Fillable INVESTMENT ADVISER APPOINTMENT SERVICING Who is this form (RL360)

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INVESTMENT ADVISER APPOINTMENT SERVICING Who is this form (RL360)

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1
Who is this form for?
This form is for applicants or plan
owners of lump sum investment
products, who wish to appoint an
investment adviser to their plan.
Investment advisers may act on a
non-discretionary or discretionary
basis. This is your choice and an
agreement that you must make
with your investment adviser.
Completing this form
By completing this form you will
be requesting the appointment of
a company to act as an investment
adviser to your plan. They will
have the power to place dealing
instructions on your behalf.
We can only accept written
instructions that have been signed
by all applicants, plan owners,
trustees or authorised signatories.
Please complete in BLOCK capitals
throughout.
When you have completed this form
For all plan owners or applicants
outside of Hong Kong, please send
it to: Alterations Team, RL360,
International House, Cooil Road,
Douglas, Isle of Man, IM2 2SP.
If you own a Hong Kong plan (a plan
taken out whilst resident in Hong
Kong), please send it to: RL360,
30/F Entertainment Building, 30
Queen’s Road Central, Hong Kong.
Important notes
If you are a UK resident plan
owner, withdrawals from your plan,
to pay your investment adviser,
may count towards your annual 5%
tax deferred allowance. These will
be added to any other withdrawals
you have taken for the purpose of
determining whether a chargeable
event has occurred in a particular
plan year. If you think this could
aect you, please contact your
financial adviser.
The fee will be added to your
plan from the date we receive
the completed form. Its
commencement will be subject to
the following product rules:
Oracle plans:
The fee will
commence once we have received
your completed form.
Personal Investment Management
Service (PIMS) plans:
The fee will
commence once we have received
your completed form.
In some cases, if you are attempting
to appoint an investment adviser to
an old plan, we may not be able to
pay a fee.
Privacy policy
Our full privacy policy can be
viewed at www.rl360.com/
privacy or can be obtained by
requesting a copy from our
Data Protection Ocer.
INVESTMENT ADVISER
APPOINTMENT
SERVICING
SECTION 1 INVESTMENT ADVISER APPOINTMENT
Applicant or plan owner to complete
I wish to appoint
Investment adviser company name
to act in the capacity of an investment adviser to my plan
Application dated (dd/mm/yyyy)
Plan reference
I understand that my investment adviser will be able to act on my behalf, subject to the terms and conditions set
out in Section 2 overleaf, to advise on and change the funds or assets to which the value of my plan is linked. I
authorise RL360 Insurance Company Limited (RL360) to release all relevant information relating to my plan to my
investment adviser when requested.
I understand that RL360 is not responsible for any loss or liability incurred to my plan as a result of advice given,
or negligence by, my appointed investment adviser. I also understand that RL360 is not responsible for the
performance of any funds linked to my plan.
I confirm that all communications in relation to dealing instructions should be directed to my investment adviser.
2
SECTION 1 INVESTMENT ADVISER APPOINTMENT CONTINUED
Please confirm on what basis you wish your investment adviser to be appointed, non-discretionary or discretionary, by ticking
the appropriate box below.
I confirm that my investment adviser will be acting on a non-discretionary basis. Dealing instructions may only be forwarded
to RL360 after my investment adviser has consulted me. My investment adviser has confirmed to me that they have the
necessary regulatory authorisations in order to perform this role. I understand that RL360 is not required to obtain proof that
my investment adviser has consulted with me, prior to acting on any instructions received.
I confirm that my investment adviser will be acting on a discretionary basis. Dealing instructions may be forwarded to
RL360 without my prior consultation. My investment adviser has confirmed to me that they have the necessary regulatory
authorisations in order to perform this role.
I authorise RL360 to take a fee from my plan in line with the following:
Investment adviser fee
% per year, paid quarterly in arrears as percentage of my plan value.
If you have an Oracle plan, the fee should not be more than 1% per year. Contact us for further details.
Note: Where this fee is used in conjunction with a Financial Adviser fee, the two fees combined cannot be more than 1.5% per year.
If you have a PIMS plan, the fee should not be more than 1.5% per year. Contact us for further details.
Note: Where this fee is used in conjunction with a Financial Adviser fee, the two fees combined cannot be more than 2% per year.
I am aware that for as long as I have an appointed investment adviser I will be unable to access online dealing facilities.
For older products, dierent limits may apply. Contact us for further details.
I confirm that should I change my investment adviser, or bring this agreement to an end in the future, I agree to inform RL360 in
writing (originals only), immediately.
I acknowledge that RL360 has the right to reject the appointment of my investment adviser at its discretion.
I agree that I am solely responsible for the appointment of an investment adviser to my plan and that I am also responsible for
ensuring that they have the appropriate experience, and/or qualifications and permissions to provide me with investment advice.
I acknowledge that RL360 is not liable for the performance or conduct of my investment adviser, or for ensuring that they hold and
continue to maintain any regulatory or legal permissions required to provide investment advice.
Applicant/Plan owner/Trustee/ Applicant/Plan owner/Trustee/
Authorised signatory Authorised signatory
Signed
Full name
Trust or company
name (if applicable)
Date (dd/mm/yyyy)
Trustee/Authorised signatory Trustee/Authorised signatory
Signed
Full name
Trust or company
name (if applicable)
Date (dd/mm/yyyy)
3
SECTION 2 INVESTMENT ADVISER DETAILS AND CONDITIONS
Investment adviser to complete
Full name
Online services username
(if registered)
Company name
RL360 adviser number
Investment adviser
company address
Email address
Telephone number
Fax number
If you do not have Terms of Business with RL360, please contact your Regional Sales Manager before submitting this form.
In accepting the appointment of investment adviser to the above stated plan, I agree to the following terms and conditions:
1. All instructions relating to the purchase, sale or switching of funds or assets will be in respect of the range agreed by RL360
as being eligible for the plan.
2. All instructions should be provided in a format as agreed by RL360.
3. RL360 will purchase, sell or switch funds or assets at the relevant market price as available at the time of placing an instruction.
4. RL360 has the right to accept or reject any instruction from the investment adviser at its own discretion.
5. The investment adviser must maintain such authorisation as is necessary to act as an investment adviser under the
legislation and regulation in the country in which advice is given.
6. RL360 and the plan owner cannot be held responsible for any future tax liability that may accrue to the investment adviser,
as a result of a failure to levy tax where it later transpires that it should have been charged. The investment adviser is
responsible for deciding whether or not the service they are providing is subject to the levy of any additional taxes.
7. RL360 has the right to remove the investment adviser from the plan, without specifying a reason, and on giving one month’s
written notice to the plan owner and the investment adviser.
8. The investment adviser may resign their appointment by giving written notice to the plan owner and RL360. RL360 will
remove the investment adviser from the plan as soon as the notification is received.
9. The appointment will cease immediately upon written notification of bankruptcy, dissolution or insolvency of the investment
adviser, or any composition with creditors, or if the investment adviser is in breach of any regulatory requirement, or it
becomes illegal for the investment adviser to act in this capacity.
10. This appointment and agreement shall be subject to, and interpreted in, accordance with the laws of the Isle of Man.
11. RL360 will not be liable in the event that the appointed investment adviser or the plan owner fails to notify RL360 of any
material factor aecting the above.
Please submit a current certified copy of your company’s Authorised Signatory list with this form. If you have an additional list
for persons authorised to sign dealing instructions, please also submit a certified copy with this form.
If your company is not regulated in the UK, Isle of Man, Channel Islands, Hong Kong or Gibraltar, please provide identification
and address verification for each person on the Authorised Signatory list.
Investment adviser
Signed
Date (dd/mm/yyyy)
RL143h 02/19
RL360 Insurance Company Limited. Registered Oce: International House, Cooil Road, Douglas,
Isle of Man, IM2 2SP, British Isles. Registered in the Isle of Man number 053002C. RL360
Insurance Company Limited is authorised by the Isle of Man Financial Services Authority.
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INVESTMENT ADVISER APPOINTMENT SERVICING Who is this form (RL360)

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Completed 21 June 2021

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