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Mainstream Online Web Portal

Investors can view their accounts online via a secure web portal. After registering, you can access your account balances, periodical statements, tax statements, transaction histories and distribution statements / details.
Advisers will also have access to view their clients’ accounts online via the secure web portal.

Investment Giving Application

So we can process your application, please follow the 3 steps below, and mail your completed form(s) and any required identification support documents to the mailing address provided on each form.

Step 1

Application Form

Step 2

Customer Identification Forms

Step 3

Self-Certification Forms

i

If you need help with your application, please contact Apex Fund Services on 1300 346 821 or at pendal@apexgroup.com.

Step 1

Application Form

Application Form

Please ensure that you have read and understood the Product Disclosure Statement and Additional Information Booklet (collectively a PDS) for the fund prior to completing an Application Form.

Other Forms and Guides

Step 2

Customer Identification Forms

If you are a new investor in the Pendal Sustainable Balanced Fund – Class G you will need to download and complete the relevant Customer Identification Form/s* below.

i Why do I need to complete this form?

*Australia’s Anti-Money Laundering and Counter Terrorism Financing (AML/CTF) legislation obliges us to collect certain identification information and documentation about each investor.

I am a/an:

Individual, Joint Investor and Sole Trader

What Customer Identification Form(s) do you need?

Individuals, Joint Investors* and Sole Traders Customer Identification Form
i

Important Note

*Refer to the Entity Account Holder Self-Certification Form for the definition on who is a Controlling Person and to determine if you are required to submit a Controlling Person Self-Certification Form.

i Important Note

*Each Joint Investor must complete a separate Individual Account Holder Self-Certification Form.

Australian and Foreign Companies

What Customer Identification Form(s) do you need?

Australian Company Customer Identification Form Foreign Company Customer Identification Form

If you are a Proprietary Company, each Shareholder* who is an individual must also complete an Individuals, Joint Investors and Sole Trader form. (up to 4) If no Shareholders can be identified, then each Controlling Party* must complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

i Important Note

*A Shareholder is an individual who ultimately owns 25% or more of the company’s issued capital.

*A Controlling Party is any individual who directly or indirectly controls the company. This includes exercising control through the capacity to determine decisions about financial or operating policies; or by means of trusts, agreements, arrangements, understanding and practices; voting rights of 25% or more; or power of veto. If no such person can be identified then the most senior managing official/s of the company (such as the managing director or directors who are authorised to sign on the company’s behalf).

Trust and Trustees

What Customer Identification Form(s) do you need?

Regulated Trust Customer Identification Form Unregulated Trust Customer Identification Form

If you are an Unregulated Trust, a separate Individuals, Joint Investors and Sole Traders form and/or Australian and Foreign Companies form will also need to be completed for each Trustee based on their nature. (up to 4) Each Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

i Important Note

*A Controlling Party is any individual who directly or indirectly controls the Trust. Control includes the capacity to influence the way in which the Trust conducts its affairs, including by having the ability to determine decisions about the Trust’s financial and operating policies.

Partners and Partnerships

What Customer Identification Form(s) do you need?

Partners and Partnerships Customer Identification Form

Each Beneficial Owner/Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4) If no Beneficial Owners can be identified, then each Controlling Party* must complete an Individuals, Joint Investors and Sole Traders form. (up to 4) If no Beneficial Owners or Controlling Parties can be identified, then the most senior managing official/s of the partnership (such as the Managing Partner or Senior Managing Official).

i Important Note

*A Beneficial Owner is an individual who ultimately owns 25% or more of the partnership, or is entitled (either indirectly or directly) to exercise more of the voting rights of the partnership, including power of veto.

*A Controlling Party is any individual who directly or indirectly controls the Partnership. Control includes exercising control through the capacity to determine decisions about financial or operating policies; or by means of trusts, agreements, arrangements, understanding and practices.

Associations

What Customer Identification Form(s) do you need?

Associations Customer Identification Form

Each Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

i Important Note

* A Controlling Party includes any individual member that directly or indirectly controls the Association, such as the Chairman, President, Treasurer or Secretary of the Association.

Government Bodies

What Customer Identification Form(s) do you need?

Government Bodies Customer Identification Form

If you are a Foreign Government Body, each Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

i Important Note

* A Controlling Party is any individual that directly or indirectly controls the Government Body, such as the Chairman, President, Treasurer or Secretary of the Government Body.

Registered Cooperatives

What Customer Identification Form(s) do you need?

Registered Cooperatives Customer Identification Form

Each Controlling Party* must also complete an Individuals, Joint Investors and Sole Traders form. (up to 4)

i Important Note

* A Controlling Party includes any individual that directly or indirectly controls the Registered Cooperative, such as the Chairman, President, Treasurer or Secretary of the Registered Cooperative.

Step 3

Self-Certification Forms

If you are an existing investor in the Pendal Sustainable Balanced Fund – Class G and would like to make a further initial investment to nominate a different Charity, then you will need to complete the relevant Self-Certification Form/s* below with your Application Form.

i Why do I need to complete this form?

*Under the Common Reporting Standard (CRS) and Foreign Account Tax Compliance Act (FATCA) we are required to collect certain information about an Account Holder’s tax residence.

I am a/an:

Individual, Joint Investor* and Sole Trader

What Self-Certification Form/s do you need?

Individual Account Holder Self-Certification Form

i Important Note

*Each Joint Investor must complete a separate Individual Account Holder Self-Certification Form.

Entity*

What Self-Certification Form/s do you need?

Entity Account Holder Self-Certification Form Controlling Person* Self-Certification Form
i

Important Note

*Refer to the Entity Account Holder Self-Certification Form for the definition on who is a Controlling Person and to determine if you are required to submit a Controlling Person Self-Certification Form.

i Important Note

*An Entity is the organisation identified as the holder of a Financial Account. An Entity includes companies, trusts, partnerships, associations and cooperatives.

Other Forms and Guides

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