• This application form relates to an Information Memorandum dated April 2020 (“Information Memorandum”) issued by Manning Asset Management Pty Ltd (“Manning AM”), AFSL 509 561, ACN 608 352 576, for the offer of units in the Manning Private Debt Fund (“Fund”). Terms defined in the Information Memorandum have the same meaning in this application form.

    The Information Memorandum contains important information about investing in the Fund, and you are advised to read the Information Memorandum before completing this application form. It is essential that you receive the application form and Information Memorandum in Australia. We may not accept an application from a person who we believe received the documents outside Australia.

    This form enables us to create your investment account and provides us with details of the people who are authorised to transact on the account. This form also sets out identification information required from you to enable us to comply with AML/CTF, FATCA, and CRS requirements. In this application form, “I/we”, “you”, “your” “Unitholder”, “Applicant” and “my/our” refers to the investor/joint investors.

     

    Three steps to make an investment:

    1. Complete the relevant sections of this application form

    2. Provide cleared funds in the nominated account. Refer to “Investment details and payment method”

    3. Submit this form and upload certified copies of your identification documents

     

    Application forms are also available at manningam.com and may be emailed to ManningAM@eticore.com.au however we also require an original copy of the form and the certified identification documents to be posted to the Fund Administrator at the below mailing address:

    Eticore SD Services Pty Ltd (Ref: Manning PD Fund)

    Suite 5.01, Level 515 Castlereagh St

    Sydney NSW 2000

     

    © 2019 Hedge Funds Rock and the Australian Alternative Investment Awards. All rights reserved. The information, data, analyses, and opinions contained herein include the proprietary information of Hedge Funds Rock and the Australian Alternative Investment Awards and may not be copied or redistributed without prior approval, do not constitute investment advice offered by Hedge Funds Rock and the Australian Alternative Investment Awards and are provided solely for informa-tional purposes and therefore are not an endorsement of a fund or fund manager. Hedge Funds Rock and the Australian Alternative Investment Awards shall not be responsible for any trading decisions, damages, or other losses resulting from, or related to, this information, data, analyses, or opinions or their use. Hedge Funds Rock and the Australian Alternative Investment Awards does not guarantee that a fund or fund manager will perform in line with its nominated award as it reflects past performance only. Likewise, any award should not be any sort of guarantee or assessment of the creditworthiness of a fund or fund manager or of its underly-ing securities and should not be used as the sole basis for making any investment decision. Financial Express (FE Limited) undertakes investment ratings and fund research, The Manning Private Debt Fund received a 5 Crown Rating in August 2020. More information can be found on their website at financialexpress.net.

  • Individuals (including joint investors)

    This section relates to individual investors. Where there is more than one investor, each individual must provide their details.
  •  /  /
    Pick a Date
  • If no, please provide further information as required below for each country of tax residence:

  •  /  /
    Pick a Date
  • If no, please provide further information as required below for each country of tax residence:

  • Keeping you informed

    Investor Communications and Correspondence. This section relates to individual investors. Where there is more than one investor, each individual must provide their details.
  •  -
  • Acknowledgment of Wholesale Investor Status

  • Browse Files
    Cancel of
  • If (d) or (e) applies, in addition to completing this Form, please contact the Fund Administrator on +61 2 8278 9520 or ManningAM@eticore.com.au to discuss the additional information we will require.

  • Investment Details and Direct Debit Request

    Manning Private Debt Fund
  • The Direct Debit Request Agreement can be downloaded at:

    https://manningam.com/how-to-invest/

     

    Please note that the funds will be debited 4 Sydney business days before the last Sydney business day of the month. For security purposes, funds will be debited from your nominated account. We do not request for you to transfer funds.

     

    Please note that the bank account details you provide will be held on record and maintained to pay any future withdrawal proceeds and/ or income distributions. Manning Asset Management will only make a payment to an Australian bank, credit union or building society account. This account must be in the name of the investors We will not pay to a third-party bank account.

  • If you wish to make any subsequent changes to these instructions, please contact the Fund’s Administrator at ManningAM@eticore.com.au

  • Income Payment Instructions

  • Acknowledgment

  • I/We acknowledge that by signing and/or providing the Fund Administrator with a valid instruction in respect of my/our Direct Debit Request, I/we have understood and agreed to the terms and conditions governing the debit arrangement between me/us and Manning Asset Management Pty Ltd as set out in this request and in the Direct Debit Service Agreement.

  • Clear
  •  /  /
    Pick a Date
  • Clear
  •  /  /
    Pick a Date
  • If debiting from a joint bank account, both signature are required.

  • Adviser Details

  • If yes, complete this section with your financial adviser’s details.

  •  -
  •  -
  • Advice fee

  • If yes, complete the section below.

  • OR

  • Applicant acknowledgement of adviser fee arrangements (must be signed by all applicants)

  • Clear
  •  /  /
    Pick a Date
  • Clear
  •  /  /
    Pick a Date
  • US Person Beneficial Ownership

  • For purposes of this Application Form, the term “U.S. person” means:

    I. any natural person resident of or in the United States or any partnership, corporation or other entity organized or incorporated under the laws of the United States or which has its principal place of business in the United States;

    II. any estate of which any executor or administrator is a U.S. person or the income of which is subject to U.S. income tax regardless of source;

    III. any trust of which any trustee is a U.S. person or the income of which is subject to U.S. income tax regardless of source;

    IV. any agency or branch of a foreign entity located in the United States or the income of which is subject to U.S. income tax regardless of source;

    V. any non-discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary for the benefit or account of a U.S. person;

    VI. any discretionary account or similar account (other than an estate or trust) held by a dealer or other fiduciary organised, incorporated, or (if an individual) resident in the United States;

    VII. any partnership or corporation if

    • a. organised or incorporated under the laws of any foreign jurisdiction and
    • b. formed by a U.S. person principally for the purpose of
      • i. investing in Units of the Fund or
      • ii. investing in securities not registered under the U.S. Securities Act of 1933, as amended (the “Securities Act”), unless it is organized or incorporated, and owned, by accredited investors (as defined in Rule 501(a) under the Securities Act) who are not natural persons, estates or trusts; and

    VIII. any entity organised principally for passive investment such as a commodity pool, investment company or other similar entity (other than a pension plan for the employees, officers or principals of an entity organised and with its principal place of business outside the United States) in which U.S. persons who do not qualify as qualified eligible persons (as defined in Rule 4.7 under the U.S. Commodity Exchange Act) hold units of participation representing in the aggregate 10% or more of the beneficial interest in the entity or which has a principal purpose the facilitating of investment by a U.S. person in a commodity pool with respect to which the operator is exempt from certain requirements of Part 4 under the U.S. Commodity Exchange Act regulations by virtue of its participants being non-U.S. persons.

    For purposes of the foregoing, the term “U.S.” means the United States of America, its territories and possessions, any state of the United States of America, and the District of Columbia.

  • Investor Identification Documents

  • Each individual investor identified in this Application Form must complete this section and provide certified copies of their identity documents.

    Please complete either Option 1 or Option 2 and attach a certified copy of the applicable document(s).

    Note that a document produced by you must not have expired (other than in the case of a passport issued by the Commonwealth that has expired within the preceding two years).

     

    Upload 

    Important note: all documents must be certified. You will also be required, post appplication, to send an original or a certified copy of all identification documents to our Fund Administrator (Eticore) at the following address:

    Eticore SD Services Pty Ltd (Ref: Manning PD Fund)

    Suite 5.01, Level 515 Castlereagh St

    Sydney NSW 2000

     

    You can learn more about certifying a document after this section.

  • Investor 1

    Option 1
  • Browse Files
    Cancel of
  • Investor 1

    Option 2
  • Please attach certified copies of at least one primary non-photographic document AND one secondary non-photographic document

  • Browse Files
    Cancel of
  • AND

  • Browse Files
    Cancel of
  • Investor 2

    Option 1
  • Browse Files
    Cancel of
  • Investor 2

    Option 2
  • Please attach certified copies of at least one primary non-photographic document AND one secondary non-photographic document

  • Browse Files
    Cancel of
  • AND

  • Browse Files
    Cancel of
  • Power of Attorney

  • If you are completing and signing this application form under a power of attorney, please also provide a certified copy of the power of attorney.

  • Browse Files
    Cancel of
  • Certification

  • A certified copy is a copy of an original document, which has been certified and assigned by a person who is an authorised certifier, as being a true and correct copy of the original document.

    To create a certified copy you will need to take your original document, and a clear and legible photocopy of both sides of the original document, to a person who is authorised to certify proof of identity documents.

    The person authorised to sight and certify documents must:

    • Sight the original and the copy and make sure they are identical; and
    • Write or stamp ‘certified copy’ on all copied pages followed by their signature, printed name, qualification (e.g. Justice of the Peace), registration number (if applicable) and date.

    The following people, so long as they are licensed or registered to practice their occupations in Australia, can certify documents (for a full list see the Statutory Declaration Regulations 2018):

    • Accountant who is a fellow of the National Tax Accountants’ Association or a member of any of the following: Chartered Accountants Australia and New Zealand, the Association of Taxation and Management Accountants, CPA Australia or the Institute of Public Accountants
    • Justice of the Peace
    • Police Officer
    • Teacher (employed on a full-time or part-time basis at a school or territory institution)
    • Chiropractor
    • Dentist
    • Optometrist
    • Pharmacist
    • Physiotherapist
    • Psychologist
    • Veterinary Surgeon
    • Marriage Celebrant
    • Bank Officer (with 5 or more years of continuous service)
    • Building Society Officer (with 5 or more years of continuous service)
    • Chief Executive of a Commonwealth Court
    • Commissioner for Affidavits or Declarations
    • Credit Union Officer (with 5 or more years of continuous service)
    • Engineer who is a member of Engineers Australia (other than at the grade of student), a Registered Professional Engineers of Professionals Australia, registered as an engineer under a law of the Commonwealth, a State or Territory, registered on the National Engineering Register by Engineers Australia.
    • Finance company officer (with 5 or more years of continuous service)
    • Judge
    • Magistrate Australian Consular Officer or Australian Diplomatic Officer
    • Member of the Australian Defence Force
    • Member of the Parliament of the Commonwealth, the Parliament of a State, a Territory Legislature or a local Government authority
  • Declarations

  • The Applicants agree, acknowledge and declare that he/she/they:

    a. have received, read and understood the Information Memorandum for the Fund to which this application form applies and agree to be bound by the terms of the Information Memorandum, and the Trust Deed of the Fund, as amended from time to time.

    b. agree to the collection, use and disclosure of his/her/their personal information as set out in the Information Memorandum and the Trustee’s Privacy Policy. The Trustee and the Fund Administrator are required to obtain certain information to enable compliance with AML/CTF, FATCA and CRS requirements and the Applicants undertake to provide such additional information or documentation as requested from him/her/them from time to time to ensure the Trustee’s compliance with such requirements. The Trustee and the Fund Administrator may also be required to report this information to regulatory or law enforcement agencies, including AUSTRAC and the ATO.

    c. understand that should he/she/they fail to provide any information or documentation requested by the Trustee, the application may be refused.

    d. understand the risks associated with holding Units in the Fund including the risks as they are outlined in the Information Memorandum.

    e. understand that the Trustee reserves the right to reject any application or scale back an application in its absolute discretion.

    f. are not aware of any liquidation or bankruptcy proceedings that have commenced or are intended to be commenced by any person against him/her/them.

    g. understand that none of the Trustee, Investment Manager or any of their related bodies corporate, principals, officers, employees or agents makes any recommendation as to the suitability of the Fund for him/her/them and the Information Memorandum does not contain personal investment or taxation advice. He/she/they have to the extent that he/she/they consider necessary sought his/her/their own financial, investment and taxation advice before deciding to invest in the Fund and making an application.

    h. understand that applications and investments in the Fund are not deposits with or other liabilities of the Trustee, Investment Manager or any other person and are subject to investment risk, including possible loss of income and capital invested. None of the Trustee, Investment Manager or any other person guarantees any particular rate of return or the performance of the Fund, nor do they guarantee the repayment of capital from the Fund.

    i. have provided information as part of this application that is true, correct and complete.

    j. understand that where this Application Form is sent by email, he/she/they must also send the original signed Application Form, and certified copies of identity documents, to the address specified in the Application Form. None of the Trustee, Fund Administrator, Investment Manager or any of their duly appointed agents will be responsible to him/her/them for any loss resulting from the non-receipt or illegibility of any application sent by email or for any loss caused in respect of any action taken as a consequence of such an email believed in good faith to have originated from properly authorised persons.

    k. confirm that the investment is for his/her/their own account (for individuals not acting as nominee)

    l. If this application form is being signed under a power of attorney, have not received notice of revocation of that power.

  • Signatures

  • Please sign the completed Application Form. By making the declarations outlined above and signing below this document is executed by you as a deed.

    I/we certify that the information I/we have provided is true and correct. I/we also understand I/we must recertify if any of the information provided in this application form changes or becomes invalid.

  • Clear
  •  /  /
    Pick a Date
  • Witnessed by:

  • Clear
  •  /  /
    Pick a Date
  • Clear
  •  /  /
    Pick a Date
  • Witnessed by:

  • Clear
  •  /  /
    Pick a Date
  • Checklist

  • Should you require any assistance completing this form please contact the Fund Administrator on:

    +61 2 8278 9520

    or

    should you require any further information about the Fund please contact us:

    +61(2) 8006 0604

     

    info@manningam.com

    manningam@eticore.com.au

     

    © Copyright Manning Asset Management 2020

  • Trust Details

    This section applies to all corporate and individual trustees and superannuation funds.
  • Is the trustee an individual(s) or company?

    Please select the relevant category below
  • Individual

    This section relates to individual trustees. Where the investing entity has more than one individual trustee, each individual trustee must provide their details.
  •  /  /
    Pick a Date
  •  /  /
    Pick a Date
  • Company

    This section applies to corporate trustees. For corporate trusts with multiple corporate trustees please provide full details as set out below for each corporate trustee on a separate sheet.
  • Directors

    To be completed for proprietary or private companies
  • Individual

    This section relates to individual trustees. Where the investing entity has more than one individual trustee, each individual trustee must provide their details.
  •  /  /
    Pick a Date
  •  /  /
    Pick a Date
  • Company

    This section applies to corporate trustees. For corporate trusts with multiple corporate trustees please provide full details as set out below for each corporate trustee on a separate sheet.