In this document any reference to:

• Words in the singular shall include words in the plural and vice versa;
• The masculine gender shall include the feminine and the neuter and vice versa;
• A statute or regulation shall be construed as a reference to such statute or regulation as amended, re-enacted or replaced from time to time; and
• A “person” shall include any individual, trust, body corporate or un-incorporated body.

Any statements that refer to “us”, “we”, “our” or “RGI Investment Platform” mean RGI Investment Platform. All references to RGI Investment Platform are to be construed as references to RGI Investment Limited.

Any statements that refer to “I”, “me”, “my”, “you” or “your” mean the Applicant.

Bold capitalised terms used and not defined in this Application Form shall have the meanings given to them in the RGI Investment Platform Mandate applicable to the Account.

Your Obligations/Providing Information to RGI Investment Limited

This application and any supporting information will form part of your contract with us and you are responsible for all answers and statements made in this application. The contract between you and us will be made up of the Application Form, RGI Investment Platform Mandate and any relevant statements made by you or policies made by us as updated from time to time together with any notifications of changes. You should ensure that all information provided is, to the best of your knowledge and belief, complete, accurate and not misleading and that no material fact is omitted or concealed.

Material facts are facts that a financial institution would consider likely to influence their assessment of and decision to accept the Account opening. If you are unsure whether a fact is a material fact, you should disclose it or please consult your Financial Adviser.

How we use your Personal Data

Your application and any Account opened will be subject to the laws of Mauritius. In processing your application and in administering your Account, we collect information about the applicant/account holder and/or other parties connected to your Account.

The information we collect includes account details, demographic information, financial background, and details of underlying Investment Instruments. This information is known as Personal Data and can be used by us in the following ways:

• Personal Data will be held by us on computer, in a cloud and/or manual systems and can be used for the purposes of administering your Account, identification, customer care and servicing; and

Personal Data may be transferred or disclosed:

• Between members of RGI Investment Limited;
• To your Financial Adviser or any third party nominated by you;
• To the Custodian of account assets;
• To investment fund managers, fiscal representatives or Discretionary Fund Managers and
• To any agent, contractor or third-party service provider who provides services to us in connection with the provision of our accounts and services to you, wherever they are located in the world.

We will only transfer your Personal Data to these parties for purposes related to your Account. Such companies and third parties may be located in countries whose data protection laws may not be as comprehensive as in Mauritius and/or the country in which you reside and/or where this application is made.

RGI Investment Limited may also be obliged to disclose your Personal Data to other parties in the following circumstances:

• Where it is necessary under a statutory or regulatory obligation to do so as a consequence of any laws, rules, regulations, codes of practice, guidelines or guidance issued by any legal, judicial, regulatory, governmental, central bank, tax, law enforcement or other authority;
• Where under a contractual obligation or where requested or directed to do so by any local or foreign legal, judicial, regulatory, governmental, central bank, tax, law enforcement or other authorities, wherever located;
• Where necessary in order to comply with our legal or regulatory obligations regarding anti-money laundering, countering terrorist financing and/or the exchange of tax information; or
• Where it is necessary to prevent the application of certain withholding taxes.

This may include reporting information about you and/or about the Account to the tax authorities in any jurisdiction where RGI Investment Limited operates, where you reside, where you are a citizen or where you may be otherwise subject to tax. These tax authorities may in turn disclose this information to tax authorities in other jurisdictions.

Although it may be necessary to maintain your Personal Data for a significant period, your Personal Data will not be retained for longer than is necessary and it will be erased or put beyond use when it is no longer required.

You have the right to obtain subject access to any Personal Data concerning you which we hold and where it is inaccurate, to request correction of the Personal Data. This can be done by contacting us at our business address. There may be a charge for such requests.

Apply for RGI Investment Platform Account

You should not open an Account and/or select Investment Instruments until you understand them and their suitability has been explained to you. The final decision on whether to purchase an Account is yours.

You should carefully read the ‘Important Information’ sections and raise any questions you may have with your Financial Adviser. This Application Form contains different sections.

You should carefully read all of the declarations and ensure that you understand them. By signing this Application Form you agree to be bound by the terms of these declarations. Important Information is included to help you to understand these declarations and if you have any further questions please contact your Financial Adviser.

Please ensure that you complete all required sections and provide all necessary supporting documentation. Failure to do so may result in a delay in your application being processed. Further information may be required during the validation process (for example, when information you provide leads to further questions). We will notify you of your Account activation by email.

Please tick alongside all sections or supplementary forms when completed and also ensure that all necessary documentation is included.

Section 1 - Applicant Details
Section 2 - Confirmation of Citizenship/Nationality and Tax Residency
Section 3 - Politically Exposed Person (PEP) Disclosure
Section 4 - Anti-Money Laundering Letter
Section 5 - Source of Funds Questionnaire
Section 6 - Customer Due Diligence (CDD) Checklist
Section 7 - Declaration and Signature
Section 8 - Dealing Instructions
Section 9 - RGI Managed Portfolios - Risk Warning
Section 10 - Trading Authorisation and Portfolio Liability Waiver
Section 11 - Portfolio Management Agreement (Pooled Account)