1

Application Form
Brookfield Investment Funds (UCITS) PLC (the “Fund”)
Please complete this form and all appendices attached hereto in blue or black ink using BLOCK CAPITALS, andreturn together with applicable documentation required in connection with Anti-Money Laundering procedures
detailed in Section 4 to:Administrator:
Brookfield Investment Funds (UCITS) Plc C/o
CACEIS Ireland Limited
4th Floor
One George’s Quay Plaza
George’s Quay
Dublin 2
IrelandTelefax:
353 1 6130401
Telephone:
353 1 4406555

Instructions for completion of the Application Form
Please note that the original fully signed Application Form must be returned to the Administrator appointed by theFund at the above address if this is your first investment in Shares of the Fund. No payments and no redemption
or conversion or transfer requests will be processed prior to receipt of this original form and supporting
documentation.
Please refer to the Application Form Notes when completing this Form. Applicants should complete all sections in
full, including Appendix 1 regarding Eligible Introducer Confirmation, Appendix 2 regarding FATCA and CRS
Classification, and in that regard please note the related Customer Information Notice at Appendix 3, Appendix 4
requiring that Irish resident applicants provide an Irish Tax Identification Number and Appendix 5 regarding UK
Regulatory Restrictions on Paying commission, if relevant. Applicants should read and note the Privacy Notice as
set out in Appendix 6. Applicants should also ensure that the application is signed by the applicant(s) and/or
appropriate authorised signatories on page 17.

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1. Investment Details

We the undersigned having received and read a copy of the Prospectus of the Fund hereby apply to subscribe fora number of Shares as may be subscribed for an aggregate amount of USD/EUR (please circle one)and undertake to settle therefore in full by telegraphic transfer no later than 5pm (Dublin Time)on the third Business Day after the subscription date:
Sub-Fund & Class
Brookfield Global Listed Real Estate UCITS FundEuro Institutional Hedged Accumulation SharesClass A
Brookfield Global Listed Real Estate UCITS FundEuro Institutional Unhedged Accumulation SharesClass B
Brookfield Global Listed Real Estate UCITS FundUS Dollar Institutional Accumulation Shares Class E
Brookfield Global Listed Real Estate UCITS FundUS Dollar Institutional Distribution Shares Class F
Brookfield Global Listed Real Estate UCITS FundEuro RDR Retail Hedged Accumulation SharesClass I
Brookfield Global Listed Real Estate UCITS FundUS Dollar Non-RDR Retail Accumulation SharesClass V
Brookfield Global Listed Real Estate UCITS FundUS Dollar Non-RDR Retail Distribution Share ClassW
Brookfield Global Listed Real Estate UCITS Fund
Sterling Institutional Hedged Accumulation Class Z
Brookfield Global Listed Real Estate UCITS Fund
Sterling Institutional Hedged Distribution Class AA
Brookfield Real Assets Securities UCITS Fund US
Dollar Institutional Accumulation Shares Class E
Brookfield Real Assets Securities UCITS Fund Euro
Non-RDR Retail Unhedged Accumulation SharesClass T
Brookfield Real Assets Securities UCITS Fund US
Dollar Negotiable Accumulation Shares Class XD
Brookfield Global Renewables and Sustainable
Infrastructure UCITS Fund Euro Institutional
Unhedged Accumulation Shares Class B
Brookfield Global Renewables and Sustainable
Infrastructure UCITS Fund US Dollar Institutional
Accumulation Shares Class E
Brookfield Global Renewables and Sustainable
Infrastructure UCITS Fund US Dollar Non-RDR‘Retail’ Accumulation Shares Class V
Brookfield Global Renewables and Sustainable
Infrastructure UCITS Fund US Dollar Institutional
Distribution Shares Class F
Brookfield Global Listed Core Infrastructure UCITS
Fund Euro Institutional Unhedged Accumulation
Shares Class B
Brookfield Global Listed Core Infrastructure UCITS
Fund US Dollar Institutional Accumulation SharesClass EBrookfield Global Renewables and Sustainable
Infrastructure UCITS Fund Sterling 'Institutional'
Unhedged Accumulation Share Class G

ISIN

Fund
Code

IE00B4LL0Z46

BF1

IE00B6V9B591
IE00B3PPN902

BF2
BF5

IE00BBM4RY97

BF6

IE00BYSXVL65

B08

IE00BYSXVR28

B09

IE00BJK0MQ28

BM3

IE00BYX2Y197

BM2

IE00BYX2QB39

BM1

IE00BYY9RD29441

IE00BKT6ZS16

BM4IE000B024RA2

BM5

IE00BMZ7WL42

BFB

IE00BKVDGT87

BFA

IE00BN7CJ137

BFC

IE00BKY81F10

BFF

IE0006CAPG05

BBF

IE000KP29X65

BB7IE0000R7B2A1

Brookfield Global Listed Core Infrastructure UCITS
Fund Sterling 'Institutional' Unhedged Accumulation
Share Class G

IE000JTDGX31

Brookfield Global Listed Core Infrastructure UCITS
Fund Sterling RDR ‘Retail’ Accumulation ShareClass O

IE000MVC7XO2

BFH

BBK

BBM

Cash Amount3
Brookfield Global Renewables and Sustainable
Infrastructure UCITS Fund Sterling RDR ‘Retail’
Accumulation Share Class O
Brookfield Global Listed Core Infrastructure UCITS
Fund Euro RDR ‘Retail’ Hedged Accumulation
Shares Class I
Brookfield Global Listed Core Infrastructure UCITS
Fund US Dollar Non-RDR ‘Retail’ Accumulation
Shares Class V
Brookfield Global Listed Core Infrastructure UCITS
Fund US Dollar Non-RDR ‘Retail’ Distribution SharesClass W
Brookfield Global Renewables and Sustainable
Infrastructure UCITS Fund Euro RDR ‘Retail’ Hedged
Accumulation Shares Class I
Brookfield Global Renewables and Sustainable
Infrastructure UCITS Fund US Dollar Non-RDR‘Retail’ Distribution Shares Class W

IE0000LUI412

BBO

IE0007B3IZ27

BBB

IE000MW4ECO7BBN

IE000RY9QX73

BBP

IE0009TNZ1R5BFIIE000NEG8OQ0

BFL

2. Details of Applicant(s)Existing Investor

If you are an existing investor in the Fund (“Existing Investor”) please provide your account details below.
Name of AccountSub-Fund Name
Existing Account NumberFirst Applicant
Individuals: Complete your full name and address below
Title

Mr

Mrs

Miss

Ms

Other (please specify)

SurnameForename(s) in full
Nationality***
Occupation

Date of birth4Business Area

Employer/Business Name
(if self-employed)

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Bar/Night-clubs/Restaurants/Hotels
Brokers
Car parks
Casinos/Gambling
Casinos/Games/Entertainment parks
Check cashers
Commerce of alcohol and cigarettes
Commerce of arms/Weapons and munitions
Commerce of art works
Commerce of boats and planesCommerce of luxury cars
Commerce of luxury goods (jewellery/horses)
Commerce of minerals
Convenience store
Hotels/Restaurants/Cafes
Import-Export
Money transmitters and currency change
NuclearOn-line business
Precious metals/Gold/Jewellery
Real estate
Sale by distance
Taxi
Travel agencies
Travel/Tourism
Other (please specify):

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Corporate Applicants:
Company Name (required

ONLY for corporate applicants)

Bank
NomineeCorporatePension Fund
Investment/Mutual Fund
Nature of Business(required ONLY for corporate
applicants)

Other Financial Institution
Foundation/Association
Government entity
Trust
Partnership
Insurance Company
Other (please specify):

Business Activity

Registered Address1
Address
City/Town
Post CodeCountry

Email Address
Tel NoFax NoCorrespondence Address2

Please complete the section if correspondence is to be sent to a different address to that set out above
Address
City/Town
Post CodeCountry6

Joint Applicants

Details of up to 3 additional holders may be added to the application. Please complete details in block capitals
below.
First additional applicant details
Title

Mr

Mrs

Miss

Ms

Other (please specify)

SurnameForename(s) in full
Nationality***
Occupation

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Business Area

Bar/Night-clubs/Restaurants/Hotels
Brokers
Car parks
Casinos/Gambling
Casinos/Games/Entertainment parks
Check cashers
Commerce of alcohol and cigarettes
Commerce of arms/Weapons and munitions
Commerce of art works
Commerce of boats and planesCommerce of luxury cars
Commerce of luxury goods (jewellery/horses)
Commerce of minerals
Convenience store
Hotels/Restaurants/Cafes
Import-Export
Money transmitters and currency change
NuclearOn-line business
Precious metals/Gold/Jewellery
Real estate
Sale by distance
Taxi
Travel agencies
Travel/Tourism
Other (please specify):

Employer/Business
Name (if self-employed)
Second additional applicant details
Title
SurnameForename(s) in full
Nationality***
Occupation

Mr

Mrs

Miss

Ms

Other (please specify)

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Business Area

Bar/Night-clubs/Restaurants/Hotels
Brokers
Car parks
Casinos/Gambling
Casinos/Games/Entertainment parks
Check cashers
Commerce of alcohol and cigarettes
Commerce of arms/Weapons and munitions
Commerce of art works
Commerce of boats and planesCommerce of luxury cars
Commerce of luxury goods (jewellery/horses)
Commerce of minerals
Convenience store
Hotels/Restaurants/Cafes
Import-Export
Money transmitters and currency change
NuclearOn-line business
Precious metals/Gold/Jewellery
Real estate
Sale by distance
Taxi
Travel agencies
Travel/Tourism
Other (please specify):

Employer/Business
Name (if self-employed)
Third additional applicant details
Title
SurnameForename(s) in full
Nationality***
Occupation

Mr

Mrs

Miss

Ms

Other (please specify)

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Bar/Night-clubs/Restaurants/Hotels
Brokers
Car parks
Casinos/Gambling
Casinos/Games/Entertainment parks
Check cashers
Commerce of alcohol and cigarettes
Commerce of arms/Weapons and munitions
Commerce of art works
Commerce of boats and planesCommerce of luxury cars
Commerce of luxury goods (jewellery/horses)
Commerce of minerals
Convenience store
Hotels/Restaurants/Cafes
Import-Export
Money transmitters and currency change
NuclearOn-line business
Precious metals/Gold/Jewellery
Real estate
Sale by distance
Taxi
Travel agencies
Travel/Tourism
Other (please specify):

Employer/Business
Name (if self-employed)
1 This address should be the address of the registered holder e.g. the nominee’s address if Shares are held by a nominee.

In the case ofindividual applicants in their own name this address will appear on the register and should therefore be a residential address. The applicant
will be required to provide proof of this address in Section 4. PO Boxes or ‘care of’ addresses should not be provided.

2 If a separate mailing address is being provided by a company, this must be in addition to the provision of details of the company’s registeredaddress.

Please note that by completing this Application Form you are providing personal data to the Administrator for the purposes of applying for
Shares in the Fund and you are acknowledging that this data will be used for the purposes of administration, analysis, research and disclosure
to the Fund its delegates and agents, as more fully described in the Privacy Notice at Appendix 6.
Additional applicants will be required to provide confirmation of residential address details for anti-money laundering verification purposes, inaddition to tax information as required in Section 5.
Correspondence will be sent to the first named applicant of joint holders.
*** Nationality – please provide details of any dual citizenship held or previously held:
Passport Number:
Issuing Country:
Expiry Date:

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3. Bank Details
Subscription monies – for Settlement of Purchase of Shares
All subscription payments must be made by electronic funds transfer to the relevant account detailed below.
Subscription monies must be received by the Administrator, for the account of the Fund, no later than 5 pm, Dublin
Time, the third Business Day after the relevant Subscription Date on which Shares are to be issued.
Settlement must be made in the designated currency of the Class in which you are investing.
EUR subscriptions banking details
Intermediary Bank:SWIFT:
Beneficiary Bank:SWIFT:
Final Beneficiary:
IBAN number:
Ref:

CACEIS Bank Ireland Branch
ISAEIE2D (via Target II)
Brookfield Investment Fund (Ucits) Plc Collection Account
IE68ISAE99032500017364
Investor name and transaction no. (see contract note)

USD subscriptions banking details
Intermediary Bank:SWIFT:
Beneficiary Bank:SWIFT:
Final Beneficiary:
IBAN number:
Ref:

JP Morgan Chase
CHASUS33
CACEIS Bank Ireland Branch
ISAEIE2D
Brookfield Investment Fund (Ucits) Plc Collection Account
IE84ISAE99032500017367
Investor name and transaction no. (see contract note)

GBP subscriptions banking details
Intermediary Bank:SWIFT:
Beneficiary Bank:SWIFT:
Final Beneficiary:
IBAN number:
Ref:

HSBC Bank Plc Intl.
MIDLGB22
CACEIS Bank Ireland Branch
ISAEIE2D
Brookfield Investment Fund (Ucits) Plc Collection Account
IE57ISAE99032500017368
Investor name and transaction no. (see contract note)CHF subscriptions banking details
Intermediary Bank:SWIFT:
Beneficiary Bank:SWIFT:
Final Beneficiary:
IBAN number:
Ref:

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UBS, ZurichUBSWCHZH80ACACEIS Bank Ireland Branch
ISAEIE2D
Brookfield Investment Fund (Ucits) Plc Collection AccountIE14ISAE99032500017366
Investor name and transaction no. (see contract note)

JPY subscriptions banking details
Intermediary Bank:SWIFT:
Beneficiary Bank:SWIFT:
Final Beneficiary:
IBAN number:
Ref:

The Hongkong and Shanghai Banking Corp. Ltd, Tokyo Branch
HSBCJPJTCACEIS Bank Ireland Branch
ISAEIE2D
Brookfield Investment Fund (Ucits) Plc Collection Account
IE41ISAE99032500017365
Investor name and transaction no. (see contract note)11
Subscription monies – for Settlement of Purchase of Shares
The below details are mandatory and are related to the bank and accounts from which the subscription amounts
will be paid. The account must be in the name(s) of the Account Holder(s) or the account holder must be identified.
I/We undertake to inform the Administrator in writing of changes to those details immediately.
Name of Bank:
Address of Bank:Country:
Bank SWIFT/Sort code:
Name of Account Holder:
Account Number:
Applicant’s signature:
In the case that payments are made through a correspondent bank, please provide the following information:
Name of Bank:
Address of Bank:Country:
Bank SWIFT/Sort code:
Name of Account Holder:
Account Number:
Applicant’s signature:
Please note that in order to prevent third party payments, we require subscription payments to come from a bankaccount in the name of the registered account holder.
Note for Financial Institutions and Intermediaries:
In order to comply with EU Regulation 2015/847, and FATF SR VII, we require the following information to be
included for all subscription wires made to the Fund.
For MT 103, Field 50a is to be used for Ordering Customer’s information (either option below, as appropriate)TAG
50a (option K)

Field Name
Ordering Customer

50a (option A)

Ordering Customer

Information to include
The Payer’s account number, name andaddress
The Payer’s account number and the BIC

For MT 202 (Field 52)
TAG
52A

Field Name
Ordering Institution

Information to include
The Ordering Institution’s identifier code
(BIC)

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Redemption monies – for Payment of Redemption Proceeds
The bank details for receipt of redemption proceeds are as outlined below. I/We undertake to inform theAdministrator in writing of changes to those details immediately.
Name of Bank:
Address of Bank:Country:
Bank SWIFT/Sort code:
Name of Account Holder:
Account Number:
Applicant’s signature:
Redemption proceeds will be returned to an account held in the name of the registered Shareholder(s).

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4. Anti-Money Laundering / Anti-Terrorist Financing Procedures
Under Irish legislation covering anti-money laundering and counter terrorist financing the Fund and the Administrator are
required to obtain the following documentation to verify the identity and permanent address of all new investors. Please
note that the application may not be accepted until all the relevant information has been received. Additional confirmationof identity or authority of the applicant or the source of funds may be required in certain circumstances. Redemptions
will not be processed on non cleared/verified accounts. If you are an Existing Investor it will not be necessary
to provide any of the information set out below in connection with this application, but please ensure that you
have included your account number in Section 2 above.
All applicants must also complete the relevant sections at Appendix 7 (AML Information) of this Application
Form.
Please disclose the purpose and intended nature of your investment in the Fund:A) Regular SavingsB) Lump Sum Investment- less than 1 yearC) Lump Sum Investment- more than 1 yearD) Periodic Investment
E) Other (Please Specify)
The following materials must be provided to the Administrator:
Entity Type

Documentation requirements

Individual/ Joint Account● Copy application form with all required information - original to follow.
● Copy of photo ID for each account holder.
● Copy of proof of address for each account holder – This should include
a bank statement showing the account from which subscription
monies will be sent.

Credit and Financial Institution/
Bank (Proprietary Money)● Copy application form with all required information - original to follow.
● Copy authorised signatory list.
● Recent and up-to-date extract from the companies register (or equivalent
supporting document)(copy or extract from accepted website); thefollowing information shall be gathered from this document:Credit and Financial Institution/
Bank (underlying client Monies)● Copy application form with all required information - original to follow.
● Copy authorised signatory list.
● AML Comfort Letter A at Appendix 1 and Wolfsberg questionnaire.
● Recent and up-to-date extract from the companies register (or equivalent
supporting document)(copy or extract from accepted website); thefollowing information shall be gathered from this document:Nominee ( subsidiary) ofregulated financial Institutions/Bank

exact and complete company name/denomination;legal form;
address;
directors.

exact and complete company name/denomination;legal form;
address;
directors.

● Copy application form with all required information - original to follow.
● Copy authorised signatory list.
● AML Comfort Letter B at Appendix 1 and Wolfsberg questionnaire.
● Recent and up-to-date extract from the companies register (or equivalent

supporting document)(copy or extract from accepted website); thefollowing information shall be gathered from this document:exact and complete company name/denomination;legal form;
address;
directors.

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Trust

● Copy application form with all required information - original to follow.
● Copy of Trust Deed & List of trustees (if not contained in Trust Deed)● Copy of authorised signatory list.
● Copy of ID and 1 x proof of address for all trustees.
● Copy of ID and 1 x proof of address for all settlors.
● Copy of ID and 1 x proof of address for all protectors.
● Copy of ID and proof of address for any trust beneficiary (current or

potential) not included in the above list.

● Copy of bank statement in name of Trust from which subscription monies

will be sent.
Pension scheme- Employer
contributions● Copy application form with all required information - original to follow● Copy of authorised signatory list
● Copy of constitutive document● Copy of controllers register● Copy of ID and 1 x proof of address for 2 x controllers● Copy of most recent audited financial report● Copy of bank statement in name of pension scheme from which

subscription monies will be sent.
Pension scheme- private● Copy application form with AML appendix completed - original to follow● Copy of authorised signatory list
● Copy of constitutive document● Copy of controllers register● Copy of ID and 1 x proof of address for 2 x controllers● Copy of most recent audited financial report● Copy of ID and proof of address for beneficiary● Source of funds and source of wealth*** for beneficiary.
● Copy of bank statement in name of pension scheme from which
subscription monies will be sent.

Collective Investment Scheme/
Fund● Copy application form with all required information - original to follow.
● Recent and up-to-date extract from the companies register (or equivalent
supporting document)(copy or extract from accepted website); thefollowing information shall be gathered from this document:exact and complete company name/denomination;legal form;
address;
directors.

● Copy of fund prospectus (obtained independently).
● Copy of constitutive documents.
● Copy of most recent audited financial report.
● Copy of authorised signatory list.
● Copy of Directors register.
● Copy of ID and 1 x proof of address for 2 x Directors.
● Copy of ID and 1 x proof of address for any ultimate beneficial owner
owning more than 25% of the funds shareholding.
● Copy of declaration of type of investors and geographic location of
investor base.
● Copy of bank statement in name of collective investment scheme fromwhich subscription monies will be sent.

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Corporate ( private)● Copy application form with all required information- original to follow.
●Copy of authorised signatory list.
● Recent and up-to-date extract from the companies register (or equivalent
supporting document)(copy or extract from accepted website); thefollowing information shall be gathered from this document:exact and complete company name/denomination;legal form;
address;
directors.

● Copy of certificate of incorporation/ proof of business formation /registration or equivalent.
● Copy of memorandum and articles of association.
● Copy of Directors/ Board members register.
● Copy of share register.
● Copy of ID and 1 x proof of address for 2 x Directors or 1 Director and 1
authorised signatory.
● Copy of ID and 1 x proof of address for shareholders.
● Copy of bank statement in name of corporation from which subscription
monies will be sent.
Corporate (commercial)● Copy application form with all required information- original to follow.
● Copy of authorised signatory list.
● Recent and up-to-date extract from the companies register (or equivalent
supporting document)(copy or extract from accepted website); thefollowing information shall be gathered from this document:exact and complete company name/denomination;legal form;
address;
directors.

● Copy of constitutive document.
● Copy of most recent audited financial report.
● Copy of shareholder register or confirmation of listed status (if listed on
stock exchange).
● Copy of Directors/ Board members register.
● Copy of ID and 1 x proof of address for 2 x Directors or 1 Director and 1
authorised signatory.
● Copy of ID and 1 x proof of address for shareholders.
● Copy of bank statement in name of corporation from which subscription
monies will be sent.
Foundation/Association● Copy application form with all required information- original to follow.
● Copy of authorised signatory list.
● Recent and up-to-date extract from the companies register (or equivalent
supporting document)(copy or extract from accepted website); thefollowing information shall be gathered from this document:exact and complete company name/denomination;legal form;
address;
directors.

● Copy of constitutive document.
● Copy of most recent audited financial report.
● Copy of controllers register.
● Certified true copy of ID and 1 x proof of address for all controllers.
● Confirmation of Not for Profit Status (usually contained in constitutive doc)
● Copy of bank statement in name of foundation/ association from which
subscription monies will be sent.
If your entity type is not listed above, please contact the Administrator and they will advise as to what
documentation is required.
*** Source of wealth template available from CACEIS upon request.

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5. Declarations and Signatures
By signing below:
1.

I/We hereby acknowledge that I/we have received and considered the Prospectus of the Fund and the Supplement
relating to the relevant Sub-Fund and/or Class in which investment is proposed to be made, and the Privacy Noticeof the Fund as set out in Appendix 6 to this Application Form, and this Application is made on the terms thereof andsubject to the provisions of the Memorandum and Articles of Association constituting the Fund and this Application
Form, as amended from time to time.

2.

I/We confirm that I am/we are 18 years of age or over and I/we have the authority to make the investment pursuant
to this Application Form whether this investment is my/our own name or is made on behalf of another person or
institution.

3.

I/We have made arrangements for payment to be made to the relevant bank account(s) specified above forsubscriptions and acknowledge that the Fund reserves the right to reject any application in whole or part without
assigning any reason therefor.

4.

Politically Exposed Person – Tick either A) or B)
A)
I/We hereby represent and warrant that, to the best of our knowledge, none of:(1) the investor;(2) any person controlling or controlled by the investor;(3) if the investor is a privately held entity, any person having a beneficial interest in the investor; or(4) any person for whom the investor is acting as agent or nominee in connection with this investment is a politically
exposed person,* or any immediate family member** or close associate of a politically exposed person as suchterms are defined in the footnotes below.
or
B)
I/We confirm that I/We meet the definition of a politically exposed person,* or any immediate family member** orclose associate of a politically exposed person as such terms are defined in the footnotes below and will provide thenecessary disclosures regarding source of wealth and where relevant the source of wealth of any beneficial owners.
* “Politically exposed person” means an individual who is, or has at any time in the preceding year been, entrusted with a prominent

public function, including either of the following individuals (but not including any middle ranking or more junior official): (a) a specified
official; or (b) a member of the administrative, management or supervisory body of a state-owned enterprise. “Specified official”
means any of the following officials (including any such officials in an institution of the European Communities or an internationalbody): (a) a head of state, head of government, government minister or deputy or assistant government minister; (b) a member ofa parliament; (c) a member of a supreme court, constitutional court or other high level judicial body whose decisions, other than in
exceptional circumstances, are not subject to further appeal; (d) a member of a court of auditors or of the board of a central bank;(e) an ambassador, charge´ d’affairs or high-ranking officer in the armed forces.

**The definition also expands to a “close associate”, “immediate family member” of a politically exposed person and includes any of

the following persons: (a) any individual who has joint beneficial ownership of a legal entity or arrangement or any other closebusiness relations with a politically exposed person ; (b) any individual who has sole beneficial ownership of a legal entity or legal
arrangement set up for the actual benefit of a politically exposed person; (c)any spouse of a politically exposed person; (c)any
person who is the equivalent of a spouse under the national law of the place where the politically exposed person resides; (e)any
cohabitant; (f) any child or parent of the politically exposed person or spouse of the child of the politically exposed person; amd(g)any other family member who is of a prescribed class.

5.

I/We agree to provide to the Fund or its appointed Administrator or Distributor any additional documentation or
information, including without limitation that required in Appendix 2 to this application form, that it or they may require
to verify my/our identity in accordance with current or future anti-money laundering/terrorist financing, legislation or
regulation implementing the Common Reporting Standard (“CRS”) and/or the Foreign Account Tax Compliance Act(“FATCA”) and or any other tax reporting obligations under legislation or regulation. I/We acknowledge that any
delay by me/us in providing such documentation may result in delayed processing of my/our application and/or
delayed payment of any future redemption payments to me/us or processing of unit transfer requests on my/ourbehalf. I/We hereby hold the Fund and the Administrator and the Distributor harmless and indemnify them against
any loss arising as a result of a failure to process the application if such information has been required and has notbeen provided by me/us. I/We also warrant and declare that the monies being invested pursuant to this application
do not represent directly or indirectly the proceeds of any criminal activity and the investment is not designed toconceal such proceeds so as to avoid prosecution for an offence or otherwise.

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6.

I/We declare that I/we am/are not a US Person1 (or a person to whom FATCA applies) and certify that the Shares

7.

The Fund, the Distributor, and the Administrator of the Fund are hereby authorised to accept and execute any
instructions in respect of the Shares to which this application relates or which may in future be acquired by me/us
which are given by me/us in written form or by facsimile or such other means as may from time to time be permitted
by the Fund or its delegate including electronic means and in the case of joint account holders which are given bysuch means by the first named applicant (“Instructions”). I/We hereby agree to indemnify each of the Fund, theDistributors and the Administrator and agree to keep each of them indemnified against any loss of any naturewhatsoever arising to any of them as a result of any of them acting upon Instructions. The Fund, the Distributor, and
the Administrator may each rely conclusively upon and shall incur no liability in respect of any action taken upon any
Instructions believed in good faith to be genuine and to be signed or given by properly authorised persons.

8.

I/We hereby agree to indemnify and hold harmless each of the Fund, the Administrator and the Distributors and theirrespective directors, officers and employees against any loss, liability, cost or expense (including without limitation
legal fees, taxes and penalties) which may result directly or indirectly from any misrepresentation or breach of any
warranty, condition, covenant or agreement set forth herein or in any document delivered by me/us to any of themand shall notify the Fund immediately if any of the representations herein made are no longer accurate and complete
in all respects.

9.

I/We acknowledge that if subscription payment in full has not been received by the relevant times stipulated in the
Prospectus of the Fund, the Fund and/or the Investment Manager may cancel the allotment and I/We agree tohereby indemnify and hold harmless the Fund, the Directors, the Investment Manager, the Administrator and theCustodian for any loss, cost or expense suffered by them as a result of my/our failure to pay the subscription monies
by the relevant time.

applied for are not being acquired for the benefit of, directly or indirectly, any US Person (or a person to whom
FATCA applies) nor in violation of any applicable law or regulation, and I/we will not, subject to the conditions set
forth in the Prospectus, sell or offer to sell or transfer Shares to a US Person (or a person to whom FATCA applies)
or any person in violation of any applicable law or regulation, including FATCA.

10. I/We agree to provide to the Fund, the Administrator and/or the Distributor at such times as each of them may
request such declarations, certificates or documents as each of them may reasonably require in connection with thisinvestment. Should any information furnished to any of them become inaccurate or incomplete in any way, I/We
hereby agree to notify the Fund or the Administrator immediately of any such change and further agree to request
the redemption of Shares in respect which such confirmations have become incomplete or inaccurate if requested
to do so by the Fund. I/we agree to notify the Fund of any change to my/our tax residency status.
11. I/we understand that all/part of fees and expenses may be charged to the capital of the Fund and that this will havethe effect of lowering the capital value of my/our investment. Thus, on redemptions of holdings, I/we may not receive
back the full amount invested.
12. I/We understand that the confirmations, representations, declarations, indemnities and warranties made or given
herein are continuous and apply to all subsequent purchases of Shares by me/us in the Fund.
13. (In respect of joint applicants only) we direct that on the death of one of us the Shares for which we hereby apply to
be held in the name of and to the order of the survivor or survivors of us or the executor or administrator of the last
survivor.
14. I/We hereby acknowledge that any notice or document may be served by the Fund on me/us in the manner specified
from time to time in the Prospectus and, for the purposes of the Electronic Commerce Act 2000, if I have provided
an e-mail address or fax number to the Fund or its delegate, consent to any such notice or document being sent tome/us by fax or electronically to the fax number or e-mail address previously identified to the Fund or its delegate
which I/we acknowledge constitutes effective receipt by me/us of the relevant notice or document. I/we acknowledge
that I/we are not obliged to accept electronic communication and may at any time choose to revoke my/ouragreement to receive communications by fax or electronically by notifying the Fund in writing at the above addressprovided that my/our agreement to receive communications by fax or electronically shall remain in full force andeffect pending receipt by the Fund of written notice of such revocation.
15. I/We have such knowledge and experience in business and financial matters that I/we am/are capable of evaluating
the merits and risks of an investment by me/us in the Shares.
16. We confirm that the persons listed below on the attached authorised signatories list and whose specimen signaturesappear under the heading "Authorised Persons" on that list are duly authorised to give Instructions with respect toShares held by us in the Fund. (For corporate applicants only.)1

If the Applicant(s) are resident or ordinarily resident for the purposes of tax in Ireland, please ensure that an Irish tax reference number
is provided at Appendix 3 to this Subscription Form.

16
17. Data Protection/Direct Marketing
I/we have read the Privacy Notice set out in Appendix 6 to this Application Form.
From time to time, the Fund, or its service providers acting on behalf of the Fund, would like to contact you in
respect of products or services provided by the Fund which we think would be of interest to you.
If you do not wish to be contacted by landline phone, post, email, or text message, please let us know by ticking
the relevant box below:
Please do not contact me by: post

landline phoneemail

text message

18. Declaration of residence outside the Republic of Ireland

Applicants resident outside the Republic of Ireland are required by the Revenue Commissioners to makethe following declaration, which is in a format authorised by them, in order to receive payment without
deduction of tax. It is important to note that this declaration, if it is then still correct, shall apply in respectof any subsequent acquisitions of Shares. Terms used in this declaration are defined in the Prospectus.
Please tick a) or b)
Either:a)
Declaration on own behalf
I/we* declare that I am/we are* applying for the Shares on my own/our own behalf/on behalf of acompany* and that I am/we are/the company is* entitled to the Shares in respect of which this declaration
is made and that•
I am/we are/the company is* not currently resident or ordinarily resident in Ireland and•Should I/we/the company* become resident in Ireland, I/we* will so inform you, in writing,accordingly.
orb)Declaration as Intermediary
I am/we are* applying Shares on behalf of persons:•
who will be beneficially entitled to the Shares, and•
who to the best of my/our* knowledge and belief are neither resident nor ordinarily resident
in Ireland.
I/We* also declare that:•unless I/we* specifically notify you to the contrary at the time of application, all applicationsfor Shares made by me/us* from the date of this application will be made on behalf of such persons;
and•I/we* will inform you in writing if I/we* become aware that any person, on whose behalf I/we*holds Shares, becomes resident in Ireland.
* Please delete as appropriate
If you are resident or ordinarily resident in Ireland and are a qualifying investor within the meaning ofSection 739D(6) of the Taxes Consolidation Act, 1997 please delete the declarations on own behalf andas Intermediary and contact the Administrator for a separate declaration form suitable for you.
If your residence status changes at any time during the lifetime of this investment, please advise theAdministrator immediately.

6. Signatures

17

Signatures and Date of Application
First Applicant (Authorised Signatory):

Second Additional Applicant or
third Authorised Signatory (if applicable)

Capacity of Authorised Signatory, if applicable

Capacity of Authorised Signatory, if applicableFirst Additional Applicant or
second Authorised Signatory (if applicable)

Third Additional Applicant or
fourth Authorised Signatory (if applicable)

Capacity of Authorised Signatory, if applicable

Capacity of Authorised Signatory, if applicable

Application Date

Company Seal, if applicable

Notes to assist in completion1.

Non-resident declarations are subject to inspection by the Revenue Commissioners and it is a criminal offence to make a false declaration.
The application form including the non-resident declaration may also therefore be disclosed to the Revenue Commissioners.

2.

To be valid, the application form (incorporating the declaration required by the Revenue Commissioners) must be signed by the applicant.
Where there is more than one applicant, each person must sign. If the applicant is a company, it must be signed by the company secretaryor another authorised officer.

3.

If the application form (incorporating the declaration required by the Irish Revenue Commissioners) is signed under power of attorney, acertified copy of the power of attorney must be furnished in support of the signature.

4.

"Intermediary" means a person who:(a)carries on a business which consists of, or includes, the receipt of payments from an investment undertaking resident in Ireland on
behalf of other persons, or(b)hold shares in an investment undertaking on behalf of other persons.

5.

The Fund is regulated in Ireland by the Central Bank of Ireland.

6.

Investors should not complete this Application Form until they have read the key investor information document (as required under
Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for
packaged retail and insurance-based investment products (PRIIPs), as may be amended or supplemented from time to time) relating tothis investment.

7.

Copies of the most recently published annual and semi-annual reports of the Fund are available free of charge from the registered officeof the Fund.

8.

A corporation should affix its common seal and have it countersigned by persons authorised to countersign the seal or otherwise should
execute under the hand of a duly authorised official or officials who should state his/their representative capacity. A certified copy (certified
by a director or secretary of the company) of the resolution or other authority authorising one or more signatories should be provided withthe application form.

9.

If any of the details provided by the applicant(s) in this application form change during the lifetime of this investment, please advise theAdministrator immediately, in order to avoid any possible settlement delays at some future date.

Appendix 1
ELIGIBLE INTRODUCER CONFIRMATIONAML Comfort Letter A
CACEIS Ireland Limited
4th Floor, One George’s Quay Plaza,
George’s Quay,
Dublin 2
Ireland[date]
Re:

Anti-Money Laundering Assurance Letter

Dear Sirs
We [insert name of Investor] with a registered office at [insert address] confirm that we are regulated by [insert Regulator] andapply anti-money laundering / counter-terrorist financing policies and procedures which are in line with those of local antimoney laundering legislation and regulation which in turn comply with measures detailed in Directive (EU) 2015/849 and anyother related EU legislation (“AML Procedure”).
The Company has policies and procedures in place to:
1.
2.
3.
4.
5.
6.
7.
8.
9.

Identify our underlying clients and the beneficial owners and will retain sufficient information on file to verify theidentity of all such clients and beneficial owners
obtain information on directors (legal persons) or persons exercising similar positions (for legal arrangements)
collect relevant information in respect of the purpose and intended nature of the business relationship;
gather and record information about the origin of the client’s funds;
monitor the business relationship throughout the course of the relationship;
Identify that none of our underlying clients are a foreign shell bank.
Identify politically exposed persons (“PEPs”) and immediate family members and close associates of PEPs to theextent that we have reason to know that any investors are PEPs, we have performed enhanced due diligence
Will provide CACEIS with documentation, upon request and without delay, of all necessary documents andinformation related to clients and the beneficial owners which we have on our files.
verify when establishing a business relationship and on a regular basis that client(s) are not subject to restrictive
measures or sanctions as published by the United Nations Security Council, Office of Foreign Assets Control (the“OFAC”) and/or the European Union.

We confirm that we undertake to retain such investor identification documentation and information for a period of at least five
years after the relationship with the Investor has ceased;
We hereby undertake that we will notify CACEIS IS immediately of any concerns or suspicions that we may have inconnection with investors in the context of any applicable anti-money laundering or terrorist financing legislation\regulations.

Yours Sincerely
Name:
Title:

Name:
Title:

Authorised Signatory
for and on behalf of[insert name]Authorised Signatory
for and on behalf of[insert name]AML Comfort Letter B[LETTERHEAD OF THE PARENT COMPANY]CACEIS Ireland Limited
4th Floor, One George’s Quay Plaza,
George’s Quay,
Dublin 2
IrelandDate:
Re: [insert name of the regulated parent company]
Dear Sirs
We [insert name of parent company] , parent company of [insert name of subsidiary] have a registered office at [insert
address].
We confirm that we are regulated by [insert Regulator] and apply anti-money laundering / counter-terrorist financing
policies and procedures which are in line with those of local anti-money laundering legislation and regulation which in turncomply with measures detailed in EU Directive 2005/60/EC and any other related EU legislation
We herewith confirm that [ insert name of subsidiary] is used to keep the assets of some of our clients. Furthermore, we
confirm that our subsidiary is required to apply the same AML policies which are in line with the regulatory obligations of
the parent company.
The Company has policies and procedures in place to:
1.
2.
3.
4.
5.
6.
7.
8.

9.

Identify our underlying clients and the beneficial owners and will retain sufficient information on file to verify theidentity of all such clients and beneficial owners;
obtain information on directors (legal persons) or persons exercising similar positions (for legal arrangements);
collect relevant information in respect of the purpose and intended nature of the business relationship;
gather and record information about the origin of the client’s funds;
monitor the business relationship throughout the course of the relationship;
Identify that none of our underlying clients are a foreign shell bank;
Identify politically exposed persons (“PEPs”) and immediate family members and close associates of PEPs to theextent that we have reason to know that any investors are PEPs, we have performed enhanced due diligence;Will provide CACEIS with documentation, upon request and without delay, of all necessary documents andinformation related to clients and the beneficial owners which we have on our files. We will provide any suchreasonable assistance as CACEIS may request where a suspicion of money laundering \ terrorist financing by
an Investor exists;
verify when establishing a business relationship and on a regular basis that client(s) are not subject to restrictive
measures or sanctions as published by the United Nations Security Council, Office of Foreign Assets Control (the“OFAC”) and/or the European Union.

We confirm that we undertake to retain such investor identification documentation and information for a period of at least
five years after the relationship with the Investor has ceased;
Yours Sincerely*Name:
Title:*Letter must be signed by parent company

Name:
Title:

Appendix 2
CRS AND FATCA
Individual (Controlling Person’s) Self-Certification for FATCA and CRS
Instructions for completion
We are obliged under Section 891E, Section 891F and Section 891G of the Taxes Consolidation Act 1997 (as amended)
and regulations made pursuant to those sections to collect certain information about each investor’s tax arrangements.
Please complete the sections below as directed and provide any additional information that is requested. Please note thatin certain circumstances we may be legally obliged to share this information, and other financial information with respect
to an investor’s interests in the Fund with relevant tax authorities .This form is intended to request information only wheresuch request is not prohibited by Irish law.
If you have any questions about this form or defining the investor’s tax residency status, please refer to the OECD CRS
Portal or speak to a tax adviser..
For further information on FATCA or CRS please refer to Irish Revenue website at
http://www.revenue.ie/en/business/aeoi/index.html or the following link to the OECD CRS Information
Portal at: http://www.oecd.org/tax/automatic-exchange/ in the case of CRS only.
If any of the information below about the investor’s tax residence or FATCA/CRS classification changes in the future,please advise of these changes promptly.
Please note that where there are joint or multiple account holders each investor is required to complete aseparate Self-Certification form.

Sections 1, 2, 3 and 5 must be completed by all investors.
Section 4 should only be completed by any individual who is a Controlling Person of an entity
investor which is a Passive Non-Financial Entity. For further guidance see.

http://www.oecd.org/tax/automatic-exchange/common-reporting-standard/common-reporting-standard-and-related-com
mentaries/#d.en.345314(Mandatory fields are marked with an *)Section 1: Investor Identification
Investor Name*:
Current Residential Address*:
Number:Street:City, Town, State, Province or County:
Postal/ZIP Code:Country:

Mailing address (if different from above):
Number:Street:City, Town, State, Province or County:
Postal/ZIP Code:Country:

Place Of Birth*
Town or City of Birth*:
Date of Birth*:Country of Birth*:Section 2: FATCA Declaration of U.S. Citizenship or U.S. Residence for Tax purposes*:Please tick either (a) or (b) and complete as appropriate.
I confirm that [I am]/[the investor is] a U.S. citizen and/or resident in the U.S. for tax
purposes and [my]/[its] U.S. federal taxpayer identifying number (U.S. TIN) is as follows:

(a)

OR
(b)

purposes.

I confirm that [I am not]/[the investor is not] a U.S. citizen or resident in the U.S. for tax

Section 3: CRS Declaration of Tax Residency (please note you may chose more than one country)*
Please indicate your/ the investor’s country of tax residence (if resident in more than one country pleasedetail all countries of tax residence and associated taxpayer identification numbers (“TIN”). Please see
the CRS Portal for more information on Tax Residency.
Country of Tax Residency

Tax ID Number

NOTE: Provision of a Tax ID number (TIN) is required unless you are tax resident in a Jurisdictionthat does not issue a TIN.

Section 4 – Type of Controlling Person(ONLY to be completed by any individual who is a Controlling Person of an entity investor
which is a
Passive Non-Financial Entity or an Investment Entity located in a Non-Participating Jurisdiction andmanaged by another Financial Institution)
For joint or multiple Controlling Persons please complete a separate Self-Certification form
for each Controlling Person

Please Confirm what type of Controlling Person applicable
under CRS that applies to you/the investor by ticking theappropriate box.
Controlling Person of a legal person – control by ownership
Controlling Person of a legal person – control by other means
Controlling Person of a legal person – senior managing official
Controlling Person of a trust - settlor
Controlling Person of a trust – trustee
Controlling Person of a trust – protector
Controlling Person of a trust – beneficiaryControlling Person of a trust – other
Controlling Person of a legal arrangement (non-trust) – settlorequivalentControlling Person of a legal arrangement (non-trust) – trusteeequivalentControlling Person of a legal arrangement (non-trust) – protectorequivalentControlling Person of a legal arrangement (non-trust) – beneficiaryequivalentControlling Person of a legal arrangement (non-trust) – other-equivalent

PleaseTick

Entity NameSection 5: Declaration and Undertakings:
I declare that the information provided in this form is, to the best of my knowledge and belief, accurate andcomplete.
I acknowledge that the information contained in this form and information regarding the Account Holder may bereported to the tax authorities of the country in which this account(s) is/are maintained and exchanged with tax
authorities of another country or countries in which the Account Holder may be tax resident where those countries(or tax authorities in those countries) have entered into Agreements to exchange financial account information.
I undertake to advise the recipient promptly and provide an updated Self-Certification form where any change incircumstances occurs which causes any of the information contained in this form to be incorrect.
Authorised Signature*:
Print Name*:
Date: (dd/mm/yyyy)*:
Capacity*:

Entity Self-Certification for FATCA and CRS
Instructions for completion
We are obliged under Section 891E, Section 891F and Section 891G of the Taxes Consolidation Act 1997 (as amended)
and regulations made pursuant to those sections to collect certain information about each investor’s tax arrangements.
Please complete the sections below as directed and provide any additional information that is requested. Please note thatin certain circumstances we may be legally obliged to share this information, and other financial information with respect
to an investor’s interests in the Fund with relevant tax authorities .This form is intended to request information only wheresuch request is not prohibited by Irish law.
If you have any questions about this form or defining the investor’s tax residency status, please refer to the OECD CRS
Portal or speak to a tax adviser.
For further information on FATCA or CRS please refer to Irish Revenue
website at http://www.revenue.ie/en/business/aeoi/index.html or thefollowing link: http://www.oecd.org/tax/automatic-exchange/ in the case of
CRS only.
If any of the information below about the investor’s tax residence or FATCA/CRS classification changes in the future,please ensure that we are advised of these changes promptly.
(Mandatory fields are marked with an *)Investors that are individuals should not complete this form and should complete the form entitled “Individual
Self-Certification for FATCA and CRS”.

Section 1: Investor Identification
Investor Name*:(the "Entity”)

Country of Incorporation or Organisation:
Current Registered Address*:
Number:_ Street:

City, town, State, Province or County:
Postal/ZIP Code:_ Country:_

Mailing address (if different from above):
Number:_ Street:

City, town, State, Province or County:
Postal/ZIP Code:_ Country:_

Section 2: FATCA Declaration Specified U.S. Person:
Please tick either (a), (b) or (c) below and complete as appropriate.

(a) The Entity is a Specified U.S. Person and the Entity’s U.S. Federal Taxpayer Identifying number (U.S. TIN) is as follows:

U.S. TIN:
Or(b) The Entity is not a Specified U.S. Person (please also complete Sections 3, 4 and 5)
Or(c) The Entity is a US person but not a Specified U.S. Person (please also complete Sections 3, 4 and 5)

Section 3: Entity’s FATCA Classification* (the information provided in this section is for
FATCA, please note your classification may differ from your CRS classification in Section
5):
3.1 Financial Institutions under FATCA:
If the Entity is a Financial Institution, please tick one of the below categories andprovide the Entity’s GIIN at 3.2
I. Irish Financial Institution or a Partner Jurisdiction Financial Institution
II. Registered Deemed Compliant Foreign Financial Institution
III. Participating Foreign Financial Institution

3.2 Please provide the Entity’s Global Intermediary Identification number (GIIN)
3.3 If the Entity is a Financial Institution but unable to provide a GIIN, please tick one of the below reasons:I.

The Entity has not yet obtained a GIIN but is sponsored by another entity which
does have a GIIN
Please provide the sponsor’s name and sponsor’s GIIN :Sponsor’s Name:
Sponsor’s GIIN:

II.
III.

Exempt Beneficial Owner
Certified Deemed Compliant Foreign Financial Institution (including a deemedcompliant Financial Institution under Annex II of the Agreement)

IV.

Non-Participating Foreign Financial Institution

V.

Excepted Foreign Financial Institution

3.4 Non-Financial Institutions under FATCA:

If the Entity is not a Financial Institution, please tick one of the below categories
I.

Active Non-Financial Foreign Entity

II.

Passive Non-Financial Foreign Entity(If this box is ticked, please include self-certification forms for each of your
Controlling Persons)III.

Excepted Non-Financial Foreign Entity

Section 4: CRS Declaration of Tax Residency (please note that you may choose more than one
country)*
Please indicate the Entity’s country of tax residence for CRS purposes, (if resident in more than one
country please detail all countries of tax residence and associated tax identification numbers (“TIN”)).
NOTE: Provision of a Tax ID number (TIN) is required unless you are tax resident in a Jurisdiction that
does not issue a (TIN).
If the Entity is not tax resident in any jurisdiction (e.g., because it is fiscally transparent), please indicatethat below and provide its place of effective management or country in which its principal office islocated.
Country of Tax Residency.

Tax ID Number

Section 5: Entity’s CRS Classification*(The information provided in this section is for CRS. Please note an Entity's CRS classification may differ
from its FATCA classification in Section 3):

For more information please see the CRS Standard and associated commentary.
http://www.oecd.org/tax/automatic-exchange/common-reporting-standard/common-reporting-standard-and-related-com
mentaries/#d.en.345314

5.1 Financial Institutions under CRS:

If the Entity is a Financial Institution, please tick one of the below categories
I.

Financial Institution under CRS(other than (II) below)

II.

An Investment Entity located in a Non-Participating Jurisdiction and managed byanother Financial Institution (If this box is ticked, please indicate the name of any
Controlling Person(s) of the Entity and complete a separate individual selfcertification forms for each of your Controlling Persons **)5.2 Non Financial Institutions under CRS:

If the Entity is a Non Financial Institution, please tick one of the below categories
I.

Active Non-Financial Entity – a corporation the stock of which is regularly tradedon an established securities market or a corporation which is a related entity ofsuch a corporation

II.

Active Non-Financial Entity – a Government Entity or Central Bank

III.
IV.

Active Non-Financial Entity – an International Organisation
Active Non-Financial Entity – other than (I)-(III) (for example a start-up
NFE or a non-profit NFE)

V.

Passive Non-Financial Entity (If this box is ticked, please complete a separate
Individual Self-Certification Form for each of your Controlling Person(s) )**Controlling Person’s:

NB: Please note that each Controlling Person must complete a Separate Individual Self-Certification
form.
If there are no natural person(s) who exercise control of the Entity then the Controlling Person will be
the natural person(s) who hold the position of senior managing official of the Entity.
For further information on Identification requirements under CRS for Controlling Persons, see the Commentary to
Section VIII of the CRS Standard.
http://www.oecd.org/tax/automatic-exchange/common-reporting-standard/common-reporting-standard-and-relatedcommentaries/#d.en.345314.

Section 6: Declarations and Undertakings
I/We declare (as an authorised signatory of the Entity) that the information provided in this form is, to the best of my/ourknowledge and belief, accurate and complete.
I acknowledge that the information contained in this form and information regarding the Account Holder may be reported to thetax authorities of the country in which this account(s) is/are maintained and exchanged with tax authorities of another country
or countries in which the Account Holder may be tax resident where those countries (or tax authorities in those countries) haveentered into Agreements to exchange financial account information.
I/We undertake to advise the recipient promptly and provide an updated Self-Certification where any change in circumstanceoccurs which causes any of the information contained in this form to be incorrect.

Authorised Signature*:
Print Name*:
Date: (dd/mm/yyyy)*:
Capacity*:Appendix 3
CRS Customer Information Notice
The CRS was developed by the OECD as a new global standard for the automatic exchange of information between tax authorities inparticipating jurisdictions. A Multilateral Competent Authority Agreement was signed on 29 October 2014 in Berlin at the Global Forum on
Transparency and Exchange of Information which will implement CRS in more than 90 jurisdictions, including Ireland. Under the CRS,
governments of participating jurisdictions are required to collect detailed information to be shared with other jurisdictions annually. A group ofover 40 countries, including Ireland, have committed to the early adoption of the CRS from 1 January 2016 with the first data exchanges
taking place in September 2017. All EU member states, except Austria, will introduce the CRS from 1 January 2016; Austria will introduce
CRS from 1 January 2017.
Under Irish laws giving effect to the CRS, the Fund will be required to obtain and report to the Revenue Commissioners annually certain
financial account and other information for all new and existing Unit Holders in respect of their holding of Units in the Fund. This information
will include amongst other things, details of the name, address, TIN, place of residence and, in the case of Unit Holders who are individuals,
the date and place of birth, together with details relating to payments made to Unit Holders and their holdings. All Unit Holders will be required
to provide this information to the Fund.
This information is being collected and reported to the Revenue Commissioners by the Fund to enable the Revenue Commissioners to
exchange this information with tax authorities in participating jurisdictions who have signed up to the Multilateral Competent Authority
Agreement. Presently, the Fund will be required to collect and report this information in respect of all Unit Holders in the Fund, irrespective of
where they are resident. It is expected that where a Unit Holder is resident in a jurisdiction which is participating in the CRS, the information
submitted by the Fund to the Revenue Commissioners will be shared by the Revenue Commissioners with the tax authority of that participating
jurisdiction. It is expected that where the Revenue Commissioners determine that a Unit Holder is resident in a non-participating jurisdiction,
no further use will be made by the Revenue Commissioners of the information submitted by the Fund. The precise requirements of the CRS
as implemented in Ireland are not yet know and may impose additional due diligence, systems and administrative burdens and costs on theFund and/or its Unit Holders. Further information may be obtained from the AEOI (Automatic Exchange of Information) webpage on revenue.ie- http://www.revenue.ie/en/business/aeoi/index.html.

Appendix 4
Irish Tax Identification Number
Applicants resident or ordinarily resident for the purposes of tax in Ireland are required to provide an Irish tax reference
number for the purposes of Section 891C and the Return of Values (Investment Undertakings) Regulations 2013.
Tax Identification Number / PPS Number

Applicants who are resident or ordinarily resident in Ireland are also required to provide one of the following documents toverify the Tax Identification Number (either a copy or the original is sufficient):
P60
P45
P21 Balancing Statement
Payslip (where employer is identified by name or tax number)Drug Payment Scheme Card
European Health Insurance Card
Tax Assessment
Tax Return FormPAYE Notice of Tax Credits
Child Benefit Award Letter /Book
Pension Book
Social Services Card
Public Services Card
In addition, any printed documentation issued by the Revenue Commissioners or by the Department of Social Protection
which contain the applicant’s name, address and tax reference number will also be acceptable.

Appendix 5
UK Regulatory Restrictions on Paying Commission (RDR)
If you are an intermediary undertaking business in the UK you may be in scope for RDR, in which case certain restrictions
may apply in respect of the payment of commissions. In order to determine whether or not you are in scope for RDR andwhether commissions are payable on the account please answer the following two questions:
Question 1:- Please confirm if any of the following statements applies to your business:o We are an entity established in the UK and regulated by the UK’s Financial Conduct Authority (the “FCA)o We are an overseas branch of an entity which is regulated by the UK’s FCAo We are a UK branch of an entity domiciled in the EEA undertaking business in the UK pursuant to EEA
Single Market passporting rights
YesNo

If you have answered YES to question 1, then please go on to question 2.
If you have answered NO to question 1, then we will assume that you are not in scope for RDR and your account willbe allowed to attract commission.
Question 2:- Please answer each of the following questions with regard to your underlying clients:o Are any of the underlying clients of this account “retail clients” (which can include high net worth individuals
and sophisticated individual investors that have not opted-up to professional client status)?
Yeso

Are any of these “retail clients located (whether permanently, temporarily or on an ad hoc basis) in the UK?
Yes

o

No

No

When distributing funds to these clients, do you provide or do you intend to provide personal
recommendations/advice (e.g to buy or sell)?
YesNo

If you have answered YES to all of Question 2, then the RDR rules will apply and your account will be flagged“commission banned.”
If you have answered NO to any o Question 2, then we will assume that the RDR Rules will not apply and youraccount will be flagged “Commission Allowable.” If your account should be flagged as “Commission Banned” pleaseprovide your FCA number, or country equivalent in the section below.
FCA Number:
Please provide your FCA number, or country equivalent:*Please note that it is your responsibility to ensure on an ongoing basis that any accounts which have been flagged“Commission Allowable” are not used for advised, retail clients in the UK.*

Appendix 6
Privacy Notice
Introduction
This notice sets out details of how and why Brookfield Investment Funds (UCITS) plc of One George’s Quay Plaza, 4th Floor,
George’s Quay, Dublin 2, Ireland (the “Company”, “we”, “us”, “our”) and third parties acting on our behalf collect and process
personal information in connection with investments in Brookfield Investment Funds (UCITS) plc (the “Fund”). We do this incompliance with our obligations under applicable data protection law. This notice explains what personal data is collected, thepurposes for which it is used, the third parties to whom it may be disclosed and how individuals can exercise their rights in relation
to their personal data.
This notice applies to the collection and processing of personal information relating to any individual investor in the Fund andpersonal information relating to individuals associated with corporate investors in the Fund, such as a corporate investor’s
directors, shareholders, employees, professional advisers and other personnel. References to “you” and “your” mean therelevant individuals who are the subjects of the personal data to which this notice relates and “your company” means acorporate investor with which an individual is associated. Corporate investors should ensure that this notice is provided to any
individual whose personal data the corporate investor has provided to us, such as its directors, shareholders, employees, andother personnel, as soon as practicable.
We also refer you to the CRS Customer Information Notice in our application form which contains certain further information
relating to our use of your personal information.
About Us
The Company is the controller of the personal data collected via the application form and in connection with our dealings with youor your company in relation to investments in the Fund. The Company engages third party service providers to process such
personal data on behalf of the Company and those third parties act as processors. If you have any questions about the use ofyour personal data by or on behalf of the Fund, please contact us at the above address.
Personal Data that we Process
We collect personal data relating to you that is provided to us in the application form and in connection with our dealings with youor your company in relation to investments in the Fund, including your name, signature, postal address, email address, fax
number, date of birth, and other contact details.
We may also collect personal data in relation to you in connection with ensuring compliance with our legal obligations including
your PPS number; passport number; photographic identification and verification such as copies of your passport; and address
verification. For the purposes of carrying out due diligence, we may also collect information relating to your status as an ultimate
beneficial owner of an entity, or as a politically exposed person.
We may collect and process personal data relating to you in connection with our on-going relationship with you or your company,
such as via correspondence and calls, and in connection with our administration of you or your company’s investment in the Fund.
We may record telephone calls for the purposes of record keeping, security and training.
In addition, we may collect personal data relating to you from third party sources in connection with complying with legislation
relating to anti-money laundering, taxation, and other legislation applicable to investment funds.
We require you to complete the mandatory fields identified in our application form for the purpose of entering into a contract withyou or your company. Please note that some of the information required by our application form is necessary in order for us toadminister your or your company’s investment in the Fund and if you or your company do not provide us with these required
details, we may decline your or your company’s application to become an investor. Please be advised that you may becontractually obliged to ensure that certain information that we hold relating to you is up to date pursuant to the application form.
Purposes of Processing and Legal Basis
Personal data that you or your company provides in your application form, or that we otherwise obtain in relation to you, will beprocessed for the following purposes:•
processing your or your company’s application to become an investor;•

establishing your identity, and providing, servicing and administering your or your company’s investment;•complying with our legislative and regulatory obligations in connection with our dealings with you or your company,
including under applicable law regarding anti-money laundering, taxation, the regulation of collective investment
schemes, or the provision of financial services;•

for direct marketing purposes, subject to any preferences you communicate to us;•

if applicable, processing the fact that you are a politically exposed person, to comply with applicable legal obligations;•

to communicate with you by way of notice pursuant to applicable legislation or the Fund’s Constitution;•

maintaining appropriate business records, including maintaining appropriate registers of shareholders;•statistical analysis and market research;•

internal training and management of personnel;•

to respond to or evaluate any queries or complaints in relation to your or your company’s investment;•internal and external audits and, where necessary, investigations; and•establishing, exercising or defending legal claims.

•

The legal grounds that we rely on to process your personal data are:that this is necessary to comply with our legal obligations;that this is necessary for the purposes of our legitimate interests or the legitimate interests of a third party to whom weprovide your personal data. We will not process your personal data for these purposes if our or the third party’s
legitimate interests should be overridden by your own interests or fundamental rights and freedoms. The legitimate
interests pursued by us in this regard include:•oconducting our business in a responsible and commercially prudent manner and dealing with any disputesthat may arise;opreventing, investigating or detecting theft, fraud or other criminal activity;opursuing our corporate and social responsibility objectives;•

where you are an individual investor, that this is necessary to take steps at your request prior to entering into ourcontract with you and for the performance of our contract with you;•in certain limited circumstances, your consent.

Recipients of Data
We may disclose your personal data to various recipients in connection with the above purposes, including:•to the Administrator;•

to Brookfield Investment Management Inc., the Fund’s investment manager;•to the Fund’s distributor(s);•to the Fund’s Money Laundering Reporting Officer;•

to the Revenue Commissioners and other tax authorities as required by applicable law, including FATCA or CRS;•

to the Central Bank of Ireland, auditors, or other competent regulatory authorities and bodies as requested or requiredby law;•

to other third parties who we engage to provide services to us, such as professional advisers, auditors and IT service
providers;•to credit reference agencies in order to carry out money laundering and identity checks and to comply with legal
obligations; and•to other members of our corporate group.

Transfers Abroad
In connection with the above purposes we may transfer your personal data outside the European Economic Area, including to a
jurisdiction which is not recognised by the European Commission as providing for an equivalent level of protection for personal
data as is provided for in the European Union. If and to the extent that we do so, we will ensure that appropriate measures are inplace to comply with our obligations under applicable law governing such transfers, which may include: (a) entering into a contract
governing the transfer which contains the “standard contractual clauses” approved for this purpose by the European Commission;(b) in respect of transfers to the United States of America, ensuring that the transfer is covered by the EU-US Privacy Shieldframework; or (c) transferring your personal data pursuant to binding corporate rules.
Further details of the measures that we have taken in this regard and the territories to which your personal data may betransferred are available by contacting us at our address set out at the beginning of this notice.
Retention
We will retain your personal data for the duration of your or your company’s investment in the Fund and for such a period of timeafter the investment ends as is necessary to comply with our obligations under applicable law and, if relevant, to deal with any
claim or dispute that might arise.
Your Rights
You have the following rights, in certain circumstances and subject to applicable exemptions, in relation to your personal data:•

the right to access the personal data that we hold about you, together with other information about our processing ofthat personal data;•

the right to require us to rectify any inaccuracies in your personal data;•

the right to require us to erase your personal data;•

the right to request that we no longer process your personal data for particular purposes;•

the right to object to our use of your personal data or the way in which we process it; and•where the legal basis for processing is that it is necessary for the performance of a contract with you, the right toreceive your personal data, which you provided to us, in a structured, commonly used and machine-readable format
or to require us to transmit that data to another controller.

In order to exercise any of the rights set out above, please contact us at the address set out at the beginning of this notice orcontact us at publicsecurities.enquiries@brookfield.com or call us at 1 *(855) 777-8001.
Complaints
If you are not happy with the way we have used your information or addressed your rights, you have the right to lodge a complaint
with the Irish Data Protection Commission (info@dataprotection.ie) or your local supervisory authority.

Appendix 7
AML Information

1. TYPE OF INVESTMENT

I/we confirm that the investment into the Fund:Is made on my/our own behalf and is not in favour of a third party
Please proceed to section 2
Is made on behalf of third party and that the account will reflect:a Pooled Account (reflecting a pool of underlying clients typically with a generic designation such as “Clients account” or with adesignation that makes reference to a region, product or multiple specific customers)a Segregated Account (a specific account for a single underlying third party)

In such case, please select either one option below:
the designation of the account will refer to the underlying client namethe designation of the account is coded (the designation contains an internal reference, numbers or combination of letterswhich do not allow an external party to identify the underlying client)
Please indicate whether the account is used to transact "advised" or "execution-only" business. Per account only one type ispossible. If both types of transactions are used, please be advised that two different accounts need to be created.
Advised business

Execution-only business.

2. EXPECTED VOLUMES & FREQUENCY (BANKS/ NOMINEES DO NOT NEED TO COMPLETE)
Please complete the below section with your expectations in terms of investment in the fund.
The expected volumes and frequency provided will not form any kind of commitment from the account holder, thebeneficial owners or the intermediary.

2.1. Expected frequency of trading
Please tick the anticipated frequency.

Singletransaction

Daily

WeeklyMonthly

Quarterly

Semiannual

AnnualAd-hoc2.2 Expected investment amount ∗Individuals

Insurance Companies,
Pension Funds, Investment
Funds, Listed Companies

Expected Total
Investment

EUR

Expected Total
Investment:

EUR

Expected Total
Investment:

EUR

Other types of investors

3. Ultimate Economic Beneficiary- Applies to all investor types excluding individual/ retail investors
3.1. Ultimate Economic Beneficiary information 1

An ultimate economic beneficiary is the final beneficiary of the investment and who owns – directly or indirectly – more than
25% of the value of the shares subscribed. Please note for Trusts it includes all Trustees, beneficiaries, settlor and protector
where applicable.
Important: In case of indirect ownership, please provide details of the beneficiary layers and we will advise what additional
information is required
Please provide the information if any of the account holder or the ultimate economic beneficiary(ies) is/are either:a person holding a legislative, administrative or
judicial office, whether appointed or elected:
a person exercising a public function, including for a
public agency or public enterprise:
an official or agent of a public internationalorganisationa person or company manifestly close to orconnected with the above persons

If applicable, please describe:

3.2. Ultimate Economic Beneficiary details
Mr
Mrs
Surname(s)∗Ms(please tick the right choice)First Name

Date of birth(DD/MM/YYYY)//

Place & Country ofbirth

Occupation and areaof activity:

Nationality

Passport / ID
Number:(circle the rightchoice)Issuing Country:

Expiration Date
(DD/MM/YYYY)//

Double Nationality:
Never
Renounced
Yes, which:Registered Address*
StreetNumber:Registered Address
Town/Village:

Registered Address
Post Code:Registered AddressCountry:

Mailing Address if
different from above
StreetNumber

Mailing Address
Town/Village:

Mailing Address
Post Code:

Mailing AddressCountry:

mandatory dataTelephone:

Fax:

E-Mail:Mobile-Phone:@* P.O. Box and “in care of” addresses are not valid registered address. These are acceptable for mailing purposes.

Signature of the ultimate economic beneficiary

Date and place of signature

4. ECONOMIC ORIGIN OF THE MONIES INVESTED

4.1. Where investing in own name and on own behalf:

The Account Holder declares that the origin of the funds used for subscription is coming from: (please tick the right choice)Inheritance (please provide some details)
Sale of real estate (please provide some details)
Redemption from other investments (please provide
some details)
Savings on salary
Treasury investment (Corporate)
Other (please describe)

Details:

Main country of origin of the funds invested:

Signature of the account holder

Signature of the account holder 2