Jurisdictions):
Yes (Go to question C & Complete Section 6.5) No (Go to question C)
(C) Is the registered holder of this account also a nancial institution?
Yes (provide the GIIN below for the registered holder) No*
*If the registered holder does not have a GIIN, what is its nancial institution status? (tick one):
Deemed Compliant Financial Institution
Excepted Financial Institution
Non-participating Financial Institution
Other (describe the entity’s FATCA Status in the box provided)
Non-Financial Entity (NFE) or (NFFE). This includes the following entity types:
• Private or proprietary company that is NOT a nancial institution
• Public unlisted company that is NOT a nancial institution
• Partnership
• Trust
• Co-operative
• Association or club
• Non-registered charitable organisation
• Other type of entity
Go to Section 6.4
6.3
Entity classication (continued)
Go to Section 7
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202114
6.4
NFE/NFFE entities
An entity is Active if it derives more than 50% of its income from the sale of goods or services AND it uses more than 50% of its assets
to generate income from the sale of goods or services. An NFE is Passive if it does not t the description of an Active entity OR is a
professionally-managed investment entity located in a non-participating CRS (Common Reporting Standard) jurisdiction.
(A) Is the NFE/NFFE Active or Passive?
Active (Go to Section 7) Passive (Go to question B)
(B) If the NFE/NFFE is Passive, are any of the entity’s Benecial Owners or Controlling Persons tax residents of countries other than
Australia?
Yes (provide the details of these individuals in
Section 6.5)
No (Go to Section 7)
6.5
Benecial Owner(s) Details
Entity foreign **Benecial owner(s) details (NB only foreign entities, Passive NFEs/NFFEs need to complete this section).
Please provide ALL information, including your foreign TIN (Taxpayer Identication Number) or exclusions, as relevant.
Full name of individual 1:
Date of Birth: / /
Street address
(P.O. Box not accepted):
Country 1
of tax residency:
Country 2
of tax residency:
TIN 1
If you do not have a TIN (or equivalent):
The country of tax residency does not issue TINs to tax residents
The individual has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
TIN 2
If you do not have a TIN (or equivalent):
The country of tax residency does not issue TINs to tax residents
The individual has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 15
TIN 1
If you do not have a TIN (or equivalent):
The country of tax residency does not issue TINs to tax residents
The individual has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
TIN 2
If you do not have a TIN (or equivalent):
The country of tax residency does not issue TINs to tax residents
The individual has not been issued with a TIN
The country of tax residency does not require the TIN to be disclosed
** ‘Benecial Owner’ means an individual (natural person) who ultimately owns or controls (directly or indirectly) the investor. ‘Control’
includes control as a result of, or by means of, trusts, agreements, arrangements, understandings and practices, whether or not having
legal or equitable force and whether or not based on legal or equitable rights and includes exercising control through the capacity to
determine decisions about nancial and operating policies. ‘Owns’ means ownership (either directly or indirectly) of 25% or more of the
investor.
Go to Section 7
6.5
Benecial Owner(s) (continued)
Full name of individual 2:
Date of Birth: / /
Street address
(P.O. Box not accepted):
Country 1
of tax residency:
Country 2
of tax residency:
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202116
SECTION 7 INVESTOR CONTACT DETAILS
An individual applicant is required to supply his/her residential address. Business applicants are required to supply the registered
ofce address and principal place of business address. The Corporations Act 2001 requires Dimensional to record the applicant’s
address and to provide disclosure and periodic statements directly to the investor. Dimensional will not accept an applicant’s
residential or registered address that is care of an agent who is a nancial services licensee or an authorised representative or
employee of a nancial services licensee.
7.1
Residential/Registered ofce address (mandatory): PO Box not accepted
Street address:
c/- (if applicable):
Suburb:
State: Postcode:
Country
(if not Australia):
Telephone (Home):
Telephone
(Business):
Telephone
(Mobile):
Email:
Facsimile:
The Unit Registry’s default communication is via email. If you have provided us with your email address, you are consenting to
Dimensional using this email address to provide you with information about your investment (such as transaction conrmations,
statements, reports and other materials or notications required by the Corporations Act) or Dimensional’s products, services and
offers. You agree that Dimensional may use your email address to provide you with a PDS, including by notifying you when a PDS
has been published on its website and how you can download it. You may at any time unsubscribe from receiving disclosures from
Dimensional, in which case you will receive disclosures by mail. If you would prefer to receive paper copies via mail, tick the box below.
Opt out of electronic correspondence
Telephone (Home):
Telephone
(Business):
Telephone
(Mobile):
Email:
Facsimile:
The Unit Registry’s default communication is via email. If you have provided us with your email address, you are consenting to
Dimensional using this email address to provide you with information about your investment (such as transaction conrmations,
statements, reports and other materials or notications required by the Corporations Act) or Dimensional’s products, services and
offers. You agree that Dimensional may use your email address to provide you with a PDS, including by notifying you when a PDS
has been published on its website and how you can download it. You may at any time unsubscribe from receiving disclosures from
Dimensional, in which case you will receive disclosures by mail. If you would prefer to receive paper copies via mail, tick the box below.
Opt out of electronic correspondence
Go to Section 7.2
7.1a
Contact details for Individual 1 or Primary contact (mandatory)
7.1b
Contact details for Individual 2 (mandatory if applicable to the application)
Go to Section 7.2
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 17
7.3
Principal place of business (mandatory for business applicants only)
Street address:
Suburb:
State: Postcode:
Country
(if not Australia):
Telephone
(Business):
Fax:
Email:
SECTION 8 ANNUAL REPORT
Please appropriate option:
I/We would like to be notied by email when the annual report is available on the Dimensional website
I/We would like to receive a printed copy of the annual report in the mail each year
I/We do not want to be notied by email, and do not want to receive a printed copy in the mail
Note: If you do not select an option you are expressly consenting to receiving the annual report electronically, and you are choosing
not to receive a printed copy of these documents in the mail. When the annual report is ready, Dimensional will notify you how to
access an electronic copy of these documents.
Go to Section 8
Go to Section 9
7.2
Address for correspondence (leave blank if same as Section 7.1)
Street address:
Suburb:
State: Postcode:
Country
(if not Australia):
Go to Section 7.3
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202118
SECTION 9 INVESTMENT DETAILS
9.1
Investment amounts for applications made in Australian dollars (AUD)
Initial Investment
Minimum initial investment is $25,000
Additional Investment
Minimum additional investment is $5,000
Dimensional may refuse any investment which would not result in the investor having an account balance across all Dimensional
Wholesale Trusts of at least $500,000. Dimensional has discretion to accept lesser amounts.
A contribution fee may be charged and deducted from each investment amount. Please see section 6 of the relevant PDS for details.
If you do not make a distribution election, distributions will automatically be reinvested in additional units in the relevant Trust.
Investment Amount (A$)
Distribution Option
Please option:
APIR
Code
Fund Name
Fund
Code
Currency Reinvest
Deposit in
Nominated
Account
DFA0100AU Dimensional Short Term Fixed Interest Trust DFA01
DFA0002AU
Dimensional Two-Year Diversied Fixed Interest Trust
- AUD Class
DFA02
DFA0108AU
Dimensional Five-Year Diversied Fixed Interest Trust -
AUD Class
DFA03
DFA0005AU Dimensional Global Real Estate Trust - Unhedged Class DFA05
DFA0003AU Dimensional Australian Core Equity Trust DFA06
DFA0101AU Dimensional Australian Value Trust DFA07
DFA0103AU Dimensional Australian Large Company Trust DFA08
DFA0104AU Dimensional Australian Small Company Trust DFA09
DFA2068AU Dimensional Australian Sustainability Trust DFA30
DFA0004AU Dimensional Global Core Equity Trust - Unhedged Class DFA10
DFA0009AU Dimensional Global Core Equity Trust - AUD Hedged Class DFA11
DFA0102AU Dimensional Global Value Trust DFA13
DFA0105AU Dimensional Global Large Company Trust DFA14
DFA0106AU Dimensional Global Small Company Trust DFA15
DFA0107AU Dimensional Emerging Markets Trust DFA16
DFA8887AU Dimensional Emerging Markets Sustainability Trust DFA33
DFA0028AU Dimensional Global Bond Trust - AUD Class DFA17
DFA8313AU Dimensional World Allocation 30/70 Trust DFA31
DFA7518AU Dimensional Sustainability World Allocation 70/30 Trust DFA32
DFA0029AU Dimensional World Allocation 70/30 Trust DFA19
DFA0033AU Dimensional World Allocation 50/50 Trust DFA20
DFA0035AU Dimensional World Equity Trust DFA21
DFA0036AU Dimensional Australian Core Imputation Trust DFA22
DFA0041AU Dimensional Global Sustainability Trust Unhedged Class DFA23
DFA0042AU Dimensional Global Sustainability Trust AUD Hedged Class DFA24
DFA0642AU Dimensional Global Bond Sustainability Trust - AUD Class DFA28
TOTAL
Please refer to Section 9.2 for New Zealand funds.
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
A$
Clear
0.00
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 19
9.2
Investment amounts for applications made in New Zealand dollars (NZD)
Initial Investment
Minimum initial investment is $25,000
Additional Investment
Minimum additional investment is $5,000
Dimensional may refuse any investment (i) which would not result in the investor having an account balance across all Dimensional
Wholesale Trusts of at least $500,000; or (ii) in NZD class units by an investor who is not a wholesale client under the Corporations
Act. Dimensional has discretion to accept lesser amounts.
A contribution fee may be charged and deducted from each investment amount. Please see section 6 of the relevant PDS for details.
If you do not make a distribution election, distributions will automatically be reinvested in additional units in the relevant Trust.
Investment Amount (NZ$)
Distribution Option
Please option:
APIR
Code
Fund Name
Fund
Code
Currency Reinvest
Deposit in
Nominated
Account
DFA0045AU
Dimensional Two-Year Diversied Fixed Interest Trust
- NZD Class
DFA26
DFA0001AU
Dimensional Five-Year Diversied Fixed Interest Trust -
NZD Class
DFA04
DFA0044AU Dimensional Global Real Estate Trust - NZD Hedged Class DFA27
DFA0039AU Dimensional Global Core Equity Trust - NZD Hedged Class DFA12
DFA0038AU Dimensional Global Bond Trust - NZD Class DFA18
DFA0043AU Dimensional Global Sustainability Trust NZD Hedged Class DFA25
DFA6872AU Dimensional Global Bond Sustainability Trust - NZD Class DFA29
TOTAL
Go to Section 9.3
NZ$
NZ$
NZ$
NZ$
NZ$
NZ$
NZ$
NZ$
Clear
0.00
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202120
9.3
How to invest
Please how payment will be made:
Cheque Please make cheques payable to:
‘Dimensional Wholesale Trusts (1017E App Acct)’ and crossed not negotiable. Please send the completed application
form, Identication Information (if applicable – refer to Section 12 and the Appendix) and cheque to the Unit Registry (Please
refer to Section 14.2 for postal address).
Note: Cheques cannot be accepted in New Zealand dollars.
Please note that Dimensional only accepts cheque applications after cleared funds are available. Dimensional reserves the
right to waive this condition at its discretion. Cheques generally require several business days to clear.
Electronic Transfer
For Australian dollar transfers
Account name: Dimensional Wholesale Trusts
(AUD 1017E App Acct)
Bank: Citibank NA, Australia
BSB: 242 000
Account Number: 214274027
Swift code: CITIAU2X
For New Zealand dollar transfers (only for NZD class units)
Account name: Dimensional Wholesale Trusts
(NZD 1017E App Acct)
Bank: Citibank NA, Australia
BSB: 242 000
Account Number: 214274035
Swift code: CITIAU2X
Intermediary bank Swift code: CITINZ2X
Notes:
• Please quote your eight digit investor number as a payment description for electronic application payments (existing investors only).
• Please fax (existing investors only) OR mail your completed application form to the contact details specified in Section 14.2 of the
application form.
• Original documentation for initial investments MUST be mailed to the Unit Registry postal address.
Go to Section 10
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 21
SECTION 10 REDEMPTION AND DISTRIBUTION BANK DETAILS
All nominated bank account(s) must be in the name of the investor. If the investor is a trustee, the bank account name should include
the name of the trustee.
10.1
Redemption bank account details (mandatory)
Please appropriate option:
Australia dollar bank account New Zealand dollar bank account
Name of bank:
Full account name:
BSB: Account No:
Swift Code
(for NZD accounts only):
10.2
Distribution bank account details (if different to redemption account in Section 10.1)
Please appropriate option:
If you do not make a distribution election in Section 9.1 and/or Section 9.2, distributions will automatically be reinvested in additional
units in the relevant Trust.
Australia dollar bank account New Zealand dollar bank account
Name of bank:
Full account name:
BSB: Account No:
Swift Code
(for NZD accounts only):
Go to Section 10.2
Go to Section 11
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202122
SECTION 11 ADVISER CONTACT DETAILS
If you are making this investment via a Participating Adviser, please complete the following details. Where an adviser is noted on your
account, Dimensional may provide information about your investment to that adviser (including online access), unless you notify us
otherwise.
Licensed
adviser entity:
AFSL no:
Individual
adviser:
Adviser no
(if applicable):
Mailing address:
Suburb: State:
Postcode: Country:
Telephone
(Business):
Fax:
Telephone
(Mobile):
Email:
The Unit Registry’s default communication is via email. If you have provided us with your adviser’s email address, you are consenting
for your adviser to receive information about your investment (such as transaction conrmations, statements, reports and other
materials or notications required by the Corporations Act) or Dimensional’s products, services and offers.
If your adviser prefers paper copies via mail, tick the box below.
Opt out of electronic correspondence.
Go to Section 12
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 23
SECTION 12 INVESTOR IDENTIFICATION
Under the AML/CTF Act and Rules, Dimensional is obligated to collect Identication Information from investors.
If you have provided Identication Information previously, then you do not need to provide additional Identication Information unless
your details have changed
12.1
Is this investment made via a Participating Adviser?
Please appropriate option:
Yes, I have applied through a Participating Adviser (See Section 1.1.2 of the Additional Information Guide). The Participating
Adviser must complete Section 12.2 of the application form.
No, I am NOT investing through a Participating Adviser. Please refer to the Appendix of the application form for the Identication
Information requirements. (Go to Section 14)
12.2
AML/CTF investor identication certication (Participating Adviser to complete)
In accordance with Part 7.2 of the AML/CTF Rules, Dimensional is relying upon you to verify the identity of the investor and where
relevant any Benecial Owners or Politically Exposed Persons (collectively “Applicant”).
In verifying the identity of the Applicant:
• I confirm that I have complied with the requirements of the AML/CTF Act and Rules (as defined in the Additional Information Guide).
• I understand that I am legally required to have verified the identity of the Applicant prior to providing the designated service (that is,
arranging for the Applicant to invest in the Trusts).
• I acknowledge that, as permitted by the AML/CTF Act and Rules, Dimensional will rely on the Applicant identification that I conduct.
Unless requested, Dimensional does not require certified copies or originals of documents used by me to verify the identity of an
Applicant.
• Dimensional may (as required) seek additional information from me or the Applicant to verify the identity of the Applicant.
• I acknowledge that Dimensional will not accept an application until it is satisfied that the identity of the Applicant is verified.
• I confirm that, in accordance with the requirements of the AML/CTF Act and Rules, I will retain all documentation (for up to seven years
after our relationship with the Applicant has ended) used by me to verify the identity of the Applicant, and will grant Dimensional access
to such documents upon request.
Please attach a copy of the appropriate FPA/FSC identication form.
I conrm that I have veried the identity of the Applicant in accordance with the AML/CTF Act and Rules.
I have read, understood and agreed to comply with the above:
Signed (must be signed by the Participating Adviser)
Sign here
Date: / /
SECTION 13 THIRD-PARTY TECHNOLOGY PROVIDERS
Consent to provide details to Third-party Technology Providers
To assist with your personal portfolio reporting in conjunction with your Participating Adviser, you may choose to allow your account
details (including Investor Number, Tax File Number (if applicable), holdings in the Dimensional Wholesale Trusts, transaction details
and distribution data) to be shared with a Third-Party Technology Provider such as Class Limited and Iress Ltd (operating Xplan), on
the terms set out in the Applicant Declarations.
Iress Ltd (operating Xplan)
I/We consent to provide account details to Iress Ltd
I/We do not consent to provide account details to Iress Ltd
Go to Section 13
Go to Section 14
Clear
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202124
SECTION 14 DECLARATIONS AND SIGNATURES
The following declarations are made by an investor and where an
investor is not an individual, by the authorised signatories acting
for and on behalf of an investor entity (which includes companies,
trusts and partnerships).
• I/We must pay application monies equal to the total investment
amount plus any applicable fees payable at the time of
submission of this application form (Application Monies), in
accordance with the PDS for the relevant Trusts that I am /we
are investing in (Relevant Trusts) and this application form, and
I/we acknowledge that Dimensional has discretion to accept my/
our application in part only, including where Dimensional receives
Application Monies that are less than the total investment amount
plus any applicable fees payable (whether due to the deduction of
bank fees or otherwise);
• I/We have personally received the PDS and Additional Information
Guide for each Relevant Trust in Australia or New Zealand* and
read the PDS and Additional Information Guide (which forms part
of the PDS) for each Relevant Trust in Australia or New Zealand*
(either printed or by electronic means) accompanied by or
attached to the application form;
• If I am/we are investing or will invest in the Trusts via the
Investment Portal (as described in the PDS), I/we have accessed,
read and accepted the terms and conditions for the Investment
Portal available on Dimensional’s public web site at www.
dimensional.com.au;
• I/We have read Section 8 covering ‘Privacy’ in the PDS for each
Relevant Trust, and Dimensional’s Privacy Policy available at
https://au.dimensional.com/privacy-policy (Privacy Policy) and
agree Dimensional may collect, use and/ or disclose information
about me/us of the type and in the manner referred to in that
section and in accordance with the Privacy Policy;
• I/We acknowledge that my/our instructions to any financial
institution to electronically transfer Application Monies to the
application account provided in this application form are not
processed instantly; inherent limitations in the banking system
can delay the receipt and identification of my/ our Application
Monies and Dimensional does not accept any responsibility for
deposits it does not know about or otherwise not made known to
Dimensional including, without limitation, Application Monies that
have been deposited in the application account but are only made
known to Dimensional at a later date and/or time (regardless if
such deposits are recorded with an earlier deposit date and/or
time);
• I/We agree to indemnify Dimensional and the Trust(s) against
any liability, losses, damages, costs and expenses reasonably
suffered or incurred by Dimensional or the Trust(s) (whether
arising in contract or tort (including negligence) or under any
statute or under any other cause of action) in the event that
Application Monies are not received in cleared funds. Such costs
could for example include losses incurred by the Trusts as a direct
result of adverse market movement where Dimensional exercises
its discretion to enter into transactions on behalf of the Trusts in
anticipation of the receipt of cleared funds;
• I am/We are not, nor to the best of my/our knowledge are any
Beneficial Owners or Controlling Persons, commonly known by
any other names different to those disclosed in this application
form;
• I/We have read Section 1.1.4 of the Additional Information Guide
for each Relevant Trust titled ‘Anti-money laundering’ and have
provided my/ our Participating Adviser with certified copies of
acceptable Identification Information OR I/We are not investing
through a Participating Adviser, and therefore have included
certified copies of acceptable Identification Information with this
completed application form as described in the Appendix to the
application form;
• I/We declare that I/We are not aware and have no reason to
suspect that the Application Monies have been derived from,
or are related to, money laundering activities or the financing of
terrorism (as those terms are defined in the AML/CTF Act and
Rules);
• I/We agree to be bound by the PDS and Additional Information
Guide, and the relevant Constitution, for each Relevant Trust (as
amended from time to time);
• Neither Dimensional nor any of its related bodies corporate or
associates guarantees the repayment of capital invested in, or
the performance of, any Trust;
• If I am/We are an individual(s), that I am/we are aged 18 years or
over;
• It is my/our sole responsibility to keep Dimensional updated with
any changes to my/our personal or bank account details;
• If I/We have accessed an electronic version of the PDS and
Additional Information Guide for each Relevant Trust, I/We have
only accessed that PDS and Additional Information Guide for
each Relevant Trust from within Australia or New Zealand*;
• If this application is by a body corporate, this application form is
signed in accordance with its constitution and the Corporations
Act; and
• If I am/we are signing this application form under a power of
attorney, no notice of revocation of that power has been received
and the donor that appointed me/us is still living.
Unless otherwise disclosed expressly to the contrary in this
application form:
• I/We am/are not a United States citizen or a resident of the
United States for taxation purposes (US Person) or otherwise a
resident of a country other than Australia;
• No person or entity controlling, owning or otherwise holding an
interest in me/us is a US Person or otherwise a resident of a
country other than Australia;
• l/We will not be receiving any financial product referred to in,
or contemplated by, the PDS for each Relevant Trust or any
payment in connection therewith for the account or benefit of
a US Person or otherwise a resident of a country other than
Australia;
• I/We agree to promptly provide Dimensional with any
information it may request from me/us from time to time,
including information it requires to comply with its obligations
under the Foreign Account Tax Compliance Act (FATCA) and
the Agreement between the Government of Australia and
the Government of the United States of America to Improve
International Tax Compliance and to Implement FATCA entered
into on 28 April 2014 and any related Australian Law or guidance
implementing the same (FATCA IGA);
• I/We agree to promptly provide Dimensional with any information
it may request from me/us from time to time, including
information it requires to comply with its obligations under
the Common Reporting Standard (CRS) in order to assist
in exchanging financial account information on foreign tax
residents;
• I/We agree to promptly notify Dimensional of any change to the
information I/We have previously provided Dimensional including
any changes which result in a person or entity, controlling or
otherwise holding an interest in me/us who is a US person or
otherwise a resident of a country other than Australia;
• I/We consent to Dimensional using and/or disclosing any
information it has in compliance with its obligations under the
FATCA IGA and CRS. This may include disclosing information
to the Australian Taxation Office, who may in turn report that
information to the US IRS or alternatively, any other regulatory
tax body participating under the CRS framework;
• I/We waive any provision of domestic or foreign law that would,
absent a waiver, prevent Dimensional from complying with its
obligations under FATCA, the FATCA IGA or CRS regime.
*Except for the Dimensional Australian Core Imputation Trust which is not currently registered or offered in New Zealand.
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 25
SECTION 14 DECLARATIONS AND SIGNATURES
Third-party Technology Providers Declarations
If I/we have selected the option to provide details to a Third-party
Technology Provider, I/we:
• consent to Dimensional and/or its agents (including the Unit
Registry) providing, on an ongoing basis, the following details
regarding my/our account (which may constitute personal
information) to Third-party Technology Providers:
• Investor Number;
• Tax file number (if applicable);
• Holdings in the Dimensional Wholesale Trusts (by units and
by value);
• Transaction details;
• Distribution data; and
• Any other details considered appropriate by Dimensional
from time to time;
• acknowledge that Dimensional will only provide to Third-party
Technology Providers details regarding the account which is the
subject of this application, and not for any other accounts also
held in my/our name in a Dimensional Wholesale Trust;
• acknowledge that Dimensional will only provide to Third-party
Technology Providers the details set out above until (i) I/we
notify Dimensional in writing that I/we no longer wish for this to
occur; and/or (ii) Dimensional determines in its discretion to no
longer provide the details to one or more Third-party Technology
Providers;
• acknowledge that to the extent permitted by law, Dimensional
will not be responsible or liable for losses, damages, expenses
and costs suffered or incurred directly or indirectly as a result
of the actions of any Third-party Technology Provider or for
the availability, accuracy or currency of any of the information
provided by any Third-party Technology Provider;
• acknowledge that, until otherwise advised, the Third-party
Technology Providers cannot be used to make transactions in
respect of the Dimensional Wholesale Trusts; and
• declare and warrant that I/we will notify Dimensional as soon as
possible if I/we:
• no longer use, or wish to use, Third-party Technology
Providers; or
• no longer want Dimensional to continue providing my/
our details to a Third-party Technology Provider. Neither
Dimensional nor the Unit Registry will be liable for losses,
damages, expenses and costs suffered or incurred directly
or indirectly as a result of the actions of my/our current
or former Participating Adviser (including the actions of a
nominated person (if any)).
“Third-party Technology Providers” means any of the following
entities to whom I/we request or consent from time to time for
Dimensional and/or its agents (including the Unit Registry) to
provide my/our details:
• Class Limited;
• Iress Ltd (operating Xplan); and/or
• any other third-party technology provider determined by
Dimensional from time to time.
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202126
14.1
Account signing authorities
Please indicate below who can give Dimensional instructions in relation to your investment. If you do not tick one of the options, all
instructions must be signed by all the signatories below, or as otherwise permitted by law. You must provide a certied copy of all
authorised signatories.
Please one option:
Either Signatory 1 and 2 OR Signatory 1 and 2 OR Separate signatories list
Signatory 1:
Sign here
Date: / /
Name and Title (Director/Secretary/Sole Director/Trustee/Power of Attorney) – mandatory for corporate investors:*
Signatory 2:
Sign here
Date: / /
Name and Title (Director/Secretary/Sole Director/Trustee/Power of Attorney) – mandatory for corporate investors:*
* Please state your name and title in the company beneath your signature (e.g. director, secretary, sole director)
Signing the application form
INVESTOR TYPE REQUIRED SIGNATURE(S)
Individual Investor Where the investment is in one name, the investor must sign
Joint investors Must be signed by both investors
Corporate investors / Corporate
Trustee
A) Two directors; or
B) A director and secretary, or
C) A director (if signing as a sole director and sole company secretary of a proprietary company)
Superannuation/Trust Each trustee must sign
Power of attorney Please enclose an originally certied copy of the Power of Attorney with your application form.
The attorney certies that he/she has not received notice of revocation of that power.
14.2
Contact details
Post new account documentation to:
Citi Unit Registry Australia
GPO Box 764
Melbourne VIC 3001
Fax or Email subsequent transactions to: **
Citi Unit Registry Australia
Toll Free: 1300 886 407 (Australia)
Toll: +61 1300 886 407 (International) (existing investors only)
Email: DF[email protected]
** For further information on subsequent transactions please refer to the
Additional Information Guide (AIG)
Clear
Application Form - Dimensional Wholesale Trusts
DFA Australia Limited ABN 46 065 937 671
AFS Licence Number 238093 27
SECTION 15 APPENDIX - DIRECT INVESTOR IDENTIFICATION INFORMATION
REQUIREMENTS
Please provide the Identication Information (via post) with your
application form as set out below. If you are not able to provide all
the Identication Information, please contact the Unit Registry on
the client enquiry line Toll: (+613) 8643 9010 or Toll Free:
1300 884 560.
Individuals, sole traders, joint investors or
Benecial Owners
(i) Please provide a Certified copy of the following which
confirms the full name and either the date of birth or
residential address of the individual:
• photo page of an Australian passport; or
• an Australian driver’s licence containing a photo of the
person; or
• identity card issued under State or Territory for the purpose
of proving a person’s age containing a photo of the person;
or
• photo page of a foreign passport; if this is not available a
foreign driver’s licence containing a photo of the person.
Note: if the application is for a minor, the application should be
completed by the parent/guardian who will be the registered
holder. If you wish to include the name of the minor in the account,
please provide a Certied copy of the minor’s birth certicate.
Companies
(i) Regulated Company/listed company or majority owned
subsidiary of an Australian listed company: please
provide the following which confirms the full name and
that the company is regulated, listed or a majority owned
subsidiary of an Australian listed company:
• extract from the relevant market/exchange; or
• extract from the ASIC database; or
• details of the licence from the relevant regulator.
(ii) Other companies: please provide the following which
confirms the full name, identification number (e.g. ABN, ACN
or ARBN or foreign identification number) and whether the
company is registered as public or proprietary (private):
• Search of the ASIC or relevant foreign registration body
database; or
• Certified copy of the certificate of incorporation.
(iii) Unregulated proprietary company: please also provide
the full name of each director.
Regulated Company means a company that is licensed and
subject to the regulatory oversight of a Commonwealth, State
or Territory statutory regulator in relation to its activities as a
company.
Note: this section also applies to companies that are investing in
the capacity of a custodian of a separate entity such as custodian
of a superannuation fund, trust or platform.
Trusts and Trustees (including superannuation
funds)
(i) Australian Regulated Trusts: please provide the following
which confirms the full name of the trust and type of trust:
• Certified copy of the trust deed (or suitable extract thereof);
or
• extract from the ASIC database, ATO or relevant regulator’s
website; or
• offer document of the managed investment scheme (PDS);
or
• extract of the legislation establishing the government
superannuation fund.
(ii) Unregulated trusts: please provide the following which
confirms the full name of the trust:
• Certified copy of the trust deed (or suitable extract thereof);
or
• notice issued by the ATO within the last 12 months (e.g. a
Notice of Assessment).
Individual trustee: in relation to one of the trustees, please also
provide Identication Information required for an individual.
Corporate trustee: please also provide Identication Information
required for a company.
Regulated Trust means a trust that is: (i) a managed investment
scheme registered by ASIC; (ii) a managed investment scheme
that is not registered by ASIC and that: only has wholesale
clients; and does not make small scale offerings to which
section 1012E of the Corporation Act applies; (iii) registered and
subject to regulatory oversight of a Commonwealth statutory
regulator in relation to its activities as a trust (e.g. self-managed
superannuation fund); or (iv) a government superannuation fund
established by legislation.
Partnership and Partners
(i) Please provide a Certified copy of:
• the partnership agreement (or suitable extract thereof); or
• a notice issued by the ATO within the last 12 months (e.g.
Notice of Assessment).
(ii) If the partnership is regulated by a professional association,
please also provide a Certified copy of the current
membership certificate.
Partner: in relation to one of the partners, please also provide
Identication Information required for an individual.
Association and Member
(i) Please provide a Certified copy of the following which
confirms the full name of the association and ID number
issued on incorporation (if incorporated):
• constitution or rules of the association (or suitable extract
thereof); or
• extract from the ASIC database or the government body
responsible for the incorporation of the association.
Member: in relation to the member signing on behalf of the
association, please also provide the Identication Information
required for an individual.
Co-operative
(i) Please provide the following which confirms the full name
and any ID number issued to the co-operative (if any):
• extract from the ASIC database or the government body
responsible for the registration of the co-operative; or
• Certified copy of the register maintained by the co-operative
(or suitable extract thereof).
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202128
Government Body
(i) Please provide a copy of the following which confirms the
full name, principle place of operation and whether the
government body is a body of the Commonwealth, State or
Territory of Australia or a foreign country:
• relevant extract of the legislation establishing the
government body; or
• details of the government website.
Denitions
Certied copy means a document that has been certied as a
true copy of an original document by one of the following persons:
(i) a person who, under a law in force in a State or Territory, is
currently licensed or registered to practise in an occupation
listed in Part 1 of Schedule 2 of the Statutory Declarations
Regulations 2018;
(ii) a person who is enrolled on the roll of the Supreme Court of
a State or Territory, or the High Court of Australia, as a legal
practitioner (however described);
(iii) a person listed in Part 2 of Schedule 2 of the Statutory
Declarations Regulations 2018. For the purposes of these
Rules, where Part 2 uses the term ‘five or more years of
continuous service’, this should be read as ‘two or more
years of continuous service’;
(iv) an officer with, or authorised representative of, a holder of
an Australian financial services licence, having two or more
years of continuous service with one or more licensees;
(v) an officer with, or a credit representative of, a holder of
an Australian credit licence, having two or more years of
continuous service with one or more licensees; or
(vi) a person authorised as a notary public in a foreign country.
Benecial Owner means an individual who ultimately owns or
controls (directly or indirectly) the investor. ‘Control’ includes
control as a result of, or by means of, trusts, agreements,
arrangements, understandings and practices, whether or not
having legal or equitable force and whether or not based on legal
or equitable rights, and includes exercising control through the
capacity to determine decisions about nancial and operating
policies. ‘Owns’ means ownership (either directly or indirectly) of
25% or more of the investor.
Controlling Person means the natural persons who exercise
control over an Entity. For example, for a trust, this may include
the settlor(s), the trustee(s) or beneciary(ies), and any other
natural person(s) exercising ultimate effective control. The term
“Controlling Persons” must be interpreted in a manner consistent
with the Financial Action Task Force Recommendations.
Non-Financial Entity means an entity that is not a nancial
institution. An NFE may be an ‘Active NFE’ or ‘Passive NFE’
pursuant to the CRS regulations.
(i) An ‘Active NFE’ is one, which amongst other things, is:
• where less than 50% of the NFE’s gross income for the
preceding calendar year or other appropriate reporting
period is passive income and less than 50% of the assets
held by the NFE during the preceding calendar year are
assets that produce or are held for the production of passive
income’;
• the stock of the NFE is regularly traded on an established
securities market or the NFE is a Related Entity of an Entity
the stock of which is regularly traded on an established
securities market;
• the NFE is a Governmental Entity, an International
Organisation or Central Bank;
• the NFE is not yet operating a business and has no prior
operating history, but is investing capital into assets
with the intent to operate a business other than that of a Financial
Institution, provided that the NFE does not qualify for this
exception after the date that is 24 months after the date of the
initial organisation of the NFE; or
• the NFE was not a Financial Institution in the past five
years, and is in the process of liquidating its assets or is
reorganising with the intent to continue or recommence
operations in a business other than that of a Financial
Institution.
(ii) A ‘Passive NFE’ is any NFE that is not an Active NFE.
Politically Exposed Person:
(i) a Head of State or head of a country or government,
including Australia;
(ii) a government minister or equivalent senior politician;
(iii) a senior government official;
(iv) a Judge of the High Court of Australia, the Federal Court
of Australia or a Supreme Court of a State or Territory, or a
Judge of a court of equivalent seniority in a foreign country
or international organisation;
(v) a governor of a central bank or any other position that has
comparable influence to the Governor of the Reserve Bank
of Australia;
(vi) a senior foreign representative, ambassador, or high
commissioner or a high-ranking member of the armed
forces;
(vii) a board chair, chief executive, or chief financial officer of,
or any other position that has comparable influence in, any
State enterprise or international organisation; or
(viii) an individual who otherwise holds a prominent public
position or function in a government body or an international
organisation.
An immediate family member or close associate of any of the
above. An immediate family member includes a spouse, de facto
partner, child, child’s spouse or de facto partner, or a parent.
A close associate is any individual who has joint Benecial
Ownership of a legal entity or legal arrangement with a person
listed above or sole Benecial Ownership of a legal entity or legal
arrangement for the benet of a person listed above.
Settlor of the trust is the grantor or donor of the trust if they
contributed $10,000 or more to the trust and they are alive at the
date of this application.
Direct investor is an individual or an entity not investing via an
Investor Service or a Participating Adviser.
SECTION 15 APPENDIX - DIRECT INVESTOR IDENTIFICATION INFORMATION
REQUIREMENTS
THIS PAGE HAS BEEN INTENTIONALLY LEFT BLANK
Application Form - Dimensional Wholesale Trusts
Date of Application Form: 23 July 202130
Dimensional
Gateway Building
Level 43, 1 Macquarie Place
Sydney NSW 2000
PO Box R1830
Royal Exchange NSW 1225
Australia
General Enquiries:
(+612) 8336 7100
Email: [email protected]
Web: www.dimensional.com.au
Unit Registry
Citi Unit Registry Australia
GPO Box 764
Melbourne VIC 3001
Client Enquiries:
Toll free 1300 884 560
Toll (+613) 8643 9010
Email: [email protected]
Client Instructions:
Fax:
Toll Free: 1300 886 407 (Australia)
Toll: +61 1300 886 407 (International)
Email: DF[email protected]
