Resolution Capital Global Listed Infrastructure Fund

How do I invest?

Online Applications are available for individuals, partnerships, SMSFs, superannuation funds, other regulated trusts, and companies.

Note, applications for unregulated trusts (such as family and testamentary trusts) CANNOT be completed online.

To register and invest online, click on “Invest”, which will direct you to the Online Application portal hosted by our affiliate, Pinnacle Investment Management. Alternatively, and for unregulated trusts, please refer to the Fund Documents and Forms section above to download and complete the paper based Application Form.

Post to:
Resolution Capital Global Listed Infrastructure Fund – Class A
C/- Automic Group
GPO Box 5193
Sydney NSW 2001

Can I fax or email through the Application Form?

No, the original Application Form must be posted. As stated in Section 3 of the Application Form, only existing clients whose details as held by the Registry have not changed can fax through their Application Form.

What day will I get my application processed?

Applications received prior to 12:00pm Sydney time (on a Sydney business day) are deemed to be received that day. Applications received after 12:00pm Sydney time are deemed to be received the next business day. Note that applications are only processed once the Registry receives the correctly completed Application Form and are satisfied with the AML/CTF and other verification information.

Can the account be solely under a minor’s name?

No. An adult or guardian must open the account on behalf of the minor (i.e. acting as trustee for the minor). The account will include the name of the adult. As such, information of the adult and the minor must be recorded in the Application Form.

If I provide my adviser access to my account information per Section 6 of the Application Form, are they authorised to act on my account?

No, they are not. Advisers will only be copied in on your transaction statements, investor communication and Annual Financial Reports UNLESS you choose to nominate them as an authorised representative. Refer to the ‘Authorised Representative” section of this FAQ.

If I am acting under a Power of Attorney (POA), do I have to provide a certified copy of the POA?

Yes. Attach an original certified copy of the Power of Attorney. The front page and the signature pages of the document must be certified at a minimum. Provide an original certified copy of identification documents for the Attorney(s) as required for individuals (i.e. current Australian driver’s licence or passport) or company (refer to C.6 or D.6 of section 2 of the Application Form). All Attorneys must be identified.

Can I request for my initial investment to be direct debited?

No. We cannot direct debit your initial investment.

If I have provided the payment but you have questions on my Application Form, will my application be processed?

No. A correctly completed Application Form and satisfactory AML/CTF and other verification information must be received by the Registry before your application can be processed.

What other documents can be provided if a person does not have a current Australian driver’s licence or passport?

Click here for full list of acceptable identification documents in this situation.

Can I use an expired Australian driver’s licence or passport as identification?

The Australian driver’s licence must be valid and cannot be expired. An Australian passport that has expired within the preceding 2 years is acceptable.

Who is an acceptable certifier?

Click here for a full list of persons both in Australia and outside of Australia who are acceptable certifiers.

What information needs to be included by the certifier?

The person certifying the document will need to include the following information on the photocopy:

I. “I certify that this is a true copy of the original document”;
II. the certifier’s:
– full name; and
– occupation, qualification, position or registration number (if any), which makes them eligible to certify documents;
III. the date the document was signed; and
IV. the certifier’s signature.

Please note that the certification must be in original wet ink and the certifier cannot provide certification for themselves or their family member. If the certification is not acceptable, you may be asked for new certified documents.

Can I send a copy or scan of a certified document?

No. You must send us the original certified copy of the document. That is, the original signature of the certifier on the photocopied document.

If I have to provide a certified copy of a trust deed, can I provide excerpts?

Yes. However, you MUST provide the certified copy of the following pages of the trust deed:

I. The cover page;
II. The page which documents the name of the trust and the trustee (preferably on the same page in order to verify the relationship);
III. The page with the date of the trust deed;
IV. The signed pages of the trust deed;
V. The page that lists the name and/or class of beneficiaries of the trust; and
VI. The page which documents the name of the settlor.

What does an authorised representative mean?

A person or company appointed as your authorised representative is authorised by you to: apply for units in the Fund(s) and sign all documents necessary for this purpose; make requests to redeem all or some of your units (receipt by the authorised representative or as directed by the authorised representative fully discharges our redemption obligations to you); and make written requests for information regarding your investment. Please refer to the PDS for the applicable terms in appointing an authorised representative.

How do I appoint an authorised representative?

You can appoint an authorised representative at any time by completing the relevant Authorised Representative Form (Individual or Company) and post the original together with accompanying documents to the Registry.

Is the authorised representative required to be verified for AML/CTF purposes?

Yes. Please also provide an original certified copy of documents as stated on the Authorised Representative Form.

How do I remove an authorised representative?

You can cancel your appointment of the authorised representative by giving us 14 days prior notice in writing. You may post or fax your signed written instruction to the Registry. If the instruction is posted, please allow for sufficient time for the Registry to receive the document when determining the date on which the 14 days notice period begins.

Post or fax to:
Resolution Capital Global Listed Infrastructure Fund ‐ Class A
c/‐ Automic Group
GPO Box 5193
Sydney NSW 2001
Fax: +61 2 8583 3040

1. How do I make additional investments in a current account?

   Click on “Invest”, which will direct you to the Online Application portal hosted by our affiliate, Pinnacle Investment Management, where you will be able to register (or login if you are already registered) to make Additional Investments online. Note that unregulated trusts (such as family and testamentary trusts) CAN make Additional Investments online.

   Alternatively, you can complete an Additional Investment Form or send a written instruction that is signed by the authorised signatories to the account. The Additional Investment Form can be found within the Fund Documents and Forms section above. This can be faxed or posted to the contact details provided on the form.

   The minimum additional investment amount is $5,000 per fund or as agreed with the Responsible Entity. If you are an indirect investor, please contact your IDPS operator for information on how to make an additional investment.

   Payments can be made via BPAY or EFT as per the payment details provided on the form or with the online application process, remembering to include your investor number as reference if paying by EFT.

2. Can I fax the additional investment instruction?

   Yes.

   Fax during business hours:
   [Fund Name] [Investor Name]
   C/- Automic Group
   +61 2 8583 3040

How do I redeem from a current account?

You can redeem part or all of your investment at any time by completing a Redemption Request Form which can be found in the Fund Documents and Forms section above and submit it direct to the Registry by fax or post as per the details provided on the form.

Alternatively, you can redeem online by clicking on “Invest” where you can login to the relevant online portal with your username and password or register for online access.

Note, there is a minimum redemption amount of $5,000 and the minimum balance required is $25,000.

If my balance falls below the minimum investment balance of the Fund, do I have to make a full redemption?

Please refer to the relevant PDS and note that if your account balance is less than the minimum investment balance, we may treat your withdrawal request as being for your entire investment. In which case, we will provide you with advance notice before processing your redemption request.

Are there any exit fees?

No, Resolution Capital does not charge entry or exit fees on any of its products.

Can I fax the redemption request?

Yes.

Fax during business hours:
[Fund Name] [Investor Name]
C/- Automic Group
+61 2 8583 3040

Can I change the bank account details that are currently held by the Registry on the redemption request instruction?

You may update your bank account details at the same time as submitting your redemption request by using the Redemption Request Form.
Please note that proceeds cannot be made to third party bank accounts. The nominated bank account name must be in the same name as the investor(s).

When will my redemption request be processed?

Please refer to the PDS and note that when you redeem, your units will be redeemed based on the exit price for the business day on which your redemption request is processed. Redemption requests must be received by the Registry prior to the cut-off time 12.00pm Sydney time. Redemption requests received after that time, or on a non-business day, will be treated as being received on the next business day.

How do I notify you of changes to my details?

a) Complete the Change of Details Form which can be found within the Fund Documents and Forms section above, or draft a letter with the following details:

I. Date
II. Name of Fund
III. Investor name
IV. Investor number
V. Nature of change

b) Signed by authorised signatories (in accordance with your Application Form)

c) Post or fax to:
Resolution Capital Global Listed Infrastructure Fund ‐ Class A
c/‐ Automic Group
GPO Box 5193
Sydney NSW 2001
Fax: +61 2 8583 3040

How do I transfer my units into another name?

Transferring your investment or part thereof into another name is likely to have taxation implications so you should check with your financial adviser or taxation consultant first. Should you wish to proceed, please complete an Australian Standard Transfer Form (ASTF) along with a new Application Form, providing the required identification and/or documentation as requested on the Application Form for the new entity. Post these forms together to the Fund Administrator as per the details provided on the application form, along with your instructions including:

I. Existing investor number
II. Name in which the existing investment is held
III. Quantity of units to be transferred
IV. Daytime contact details
V. Signature of the authorised investor(s)

Do I need to quote my tax file number (TFN)?

Investors may choose not to quote their tax file number but Resolution Capital will be required by law to deduct tax at the highest marginal tax rate plus the Medicare levy before paying distributions.

What are the tax implications of investing?

If you have supplied your tax file number, Resolution Capital’s distributions are made on a pre-tax basis and as such may be counted as income to the investor. When redeeming investments, any gains or losses in the principal investment will be treated as capital gain or loss for taxation purposes.

What options do I have to receive my distributions?

You can elect to have your distributions directly deposited into your nominated bank account or reinvested in the Fund.

How do I change how I am paid my distribution?

To change how you receive your distributions, complete the Change of Details Form or draft a letter with the following details:
I. Investor number
II. Name in which the existing investment is held
III. How you would like to receive your distribution i.e. direct deposit (include BSB, account number, financial institution name, name in which the account is held), or distribution reinvestment.
IV. Daytime contact details
V. Signature of the authorised investor(s)

Post or fax to:
Resolution Capital Global Listed Infrastructure Fund ‐ Class A
c/‐ Automic Group
GPO Box 5193
Sydney NSW 2001
Fax: +61 2 8583 3040

When are distributions paid?

Resolution Capital pays a distribution four times a year in the month following the quarterly periods ending 30 September, 31 December, 31 March and 30 June. Distribution payments are not guaranteed as they are subject to the earnings of the Fund.

Why do I have to provide tax certifications?

Tax evasion is a global problem and international cooperation and sharing of high quality, predictable information between revenue authorities will help them ensure compliance with local tax laws.

Australia is participating in both the Foreign Account Tax Compliance Act (‘FATCA’), which was enacted by the United States (U.S.) Congress and the Common Reporting Standard (‘CRS’), which was developed by the OECD.

FATCA
Australia and the US have signed an Intergovernmental Agreement (‘IGA’) to implement the FATCA requirements in Australia. Under the IGA, Australian financial institutions report to the Australian Taxation Office (‘ATO’) and the information is made available to the IRS. The Fund is therefore required to request information from you to determine whether you are a US Person or Specified US Person and where applicable, provide information to the ATO.

You may review the ATO website and the IGA or consult your tax advisor should you wish to understand the implications or compliance obligations of FATCA to your particular circumstances. The Responsible Entity and the Fund are not liable for any loss an investor may suffer as a result of the Fund’s compliance with FATCA.

CRS

Under the CRS, we are required to determine the country in which you are a ‘tax resident’ (this will usually be where you are liable to pay income taxes). If your tax residence (or the Controlling Person) is located outside of Australia, we may be legally obliged to pass on the information in this form and other financial information with respect to your financial accounts to the ATO and they may exchange this information with tax authorities of another jurisdiction or jurisdictions pursuant to intergovernmental agreements to exchange financial account information. Even if you have already provided information in relation to FATCA, you may still need to provide additional information for the CRS as this is a separate regulation.
Providing your tax certifications will ensure that we hold accurate and up to date information about your tax residency.

You may review the ATO website and the IGA (FATCA) and the OECD automatic exchange of information portal (CRS) or consult your tax advisor should you wish to understand the implications or compliance obligations of FATCA and CRS to your particular circumstances. The Responsible Entity and the Fund are not liable for any loss an investor may suffer as a result of the Fund’s compliance with FATCA and CRS.

Can I attach self certification forms (e.g. W-8BEN-E and CRS forms) instead of answering the tax certification questions on the Application Form?

Yes, for non-individuals, we do accept original or certified copy of self-certification forms.

Can I have more information on FATCA and CRS related terms?

Click here for a Glossary outlining further definitions and explanations for FATCA and CRS related terms.