ANTI-MONEY LAUNDERING AND COUNTERING FINANCING OF TERRORISM ACT 2009 (AML/CFT)

1. You (the applicant / investor) must not knowingly do anything to put Pie Funds Management Limited (“Pie Funds”) in breach of any AML/CFT laws.
2. You agree to provide all additional information and assistance requested by Pie Funds and comply with all reasonable requests from us to facilitate our compliance with AML/CFT laws.
3. You represent and warrant that you are not aware and have no reason to suspect that:
   1. The money used to fund any investment by you is derived from or related to any criminal or other illegal activities, money laundering, terrorism financing or similar activities (Illegal Activities); and
   2. The proceeds of any investment will fund any Illegal Activities.
4. You agree that we are not liable for any losses incurred as a result of any action we take which either delays an account being opened with us or results in this application being declined, when these actions are necessary for us to comply with our obligations under AML/CFT laws.
5. You agree that Drivers licence and/or Passport details provided can be used to verify the person’s identity and may be checked with the Drivers Licence Verification Service administrated by the New Zealand Transport Agency or with the Department of Internal Affairs confirmation service. You also agree that you are happy for us to retain this information on our files for future verification purposes to save you having to provide this information again.

THE PRIVACY ACT 2020

This statement relates to the collection of your personal information that you are providing to Pie Funds Management Limited – PO Box 331079, Takapuna 0622, Auckland, (Pie Funds) and Apex Investment Administration (NZ) Limited (and its related entities) - PO Box 106039, Auckland City, Auckland (Apex) by way of this application and any personal information which you may provide in the future.
The personal information you have supplied may be used by Pie Funds and Apex for the purposes of enabling the arranging and management of your investment and to contact you in relation to your investment. If you are providing us with information about someone else, you confirm that person has read and agrees to the collection and use of that information in accordance with this section. Pie Funds will distinguish between voluntary and mandatory information that it collects.
Pie Funds will always keep your information confidential and retain it only for as long as is required by law. Where necessary, we may need to disclose your information under compulsion of law, or where required by regulatory agencies (including the Financial Markets Authority or our supervisor, Trustees Executors Limited) or to any tax authority, or to our professional advisers where reasonably necessary for the performance of our services.
Pie Funds will also use the information in accordance with the requirements of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009, including for the purposes of electronic verification, and may disclose information to such carefully selected external and independent agencies and entities as it considers appropriate for this purpose.
As a New Zealand Financial Institution, we are required to classify you for the purposes of the United States Foreign Account Tax Compliance Act (“FATCA”) and the OECD Common Reporting Standards for Automatic Exchange of Financial Account Information (“AEOI”) to meet our due diligence obligations. This may require the collection of certain information about the tax residency and citizenship of an individual investor or the persons who control an entity investor. We may then be legally obliged to pass on this information and other financial information with respect to the account to the Inland Revenue and they may exchange this information with tax authorities of another jurisdiction or the IRS in the United States.
Pie Funds will provide you (on request) with the name and address of any entity to which your information has been disclosed. Under the Privacy Act 2020, you have the right to access all personal information held about you by or on behalf of Pie Funds. If any of the information is incorrect, you have the right to have it corrected. You can contact Pie Funds using the details set out above or on +64 9 486 1701.
You agree that your name and address may be used by Pie Funds to provide you with a newsletter and other information about Pie Funds, including our other products and services such as the Pie KiwiSaver Scheme.

ELECTRONIC RECEIPT OF DOCUMENTS

• I/We consent to receiving information from Pie Funds or Apex (or their agents) regarding my/our investment, electronically, to the email address provided on this Application Form, or to any other email address which I/we advise Pie Funds.
• If I/we provide instructions to Pie Funds or Apex (or their agents) electronically, I/we authorise them to act on any instructions which reasonably appear to have been provided from the email address provided on this Application Form, or by facsimile.
• I/We acknowledge that neither Pie Funds nor Apex accept any responsibility or liability whatsoever for any damage, costs, expenses, losses or liabilities incurred by any person as a result of Pie Funds or Apex acting on any instructions from an authorised email address or facsimile number.
• I/We agree to indemnify in all respects and hold harmless Pie Funds and Apex against all damage, costs, expenses, losses or liabilities which may arise by reason of Pie Funds or Apex accepting or acting on instructions from an authorised email address or facsimile number.

INVESTOR DECLARATION

By completing and submitting this application form, I/We:

• confirm that I/we are authorised to provide the personal details presented and have obtained the consent of the individuals to which the personal details relate for this information to be passed to and checked with the document issuer, official record holder, a credit bureau and authorised third parties for the purpose of verifying my identity and address. I also confirm that if required, evidence of this consent can be produced.
• have read and retained a copy of the Product Disclosure Statement(s) and agree to be bound by the terms and conditions of the Governing Document relating to the fund(s).
• acknowledge that neither the Supervisor nor Pie Funds are liable to me for any loss as a consequence of the investment direction given on this form, or any later investment direction and that Pie Funds does not guarantee the performance of the investment funds.
• agree to the terms outlined above in relation to the Privacy Act 2020 and the supply of personal information.
• understand that the fund is a vehicle for long-term investment and the value of my/our investment may rise and fall from time to time.
• understand the manner in which the fees will be deducted from my/our investment.
• have taken our financial capability into account when making my/our decision to invest in the/these fund(s).
• consent to receiving any communication from Pie Funds and Apex, including those required by law, financial statements and transaction confirmations, electronically via Pie Funds’ online portal or at the email addresses specified in this application form, or any other email address advised to Pie Funds from time to time.
• confirm that I am/we are currently either resident in New Zealand or located in New Zealand at the time of submitting this application form.
• declare that all statements made in this application are, to the best of my/our knowledge and belief, correct and complete. Furthermore, I/we will undertake to notify Pie Funds of any change in tax residency status or a change which causes the information to become incorrect or incomplete.