Schroders Investment Trust 2019/2020 Application Forms Note to Investors: Note to Intermediary: Before you invest, please read the Key Schroders is relying on you accurately and Information Document(s) and Key Features truthfully determining whether you have Document provided to you. provided advice or not. If you become aware These documents are current at the time of that you have ticked the non-advised box in provision. Updates are made annually and may error, please notify us of this fact immediately be subject to further change from time to time, so that we can ensure that we do not pay you so delaying your application could lead to you any commission. making your investment decision based on out of date information. How to Invest Investment Trust ISA Investors Checklist If you have any ISAs for 2019/2020: Application Form 1 1 You must read the Key Information queries about ISA Transfers: Application Form 2 Document(s) and Key Features Document provided before completing filling out your ISA Investors please remember: this application form. Ȃ You can only take out one stocks and 2 Please complete application forms in shares ISA in any one tax year. application form, BLOCK CAPITALS using a BLACK ball Ȃ Please ensure we have your full name, point pen. address, date of birth and National please contact your 3 Make sure you have filled in all the Insurance Number as without these we required details for each section. financial adviser or cannot open an ISA for you. (If you have never had a National Insurance Number 4 If you are investing a lump sum, make please indicate this on the form.) sure you have signed your cheque, Schroders’ investor which should be made payable to Ȃ For your benefit and protection Schroder Unit Trusts Limited ISA. services team on please read the enclosed ISA terms and conditions before completing 5 If you are using a bank or building the application form as these are society cheque, please ask them to print 0800 718 777 Schroders standard ISA terms and on your cheque the account name of conditions upon which we intend the person from whose account the For your security, communications to rely. If you do not understand payment is being made. may be taped or monitored any point please ask for further 6 If you are investing by Direct Debit information. please ensure we have your full bank details and that you have signed the instruction. Please retain the Direct Debit Guarantee, found on the back page of this booklet, for your records. 7 Please make sure you have signed the declaration in Section 2. 8 Return the application form in the pre-paid envelope provided or address it to: Schroders, Investor Services Department, FREEPOST, RLTZ-CHSY- HBUT, PO BOX 1102, CHELMSFORD CM99 2XX. NOTE Statements will be sent twice a year as at 5 April and 5 October (N.B. You will receive these within 25 business days of these dates) Schroders Investment Trust ISA 1 ‘Key Features Document’ has the ‘Units’ Ȃ units in a unit trust of which meaning given by the FCA Rules. a Schroders Company is the manager ‘Key Investor Information Document’ specified from time to time by Schroders (KIID) or ‘Key Information Document’ as available for inclusion in a Schroders (KID) Ȃ a document that provides ISA so long as the securities of which are Terms and information about a specific fund. It is permitted by the Treasury Regulations to required by law to help you understand be held in an ISA. the nature and the risks of investing in ‘US Person’ – any person defined as a Conditions that fund. US person under Regulation S of the ‘MiFID’ means the European Parliament United States Securities Act 1933. Unit Trust, OEIC and Council Directive on markets in ‘Year’ Ȃ a year beginning on 6 April in financial instruments (No. 2014/65/EU) any year and ending on 5 April in the and Investment and the Markets in Financial Instruments following year. Regulation (Regulation 600/2014) and any References to any statutory provision or to associated delegated or implementing regulations made there under include any Trust ISA legislation, technical standards and modification or re-enactment thereof. guidelines, as amended from time to time. Investments ‘OEIC’ Ȃ an open-ended collective investment scheme formed as a 2. Introduction corporation under the Open-Ended Reference guide to Investment Company Regulations 2001 (a) Schroder Unit Trusts Limited is in the United Kingdom. authorised and regulated by the Financial Terms and Conditions ‘Schroders’ Ȃ Schroder Unit Trusts Limited Conduct Authority and is entered on the as the ISA Manager. FCA register under register number 197288 Section 5 Ȃ Explanation of cancellation to act as ISA Manager. All communications ‘Schroders Company’ Ȃ any holding rights passing between you and Schroders must company of the ISA Manager or subsidiary be in English. Section 6 Ȃ How income reinvestments of any such holding company. and distributions are made (b) The Schroders ISA will, subject to ‘Schroders ISA’ Ȃ an Individual Savings the Treasury Regulations, be managed Section 7 Ȃ How the purchase of Units or Account (ISA) operated in accordance with by Schroders in accordance with your Shares is determined these Terms and Conditions representing directions as set out in the application form. Section 10 Ȃ The issue of valuations, subscriptions made by you over one reports and accounts or more Years whether or not such These are Schroders’ standard ISA Section 18 Ȃ An explanation of how the ISA subscriptions are made in consecutive Terms and Conditions upon which we may be transferred to another manager Years. A Schroders ISA will be made up intend to rely. For your own benefit entirely of stocks and shares (for the and protection you should read these Section 19 Ȃ How Schroders can terminate purpose of the Treasury Regulations) to carefully before investing in a Schroders the ISA be invested in Units of the Unit Trust(s) ISA. If you do not understand any point Section 26 Ȃ How complaints and queries or Shares in Investment Trusts or OEICs please ask for further information. are dealt with and further details of selected by you. Your Schroders ISA will be compensation arrangements designated as a Stocks and Shares ISA. 3. Applications to Open a ‘Shares’ (Investment Trust) Ȃ shares in 1. Definitions an investment trust of which a Schroders Schroders ISA Company is the manager specified from time to time by Schroders as available for or Ȃ an individual (a) In order to open a new ISA with ‘Account Investor’ ‘you’ inclusion in a Schroders ISA so long as the who subscribes to a Schroders ISA or the Schroders, you must submit to Schroders a securities of which are permitted by the applicant for a Schroders ISA. properly completed and signed application Treasury Regulations to be held in an ISA. form together with a cheque or banker’s ‘ACD’ Ȃ an Authorised Corporate Director is ‘Shares’ (OEIC) Ȃ a share in an OEIC draft or a direct debit instruction to your an FCA authorised firm that is responsible represents an equal fraction of the bank or building society, for the amount for dealing with the day-to-day operation OEIC’s assets. specified on the application form. of an OEIC, managing the OEIC’s investments, buying and selling the OEIC’s ‘Supplementary Information Document’ (b) You may also apply to transfer an shares on demand, and ensuring accurate (SID) Ȃ a document that provides existing ISA to Schroders. The ISA to be pricing of shares at net asset value. information about dealing in the relevant transferred must be converted to hold only funds, the associated tax implications, cash at the point of transfer but can only has the ‘Authorised Fund Manager’ the right to complain, the right to cancel be invested in stocks and shares ISA on meaning given by the FCA Rules. (where applicable) and further details on transfer. The minimum transfer value for ‘Business Day’ Ȃ any day on which the range of funds available. transfers into a Schroders ISA is £1,000. the London Stock Exchange is open ‘Terms and Conditions’ Ȃ these terms and (c) If you subscribe by cheque or banker’s for business. conditions together with the application draft your Schroders ISA will (subject to ‘FCA’ Ȃ the Financial Conduct Authority. form for a Schroders ISA. (a) above and (d) below) come into force ‘FCA Rules’ means the rules made by ‘Treasury Regulations’ Ȃ the Individual on the day of its receipt by Schroders if the FCA under the Financial Services and Savings Account Regulations 1998 as it is received before the valuation point Markets Act 2000. amended from time to time. or dealing period set by Schroders, or otherwise on the following Business ‘Investment Trust’ Ȃ an investment trust ‘Unit Trust’ Ȃ an authorised unit trust Day. If you subscribe by direct debit your of which a Schroders Company is the scheme of which a Schroders Company is Schroders ISA will come into force on the investment manager and/or Secretary the manager and which is specified from day Schroders draws on your direct debit and which is specified from time to time time to time by Schroders as available for mandate. Direct debit subscriptions to by Schroders as available for inclusion in inclusion in a Schroders ISA so long as a Schroders ISA will be collected on or a Schroders ISA so long as the securities such units are permitted by the Treasury around the 10th of each month. of which are permitted by the Treasury Regulations to be held in an ISA.