Hargreaves Lansdown Fund Account - Transfer Form

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Fund Account Transfer
Application to transfer existing non-ISA funds to the HL Vantage Fund Account. It is not to switch existing Vantage holdings.

Office use only

WEB

1

PERSONAL DETAILS - Please complete all sections
Full Forenames Surname *A/C Designation (if applicable) Postcode Daytime Tel. No National Insurance No. Date of Birth

Title (Mr, Mrs etc) Permanent Residential Address

/

/19
If you have no NI No. tick here

Email Address (if applicable)

*If transferring funds that are held on behalf of someone under 18 years of age please insert their initials. Joint Holder’s Details - if applicable (If the joint holder’s address is different to that given above, please provide the details on a separate sheet signed by the joint holder) Title (Mr, Mrs etc) Date of Birth Full Forenames Email Address (if applicable) Surname

2 ✔ 3

PAPERLESS REPORTING SERVICE
Please tick this box if you would like to receive your statements, contract notes and other account information electronically rather than by post. If you have not yet registered for online access we will send you further details about registering when you apply.

INCOME INSTRUCTIONS - Please see ‘your questions answered’ on the following page
Please complete the section below if this is your first application for, or to amend the current income instruction on, the Vantage Fund & Share Account.

Please nominate a bank account into which we will pay any income or cash withdrawals. You need not complete this section if you have already nominated a bank account. Name of Account Holder Account Number Roll Number or Building Soc.Ref. Sort Code

A
OR

-

-

✔ ✔

REINVEST INCOME AUTOMATICALLY

(tick one only) PAY INCOME OUT TO MY NOMINATED BANK ACCOUNT

B

4

SIGNATURE & DECLARATION
Joint Holder’s Signature - I agree to the declaration below

First Holder’s Signature - I agree to the declaration below

8

PLEASE SIGN HERE

8

PLEASE SIGN HERE

Date

For your own benefit and protection you should read our Terms & Conditions carefully before committing to an investment. If you do not understand any point please ask us for further information. When you use our services we will take this as acceptance and agreement of our terms, and you will be bound by them. I have read, agreed to and retained the Terms & Conditions, the Important Investment Notes, and Key Features of the Vantage Fund & Share Account and my chosen investment(s). The declaration and the information I will give in my application is correct to the best of my knowledge and belief and shall be the basis of the contract between me and Hargreaves Lansdown. I will notify Hargreaves Lansdown without delay of changes to these particulars. I have not received, and will not receive, advice from Hargreaves Lansdown.

I authorise the UT/OEIC Account Manager of the fund(s) named to provide Hargreaves Lansdown with any information they require regarding the accounts managed on my behalf, including, but not limited to, transaction and dividend histories and details of the current holdings and their values. I separately authorise Hargreaves Lansdown to submit all information on this transfer authority to the UT/OEIC Account Manager. I confirm that the transfer of the fund(s) named will not result in any change of beneficial ownership from or among account holders. STOCK TRANSFERS: I authorise the UT/OEIC Manager to transfer my holdings in the fund(s) named to Hargreaves Lansdown Nominees Ltd a/c HLNOM, and to send further commission due on this investment, now or in the future, to Hargreaves Lansdown. CASH TRANSFERS: I authorise the UT/OEIC Manager to sell the fund(s) named and transfer the proceeds to Hargreaves Lansdown.

5
A
Fund Name

FUND TRANSFER AUTHORITIES (NON-ISA) - Please complete one authority for each fund you wish to transfer.
Fund Information - I have read and agree to the declaration above. Inc or Acc Units Reference/ Account No. Stock A/C Designation (if applicable) Please only complete this section if you are transferring your fund as cash to the HL Vantage Fund Account. Please reinvest the cash transfer proceeds as follows:

No. of units or shares

OWN CHOICE

% % % % 100 %

Please transfer this holding to the HL Vantage Fund Account as Stock or Cash.



OR Date

Cash



OWN CHOICE OWN CHOICE
CASH - to be held pending investment instructions

8 Joint Holder’s Signature 8
First Holder’s Signature

Postcode

TOTAL

Regular Savings - Cease collection of my monthly savings plan with immediate effect.

B
Fund Name

Fund Information - I have read and agree to the declaration above. Inc or Acc Units Reference/ Account No. Stock A/C Designation (if applicable)

Please only complete this section if you are transferring your fund as cash to the HL Vantage Fund Account. Please reinvest the cash transfer proceeds as follows:

No. of units or shares

OWN CHOICE

% % % % 100 %

Please transfer this holding to the HL Vantage Fund Account as Stock or Cash.



OR Date

Cash



OWN CHOICE OWN CHOICE
CASH - to be held pending investment instructions

8 Joint Holder’s Signature 8
First Holder’s Signature

Postcode

Regular Savings - Cease collection of my monthly savings plan with immediate effect.

TOTAL

Please return to Hargreaves Lansdown, FREEPOST RSGU-SAHT-BKZL, Bristol, BS1 5HL

Transfers to the HL Vantage Fund Account
Please note these terms only apply to unit trusts and OEICs held outside of an ISA with the providers listed. These terms may not apply to all unit trusts/OEICs offered. If transferring investment trusts or other holdings differing charges may apply. All details are subject to change but are correct as at 20/10/10. If you would like to check current terms please call our Helpdesk on 0117 900 9000. Before transferring please check whether your provider levies a fee and how they would like payment for this. See table opposite or contact our Helpdesk for details of which providers make a charge.
Fund A/C Transfer Stock transfer available? Stock exit fees?

Company
ABERDEEN AEGON ALLIANZ GLOBAL INVESTORS ARTEMIS AVIVA INVESTORS AXA IM BARING BLACKROCK CAZENOVE CLOSE CO FUNDS F&C FIDELITY> FIDELITY FUNDSNETWORK> FIRST STATE GARTMORE HENDERSON (A Shares)# HSBC IGNIS ASSET M’MENT INSIGHT INVESCO PERPETUAL INVESTEC JPMORGAN ASSET M’MENT JUPITER LEGAL & GENERAL LEGG MASON M&G (X Shares)** MARLBOROUGH NEPTUNE NEWTON OLD MUTUAL RENSBURG FUND MNGRS SCHRODER SKANDIA MULTIFUNDS SKANDIA INV MANAGEMENT SLFC UNIT MANAGERS (UK) STANDARD LIFE INV SVM SWIP THREADNEEDLE UBS

Application Checklist

1 2 3 4 5

Please complete all your personal details, including your date of birth and National Insurance Number. Please tick this box if you would like to sign up for our Paperless Reporting Service. If you have not yet registered for online access we will send you further details about registering when you apply. Please tell us what to do with any income paid by your investment and provide details of your nominated bank or building society account. See ‘your questions answered’ and the Terms & Conditions for further details. Please ensure you sign and date before you return the form. These details are available on your statement or from your current fund provider. This is the company that sends you statements regarding your fund. Please indicate whether you are transferring as stock or as cash – the difference is explained below. If you are transferring as cash please tell us how you would like the proceeds to be reinvested.

Please return your completed form to: Hargreaves Lansdown, FREEPOST RSGU-SAHT-BKZL, Bristol, BS1 5HL

✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ 7 ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔

7 7 7 7 7 7 7 7 7 7 7 7 7 N/A 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7 7

key for table
> For Fidelity funds see ‘Fidelity’. For NON-Fidelity funds see ‘Fidelity FundsNetwork’. Funds (including NON-Fidelity funds) held outside of an ISA and worth over £40,000 in total may be transferred as stock; please contact our Helpdesk on 0117 900 9000 before completing your transfer form. ** M&G (X shares): Stock transfers only available if fund has been held for more than 5 years. Sliding scale exit fees from 4.5% to 1% apply to transfers as cash if the fund has been held less than 5 years. # Henderson X class shares cannot be held in Vantage and cannot be transferred as stock. You would not be able to repurchase X class shares after transferring them as cash.

Your

Questions Answered

Q How do income options work? A The income instruction you choose will apply to your whole Vantage Fund
& Share Account. If you already hold a Vantage Fund & Share Account, the instruction you provide on this application will supersede the current instruction on that account. Complete section 3A for automatic reinvestment. When you buy funds we will purchase accumulation units if they are available (accumulation units do not produce an income – any income is rolled up within the fund, increasing the value of each unit). For any funds or shares that do produce an income we will automatically reinvest this for you when it reaches £50 per holding for unit trusts and OEICs, or £200 for shares and other investments. Complete section 3B to have income paid directly to your nominated bank or building society account. When you buy funds we will purchase income units if they are available. If you leave the income option blank and you already hold a Vantage Fund & Share Account we will look at what you have told us previously. If this is your first investment we will purchase accumulation units, if they are available, when you buy funds. For any funds or shares that produce an income we will hold this on deposit within your Fund & Share Account, pending your further instructions.

Q What is the difference between a stock and a cash transfer? A Stock transfers are where your existing holdings are simply moved
across to the HL Vantage Service exactly as they are. Cash transfers are where your current provider sells your holdings, transfers the proceeds to us, and we reinvest it in the funds you have chosen on the transfer form or, if you have completed the cash option under the ‘reinvestment instructions’ section, hold it as cash pending any future instructions. You are out of the market while a cash transfer takes place. This may work in your favour if the market falls but if it rises you will not benefit from any growth while you hold cash. Some groups are unable to offer cash transfers for funds held outside of an ISA. Please contact our Helpdesk on 0117 900 9000 for further details.

Q What is a nominated bank account? A If you withdraw money or ask us to pay out income from a Vantage
ISA or Fund & Share Account we will transfer this money directly to your nominated bank account. You can change your nominated bank account at any time, however you cannot nominate more than one bank account. The details you provide on this application will override any existing nominated bank account you may previously have chosen.

Q What do I need to do if my account is held in joint names? A You simply need to complete the ‘Joint Holder’s Details’ in section 1 of
the transfer form and ensure both holders sign and date sections 4 and 5. If the joint holder’s address is different from that you have given in section 1 please send in a note with your transfer form, detailing the differing address, signed by the joint holder.

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