Nomura Funds Ireland plc · Nomura Funds Ireland plc Page 3 of 41 Investment Details I/We hereby apply to invest in the Company, as indicated in the table below: 1.1 Tick the box

Nomura Funds Ireland plcApplication Form

April 2019

Nomura Funds Ireland plc Page 2 of 41

Nomura Funds Ireland plc (the “Company”) Class A, Class AD, Class D, Class F, Class FD, Class I, Class ID, Class R Class RD Shares and Class S Shares

Please complete this form in blue or black ink using BLOCK CAPITALS, and return together with applicable documentation required in connection with Anti-Money Laundering procedures detailed in Section 4 to:

Nomura Funds Ireland plc

c/o Brown Brothers Harriman Fund Administration Services (Ireland) Limited

30 Herbert Street

Dublin 2

Ireland

Telefax: 353-1- 603 6310

Telephone: 353-1- 603 6490

Instructions for completion of Application Form

Please note that the original fully signed Application Form must be returned to the Administrator appointed on behalf of the Company at the above address if this is your first investment in Shares of the Company. No redemption or conversion or transfer requests will be processed prior to receipt of this original form and supporting documentation.

Completed Application Forms in respect of subscriptions in Nomura Funds Ireland must be received by the Administrator by no later than 13.00 (Irish time) on the last day of the Initial Offer Period or on the relevant Dealing Day (as the case may be).

Payment in respect of subscriptions must be received in cleared funds by the Administrator no later than four (4) Business Days after the end of the Initial Offer Period or the relevant Dealing Day (as the case may be) for all funds with the exception of the following for which payment must be received no later than three (3) Business Days after the end of the Initial Offer Period or the relevant Dealing Day.

American Century Concentrated Global Growth Equity Fund

American Century Emerging Markets Debt Total Return Fund

American Century Emerging Markets Equity Fund

American Century Global Growth Equity Fund

American Century Global Small Cap Equity Fund

Please refer to the application form Notes when completing this form. Applicants should complete all sections in full and ensure that the application is signed by the applicant(s) and/or appropriate authorised signatories on page 21.


Investment Details

I/We hereby apply to invest in the Company, as indicated in the table below:

1.1 Tick the box for the Fund and Share Class you wish to invest in below

Fund Share Class

US

D

EU

R

GB

P

AU

D

CH

F

DK

K

JPY

SE

K

NO

K

SG

D

US

D H

edg

ed

EU

R H

edg

ed

GB

P H

ed

ge

d

CH

F H

ed

ged

DK

K H

ed

ge

d

JPY

Hed

ged

AU

D H

ed

ge

d

SG

D H

ed

ge

d

NO

K H

edg

ed

SE

K H

edg

ed

Alternative Alpha Fund

A

I

American Century Concentrated Global Growth Equity Fund

A

F

I

S

American Century Emerging Markets Debt Total Return Fund

A

F

I

S

American Century Emerging Markets Equity Fund

A

F

I

S

American Century Global Growth Equity Fund

A

F

I

S

American Century Global Small Cap Equity Fund

A

F

I

S

Asia Ex-Japan High Conviction

A

I

Asia High Yield Bond Fund

A

I

Asia Investment Grade Bond Fund

A

I

Asian Smaller Companies Fund

A

I

China Fund A

I

Diversified Growth Fund

A

I

R


Emerging Market Local Currency Debt Fund

A

I

AD

ID

European High Yield Bond Fund

A

I

Global Dynamic Bond Fund

A

AD

F

FD

I

ID

R

RD

Global High Conviction Fund

A

I

Global High Yield Bond Fund

A

AD

I

ID

Global Sustainable Equity Fund

A

I

India Equity Fund A

I

Japan High Conviction Fund

A

I

R

Japan Strategic Value Fund

A

AD

I

ID

R

RD

Select US High Yield Bond Fund

A

I

US High Yield Bond Fund

A

AD

D

I

ID


1.2 Please complete either the “Monetary Amount” or the “Number of Shares” field and the “Payment Currency” (if not the same as Share Class currency)1

Monetary Amount Payment Currency1

Number of Shares 1 Please indicate here the payment currency if not the same as the Share Class currency. Subscription monies for the Shares of each Share Class should be remitted in the base currency of the Share Class unless otherwise agreed with the Administrator in accordance with the Prospectus of the Company.

Subscription and holding minimums are as below Share Class Minimum initial subscription Minimum holding Minimum subsequent subscription

A $5,000 $5,000 $2,500

AD $5,000 $5,000 $2,500

D $2,000 $2,000 $100

F $100,000,000 $1,000,000 $1,000,000

FD $100,000,000 $100,000,000 $1,000,000

I $1,000,000 $1,000,000 $250,000

ID $1,000,000 $1,000,000 $250,000

R $100,000,000 $100,000,000 $1,000,000

RD $100,000,000 $100,000,000 $1,000,000

S $25,000,000 $1,000,000 $250,000 1.3 For Class AD, D, FD, ID or RD Shares only Please tick box to confirm whether distributions should be paid in cash or reinvested*

Cash Reinvestment

* Please note that in the event that neither option is selected dividends will automatically be reinvested.


1. Details of Applicant(s)

First Applicant If you are an existing investor in the Company (“Existing Investor”) please provide your account details below.

Name of Account

Fund Name

Existing Account Number

Complete your full name and address below Title Mr Mrs Miss Ms Other (please specify)

Surname

Forename(s) in full

Nationality Date of birth

Corporate Applicants only

Company Name

Nature of Business

Country of Incorporation Date of Incorporation

Country of Residence for tax purposes

Tax Identification No

Contact Person Entity Type

Investing on own behalf or Investing on behalf of a third party (tick one)

Registered Address1

House number/name

Street

City/Town

Post Code Country

Email Address

Tel No Fax No

Correspondence Address2 Please complete the section if correspondence is to be sent to a different address to that set out above

House number/name

Street

City/Town

Post Code Country

Joint Applicants Details of up to 3 additional holders may be added to the application. Please complete details in block capitals below.

First additional applicant details

Title Mr Mrs Miss Ms Other (please specify)

Surname

Forename(s) in full


Second additional applicant details


Surname

Forename(s) in full



Third additional applicant details


Surname

Forename(s) in full


Broker or Sub-Distributor Details Please complete the section if details of the Broker or Sub-Distributor should be recorded Name of Broker or Sub-Distributor

Building Name

Street

City/Town

Post Code Country 1 This address should be the address of the registered holder e.g. the nominee’s address if Shares are held by a nominee. In the case of individual applicants in their own name this address will appear on the share register and should therefore be a residential address. The applicant will be required to provide proof of this address in Section 4. PO Boxes or ‘care of’ addresses should not be provided. 2 If a separate mailing address is being provided by a company, this must be in addition to the provision of details of the company’s registered address. Please note that by completing this Application Form you are providing personal data to the Company for the purposes of applying for Shares in the Company. This data will be used in accordance with the Data Protection Acts 1988 and 2003 as may be amended from time to time and the General Data Protection Regulation (697/2016/EU) (the “GDPR”) (collectively, “Data Protection Legislation”) and for the purposes as set out in the Data Privacy Statement at Appendix 5 below . Additional applicants will be required to provide confirmation of residential address details for anti-money laundering verification purposes, in addition to tax information as required in Section 8. Correspondence will be sent to the first named applicant of joint holders.


2. Bank Details Subscription monies – for Settlement of Purchase of Shares All payments must be made by electronic funds transfer to the relevant account(s) detailed below for settlement on or before the Dealing Day. Settlement must be made in the designated currency of the Share Class in which you are investing. Please quote Applicant’s Name and Fund and Class Name on the instruction. a) For Subscriptions in GBP and GBP Hedged Share Classes

Name of Bank Barclays Bank plc

SWIFT Code BARCGB22

Sort Code 20-32-53

BIC Code BBHCUS33

Account Name Brown Brothers Harriman & Co.

Account Number 53623157

Beneficiary A/C No 6185789

Beneficiary A/C Name Nomura /Shareholder Account

b) For Subscriptions in USD and USD Hedged Share Classes

Name of Bank Citibank N.A., New York

ABA 021000089

Account Name Brown Brothers Harriman & Co.

SWIFT/BIC Code CITIUS33




c) For Subscriptions in EUR and EUR Hedged Share Classes

Name of Bank HSBC France S.A

SWIFT/BIC Code CCFRFRPP

Beneficiary Bank Name Brown Brothers Harriman & Co.

Beneficiary Bank SWIFT

BBHCUS33

Beneficiary Bank IBAN FR7630056000100010000512237



d) For Subscriptions in JPY and JPY Hedged Share Classes

Name of Bank Bank of Tokyo-Mitsubishi UFJ Ltd Tokyo (Bank 2)

SWIFT/BIC Code BOTKJPJT

Account Name Brown Brothers Harriman & Co. (Bank 1)





e) For Subscriptions in SEK and SEK Hedged Share Classes

Name of Bank SEB, Stockholm

SWIFT/BIC Code ESSESESS

Account Name Brown Brothers Harriman & Co (BBHCUS33)

Account Number SE74 5000 0000 0520 1851 3109



f) For Subscriptions in CHF and CHF Hedged Share Classes

Name of Bank Credit Suisse AG

SWIFT/BIC Code CRESCHZZ 80A

Account Name Brown Brothers Harriman & Co

Account Number 08350983890-13000



g) For Subscriptions in SGD and SGD Hedged Share Classes

Name of Bank HSBC Singapore

SWIFT/BIC Code HSBCSGSG


Beneficiary SWIFT BBHCUS33

Account Number 141-140681-001



h) For Subscriptions in AUD and AUD Hedged Share Classes

Name of Bank Westpac Banking Corporation

SWIFT/BIC Code WPACAU2S



Account Number BBH0001971



i) For Subscriptions in DKK and DKK Hedged Share Classes

Name of Bank Nordea Bank Danmark, A/S

SWIFT/BIC Code NDEADKKK







j) For Subscriptions in NOK and NOK Hedged Share Classes

Name of Bank Nordea Bank Norge ASA, Oslo

SWIFT/BIC Code NDEANOKK

IBAN NO28 6001 0241 084







Redemption monies – for payment of Redemption and Distribution proceeds

The bank details for receipt of redemption and distribution proceeds are as outlined below. I/We undertake to inform the Administrator in writing of changes to those details immediately.

Name of Bank

Address of Bank

SWIFT Code/Sort Code

Name of Account Holder

Account Number

Correspondent or Intermediary Bank Details

Name of Bank

Address of Bank

SWIFT Code/Sort Code

Account Number

Applicants Signature

Redemption and distribution proceeds will be returned to an account held in the name of the registered Shareholder(s) and a detailed written explanation is required for approval if this is not the case.


4. Anti-Money Laundering / Anti-Terrorist Financing Procedures

Under Irish legislation covering anti-money laundering and counter terrorist financing the Company and the Administrator are required to obtain the following documentation to verify the identity and permanent address of all new investors in the Company in accordance with the Criminal Justice (Money Laundering and Terrorist Financing), Act 2010 (as amended). In addition, the Company or Administrator may also require an intermediary that is applying for Shares on behalf of persons (which may include natural and/or legal persons) who will be beneficially entitled to these Shares to obtain such information from such third parties. The Administrator reserves the right to request such information as is necessary to verify the identity of an applicant and /or the source of subscriptions. Please note that the application may not be accepted until all the relevant information has been received. Additional confirmation of identity or authority of the applicant or the source of funds may be required in certain circumstances. Redemptions will not be processed on non cleared/verified accounts. Please refer to the investor type below and provide the required information.

Please note that the documentation requirements set forth in this section do not necessarily constitute a definitive list. In accordance with the terms of the Prospectus, additional proof of identity documentation may be required from any applicant at the sole discretion of the Administrator and/or the Company.

4.1 Regulated Investor1

4.1.1 For Regulated Investors acting on their own behalf

Requirement Enclosed

Proof of regulation for the Regulated Investor.

Certified copy or original authorised signatory list

4.1.2 For Regulated Investors acting as an Intermediary for underlying investors where the underlying investors appear on the shareholder register of the Company


Proof of regulation for the Regulated Investor


AML reliance letter (please see Appendix I)

4.2 Individual Investor2


An original or certified copy of: (i) a valid government issued form of picture identification (e.g., passport, etc) with specimen signature, and (ii) proof of current residential address dated within the last 6 months (e.g., current utility bill, bank statement etc).

First applicant

1st additional appl.

2nd additional appl.

3rd additional appl.

4.3 Corporate Applicants

4.3.1 For Listed Companies3


Proof of listing


4.3.2 Institutional Investor established as a Corporate Entity4


Certified copy or original authorised signatory list.

Formation documentation. (including registered number)

Original or Certified copy of Register of Directors.

Names of directors.

Verification of the identity of two directors or one director and one authorized signatory. This documentation must include (i) certified proof of identity with specimen signature and (ii) certified proof of valid residential address documents dated within the last six months.

Original or certified copy of the full register of members/shareholders (beneficial owners).

Identification of beneficiaries owning or controlling in excess of 25% of the issued share capital, profits or voting rights or otherwise exercise control over the management of the entity.

1The Regulated Investor must be located in a prescribed country. The prescribed countries are as follows; European Union, Australia, Brazil, Canada, Hong Kong, Iceland, India, Japan, Liechtenstein, Mexico, Norway, South Korea, Singapore, Switzerland, South Africa, The United States of America, The Channel Islands and the Isle of Man, The Dutch overseas territories of Netherlands Aruba, Curacao, Sint Maarten, Bonaire, Saint Pierre and Miquelon and Wallis and Futuna (the “Prescribed Countries”). 2Additional documentation may be required where an individual investor is located outside a Prescribed Country. 3 The Listed Company must be located in a Prescribed Country. 4Additional documentation may be required where an individual investor is located outside a Prescribed Country.


4.4 Partnerships and Trusts


Certified list of names, date of birth, occupation and permanent addresses of all partners/trustees/beneficiaries where ascertainable. Confirmation as to the nature, purpose, scope and jurisdiction of the Trust. (including details regarding legal form of trust)

Formation documentation.

Certified copy of Trust Deed/Partnership.

Documentation to establish the identities of all those authorised to issue instructions and two partners in the case of a partnership and two trustees in the case of a trust. This documentation must include (i) certified proof of identity with specimen signature (ii) certified proof of valid residential address document dated within the last 6 months.

Certified copy of the appropriately authorised mandate from the partnership/trust as appropriate authorising the investment in the Trust and conferring those who can trade on the account.

List of beneficial owners/ controllers who own or control more than 25% of the net capital or profits or voting rights or otherwise exercise control over the management of the entity of the partnership or trust as applicable.

For all beneficial owners described above, (i) Certified proof of identity with specimen signature (ii) Certified proof of valid residential address documents dated within the last 6 months; or identification requirements per legal form if not individuals.

Details of settlor in case of Trust

Please note that if sections 4.1 – 4.4 above do not apply, please contact the Administrator immediately. Please note that the Application may not be accepted until all the relevant information has been received. Additional confirmation of identity or authority of the applicant or the source of funds and source of wealth may be required in certain circumstances. The original Application Form together with the completion of the non-Irish residency and bank details is required to complete the account opening process. In each case certified copies should be certified by a Police officer, practising chartered/ certified public accountant, notary public/practising solicitor, embassy/consular staff, a director or manager of a regulated financial/credit institution, or a member of the judiciary or any person so authorised under the laws of your country or domicile (except that the authorised signatories list may be certified by the company secretary where the investor is domiciled in an approved country and regulated). Other entity types will require their own unique documentation which will be communicated to an applicant. Such other entity types may include, but are not necessarily limited to, the following:

Charities Government entities Foundations Funds Pension Schemes Occupational Pension Schemes Entities based in non-prescribed countries Universities Nominee Structures


5. Declarations and Signatures

By signing on page 21:

a) I/We hereby acknowledge that I/we have received and considered the Prospectus relating to the Company and Fund in which investment is proposed to be made and this Application is made on the terms thereof and subject to the provisions of the Memorandum and Articles of Association of the Company as amended from time to time.

b) I/We confirm that I am/we are 18 years of age or over and

I/we have the authority to make the investment pursuant to this Application Form whether this investment is my/our own name or is made on behalf of another person or institution.

c) I/We have made arrangements for payment to be made to

the relevant bank account(s) specified above for subscriptions and acknowledge that the Company reserves the right to reject any application in whole or part without assigning any reason therefor.

d) Politically Exposed Person – Tick either A) or B)

A)

I/We hereby represent and warrant that, to the best of our knowledge, none of: (1) the investor; (2) any person controlling or controlled by the investor; (3) if the investor is a privately held entity, any person having a beneficial interest in the investor; or (4) any person for whom the investor is acting as agent or nominee in connection with this investment is a politically exposed person,*** or any immediate family member**** or close associate of a politically exposed person as such terms are defined in the footnotes below

or

B) Please describe

I/We confirm that I/We meet the definition of a politically exposed person,*** or any immediate family member**** or close associate of a politically exposed person as such terms are defined in the footnotes below and will provide the necessary disclosures regarding source of wealth and source of funds and where relevant the source of wealth and source of funds of any beneficial owners.

e) I/We agree to provide to the Company or its appointed

Administrator or Distributor with any additional documentation that it or they may require to verify my/our identity in accordance with current anti-money laundering/terrorist financing and/or taxation of savings legislation. I/We acknowledge that any delay by me/us in providing such documentation may result in delayed processing of my/our application and/or delayed payment of any future redemption payments to me/us or processing of share transfer requests on my/our behalf. I/We hereby hold the Company, the Administrator and the Distributor harmless and indemnify them against any loss arising as a result of a failure to process the application if such information has been required and has not been provided by me/us. I/We also warrant and declare that the monies being invested pursuant to this application do not represent directly or indirectly the proceeds of any criminal activity and the investment is not designed to conceal such proceeds so as to avoid prosecution for an offence or otherwise.

f) I/We declare that I/we am/are not a US Person and certify

that the Shares applied for are not being acquired for the benefit of, directly or indirectly, any US Person nor in violation of any applicable law or regulation, and I/we will not, sell or offer to sell or transfer Shares to a US Person or any person in violation of any applicable law or regulation.

g) The Company, the Distributor and the Administrator of the

Company are hereby authorised to accept and execute any instructions in respect of the Shares to which this

application relates or which may in future be acquired by me/us which are given by me/us by facsimile or written communication and in the case of joint account holders which are given by such means by the first named applicant (“Instructions”). I/We hereby agree to indemnify each of the Company, the Distributor and the Administrator and agree to keep each of them indemnified against any loss of any nature whatsoever arising to any of them as a result of any of them acting upon Instructions. The Company, the Distributor and the Administrator may each rely conclusively upon and shall incur no liability in respect of any action taken upon any Instructions believed in good faith to be genuine and to be signed by properly authorised persons.

h) I/We hereby agree to indemnify and hold harmless each of

the Company, the Administrator and the Distributor and their respective directors, officers and employees against any loss, liability, cost or expense (including without limitation legal fees, taxes and penalties) which may result directly or indirectly from any misrepresentation or breach of any warranty, condition, covenant or agreement set forth herein or in any document delivered by me/us to any of them and shall notify the Company or the Administrator immediately if any of the representations herein made are no longer accurate and complete in all respects.

i) I/We agree to provide to the Company, the Administrator

and/or the Distributor at such times as each of them may request such declarations, certificates or documents as each of them may reasonably require in connection with this investment. Should any information furnished to any of them become inaccurate or incomplete in any way, I/We hereby agree to notify the Company or the Administrator immediately of any such change and further agree to request the redemption of Shares in respect which such confirmations have become incomplete or inaccurate if requested to do so by the Company. I/we agree to notify the Company of any change to my/our tax residency status.

j) I/We understand that the confirmations, representations,

declarations, indemnities and warranties made or given herein are continuous and apply to all subsequent purchases of Shares by me/us in the Company.

k) (In respect of joint applicants only) we direct that on the

death of one of us the Shares for which we hereby apply to be held in the name of and to the order of the survivor or survivors of us or the executor or administrator of the last survivor.

l) I/We hereby acknowledge that any notice or document may

be served by the Company on me/us in the manner specified from time to time in the Prospectus and, for the purposes of the Electronic Commerce Act 2000, if I have provided an e-mail address or fax number to the Company or its delegate, consent to any such notice or document being sent to me/us by fax or electronically to the fax number or e-mail address previously identified to the Company or its delegate which I/we acknowledge constitutes effective receipt by me/us of the relevant notice or document. I/we acknowledge that I/we are not obliged to accept electronic communication and may at any time choose to revoke my/our agreement to receive communications by fax or electronically by notifying the Company in writing at the above address provided that my/our agreement to receive communications by fax or electronically shall remain in full force and effect pending receipt by the Company of written notice of such revocation.

m) I/We have such knowledge and experience in business and

financial matters that I/we am/are capable of evaluating the merits and risks of an investment by me/us in the Shares.

n) We confirm that the persons listed below/on the attached

authorised signatories list and whose specimen signatures appear are duly authorised to give Instructions with respect to Shares held by us in the Company. (For corporate applicants only.)


o) In the case of Joint Applicants, all must sign and supply names and addresses in accordance with “Registration Details” above. Please note that only the first-named holder’s address will be used for registration. A corporation should sign under the hand of a duly authorised official who should state his representative capacity. If this form is signed under a power of attorney, such power or a duly certified copy thereof must accompany this form.

p) I/We hereby represent that I/we have regular access to the

internet. I/We acknowledge that I/We have been offered the choice of receiving the prospectus and Key Investor Information Document (“KIID”) on paper and in electronic form by means of a website and hereby specifically consent to receiving the KIID in electronic form by way of accessing the latest version of the document online at www.nomura.com/nam-europe (or such other website address as may be notified to the Applicant from time to time). The KIID will be available at www.nomura.com/nam-europe and I/We hereby confirm that I/we have also been notified electronically of this website address and the place where on the website the KIID can be accessed. I/We hereby acknowledge that I/we have received or accessed by electronic means the KIID. I/We also consent to accessing the KIID by electronic means before making any subsequent and/or future subscriptions for Shares in any share class and/or sub fund.

q) I/We acknowledge that the Company intends to take such

steps as may be required to satisfy any obligations imposed by (i) the Foreign Account Tax Compliance Act (“FATCA”) or (ii) any provisions imposed under Irish law arising from the inter-governmental agreement between the Government of the United States of America and the Government of Ireland (“IGA”) so as to ensure compliance or deemed compliance (as the case may be) with FATCA or the IGA from 1 July 2014.

r) Furthermore, I/We hereby acknowledge that the Company

intends to also take such steps as may be required to satisfy any obligations imposed by (i) the Standard for Automatic Exchange of Financial Account Information in Tax Matters (“the Standard”) and, specifically, the Common Reporting Standard (“CRS”) therein or (ii) any provisions imposed under Irish law arising from the Standard or any international law implementing the Standard (to include the Multilateral Competent Authority Agreement on Automatic Exchange of Financial Account Information or the EU Council Directive 2011/16/EU (as amended by Council Directive 2014/107/EU)) so as to ensure compliance or deemed compliance (as the case may be) with the Standard and the CRS therein from 1 January 2016.

s) In order for the Company to comply with the above FATCA

and CRS obligations, I/We agree to provide to the Company, Investment Manager, Administrator, Distributor the necessary declarations, confirmations and/or classifications at such times as each of them may request and furthermore provide any supporting certificates or documents as each of them may reasonably require in connection with this investment by reason of FATCA or CRS, as described above, or otherwise. Should any information furnished to any of them become inaccurate or incomplete in any way, I/we hereby agree to notify the Company immediately of any such change and further agree to immediately take such action as the Company may direct, including where appropriate, redemption of our Shares in respect of which such confirmations have become incomplete or inaccurate where requested to do so by the Company, the Investment Manager, the Administrator (as applicable). If relevant, I/we agree to notify the Administrator of any change to my/our tax residency status. I/we hereby also agree to indemnify and keep indemnified the Company, Investment Manager, Administrator and Distributor against any loss, liability, cost or expense (including without limitation legal fees, taxes and penalties) which may result directly or indirectly as a result of a failure to meet our obligations pursuant to this section or failure to provide such information which has been requested by the Investment Manager , Administrator , Distributor and has not been provided by me/us, and from any misrepresentation or breach of any warranty, condition, covenant or agreement set forth herein or in any document delivered by me/us to the Investment Manager ,

Administrator ,Distributor. I/We further acknowledge that a failure to comply with the foregoing obligations or failure to provide the necessary information required may result in the compulsory redemption of our entire holding in the Company, and that the Company and Custodian are authorized to hold back from redemption proceeds or other distributions to me/us such amount as is sufficient after the deduction of any redemption charges to discharge any such liability and I/we shall indemnify and keep indemnified the Company and Custodian against any loss suffered by them or other Shareholders in the Company in connection with any obligation or liability to so deduct, withhold or account.

t) I/We confirm that we have accurately and correctly

completed the relevant self-certification forms included at Appendices 2 and 3. I/We further confirm that if any information included in the self-certification form subsequently becomes inaccurate or incorrect we will notify the Company and Administrator immediately of any such change and agree to immediately take such action as the Company, Investment Manager, Administrator, Distributor may direct, including where appropriate, redemption of our Shares.

u) I/we acknowledge that the Company operates a number of

cash accounts in different currencies in its name into which (i) subscription monies received from investors who have subscribed for Shares are deposited and held until Shares are issued as of the relevant Dealing Day; (ii) redemption monies due to investors who have redeemed Shares are deposited and held until paid to the relevant investors; and/or (iii) dividend payments owing to Shareholders are deposited and held until paid to such Shareholders (hereinafter referred to as “Umbrella Cash Account(s)”). We acknowledge that all subscriptions, redemptions and dividends payable to or from a Fund are channeled and managed through the Umbrella Cash Accounts.

v) I/we acknowledge that my / our subscription monies/

redemption monies / dividend monies will be paid into the Umbrella Cash Account, that such monies will be treated as an asset of the relevant Fund and I/we will not benefit from the application of any investor money protection rules (i.e. the monies will not be held on trust as investor monies for me/us) and that I/we will be an unsecured creditor of the relevant Fund (i) with respect to the amount subscribed for Shares and held in the Umbrella Cash Account until such Shares are issued to me/us as of the relevant Dealing Day or (ii) with respect to the redemption/dividend amount to be paid and held in the Umbrella Cash Account until such amount is paid to me/us (whichever is applicable).

w) I/we acknowledge that in accordance with applicable anti

money-laundering and terrorist financing requirements (the “AML Requirements), redemption monies or dividend payments shall not be paid on un-verified accounts. In the event that I/we fail to submit the necessary documentation requested by the Company or its delegate as required under the AML Requirements, redemption monies or dividend monies will be held in an Umbrella Cash Account and shall remain an asset of the relevant Fund and I/we will not benefit from the application of any investor money protection rules (i.e. the redemption monies/dividend monies will not be held on trust for me/us). In such circumstances, I/we acknowledge that I/we will be unsecured creditors of the relevant Fund in respect of such redemption monies or dividend payments until such time as the relevant documentation required by the Company has been received to its satisfaction and the redemption monies/dividend payments have been paid to me/us.

x) • I/we acknowledge that the following risks arise in

relation to the operation of the Umbrella Cash Account:- (i) in the event that subscription monies received and held in

an Umbrella Cash Account are lost (to include in the event of the insolvency of the bank with which such monies are held) prior to the issue of Shares to the relevant investor as of the relevant Dealing Day, the Company on behalf of the Fund may be obliged to make good any losses suffered by the investor (in its capacity as a general creditor of the Fund), in which case such loss will need to be discharged out of the assets of the relevant Fund and therefore will


represent a diminution in the net asset value per share for existing Shareholders of the relevant Fund;

(ii) in the event that redemption or dividend monies held in an

Umbrella Cash Account are lost (to include in the event of the insolvency of the bank with which such monies are held) prior to payment to the relevant investor/ Shareholder, the Company on behalf of the Fund may be obliged to make good any losses suffered by the investor/ Shareholder (in its capacity as a general creditor of the Fund), in which case such loss will need to be discharged out of the assets of the relevant Fund and therefore will represent a diminution in the net asset value per Share for existing Shareholders of the relevant Fund;

(iii) in the event of an insolvency of the relevant Fund or the

Company, there is no guarantee that the Fund or the Company will have sufficient funds to pay unsecured creditors in full. Investors who have forwarded subscription monies in advance of a dealing day and which are held in the Umbrella Cash Account and investors /Shareholders due redemption / dividend monies which are held in the Umbrella Cash Account will rank equally with all other unsecured creditors of the relevant Fund and will be entitled to a pro-rata share of monies which are made available to all unsecured creditors by the insolvency practitioner. Therefore, in such circumstances, the investor subscribing for Shares may not recover all monies originally paid into the Umbrella Cash Account in relation to the application for Shares and the redeeming investor entitled to redemption monies and the Shareholder entitled to a dividend payment may not recover all monies originally paid into the Umbrella Cash Account for onward transmission to that investor/Shareholder;

(iv) in addition, investors should note that in the event of the

insolvency of another Fund of the Company, recovery of any amounts to which a relevant Fund is entitled, but which may have been used by such other insolvent Fund as a result of the operation of the Umbrella Cash Account(s) will be subject to the principles of Irish trust law and the terms of the operational procedures for the Umbrella Cash Accounts. There may be delays in effecting and/or disputes as to the recovery of such amounts, and the insolvent Fund may have insufficient funds to repay the amounts due to the relevant Fund.

y) In the event that Shares are allotted / issued

notwithstanding that cleared funds have not been received within the usual time limits by the Company as set out in the Prospectus, I/we acknowledge that the Company may cancel the allotment / issue of my / our Shares and I/we will be liable to pay to the Company interest at such rate as may be determined by the Directors from time to time and/or other losses, charges or expenses suffered or incurred by the Company, the Depositary or their delegates as a result of late payment or non-payment by me/us of subscription monies.

*** “politically exposed person” means an individual who is, or has at any time in the preceding year been, entrusted with a prominent public function, including either of the following individuals (but not including any middle ranking or more junior official): (a) a specified official; (b) a member of the administrative, management or supervisory body of a state-owned enterprise; “specified official” means any of the following officials (including any such officials in an institution of the European Communities or an international body): (a) a head of state, head of government, government minister or deputy or assistant government minister; (b) a member of a parliament; (c) a member of a supreme court, constitutional court or other high level judicial body whose decisions, other than in exceptional circumstances, are not subject to further appeal; (d) a member of a court of auditors or of the board of a central bank; (e) an ambassador, charge´ d’affairs or high-ranking officer in the armed forces. ****The definition also expands to a “close associate”, “immediate family member” of a politically exposed person and includes any of the

following persons: a)any individual who has joint beneficial ownership of a legal entity or arrangement or any other close business relations with a politically exposed person b)any individual who has sole beneficial ownership of a legal entity or legal arrangement set up for the actual benefit of a politically exposed person c)any spouse of a PEP c)any person who is the equivalent of a spouse under the national law of the place where the PEP resides e)any cohabitant, f) any child or parent of the politically exposed person or spouse of the child of the PEP g)any other family member who is of a prescribed class.


6. Declaration of residence outside the Republic of Ireland

Applicants resident outside the Republic of Ireland are required by the Irish Revenue Commissioners to make the following declaration, which is in a format authorised by them, in order to receive payment without deduction of tax. It is important to note that this declaration, if it is then still correct, shall apply in respect of any subsequent acquisitions of Shares. Terms used in this declaration are defined in the Prospectus. Please tick box a) or b) Either:

a) Declaration on own behalf I/we* declare that I am/we are* applying for the Shares on my own/our own behalf/on behalf of a company* and that I am/we are/the company is* entitled to the Shares in respect of which this declaration is made and that I am/we are/the company is* not currently resident or ordinarily resident in Ireland and Should I/we/the company* become resident in Ireland, I/we* will so inform you, in writing, accordingly. * Please delete as appropriate

Or:

b) Declaration as Intermediary I am/we are* applying for Shares on behalf of persons: who will be beneficially entitled to the Shares, and who to the best of my/our* knowledge and belief are neither resident nor ordinarily resident in Ireland. I/We* also declare that: unless I/we* specifically notify you to the contrary at the time of application, all applications for Shares made by me/us* from the date of this application will be made on behalf of such persons; and I/we* will inform you in writing if I/we* become aware that any person, on whose behalf I/we* holds Shares, becomes resident in Ireland. * Please delete as appropriate

If you are resident or ordinarily resident in Ireland and are a qualifying investor within the meaning of Section 739D(6) of the Taxes Consolidation Act, 1997 please delete the declarations on own behalf and as Intermediary and contact the Administrator for a separate declaration form suitable for you.


7. Data Protection/Information about other investment services In accordance with the provisions of the Data Protection Legislation, I/we acknowledge and are informed that personal data given in this Application Form (or otherwise provided in connection with an application to subscribe for Shares in the Company, on application or at any other time, including without limitation my/our name, age, contact details, bank account details, transactions and the invested amount, and any information regarding the dealing in Shares (subscription, conversion, redemption and transfer) (the “Personal Data”), will be collected, recorded, stored, adapted, transferred and processed, by electronic means or otherwise, by the Company as a “data controller” under the Data Protection Legislation, and as further described in the Data Privacy Statement, which is set out at Appendix 5 below and is otherwise available upon request. Note: Please see Appendix 4 entitled – “Customer Information Notice – Common Reporting Standard that gives further detail in relation to the Common Reporting Standard and should be read by all Investors.


8. EU Savings Directive Declaration

Taxation of Savings Directive

Council Directive 2003/48/EC of 3 June 2003 (the “EU Savings Directive”), which deals with the taxation of savings income in the form of interest payments, seeks to ensure that individuals that are resident and “residual entities” that are established in an EU Member State or a “dependent or associated territory” who receives savings income from a paying agent in an EU Member State or dependent or associated territory are taxed in the EU Member State or dependent or associated territory in which he/she is resident for tax purposes. “Dependent or associated territory” includes Aruba, Netherlands Antilles, Jersey, Guernsey, Isle of Man, Anguilla, British Virgin Islands, Cayman Islands, Montserrat, Turks and Caicos Islands and may be updated from time to time. The Company is obliged to establish the identity and residence of such individuals and “residual entities” as described above. Please complete 8.1 or 8.2 as appropriate. 8.1 EU Savings Directive Declaration - Individuals

Date & Place of Birth:

Country of issue of Passport/Official ID card*:

If applicable, your Tax Identification Number (“TIN”) issued by your country of residence together with documentary evidence thereof:

If applicable, please specify the country issuing TIN:

*Applicants who present a passport or official National ID card issued by an EU Member State or dependent or associated territory and claim to be tax resident in a country other than that EU Member State must produce a certificate of tax residence issued by that country he/she claims to be tax resident in. If they do not, they will be treated for the purposes of the EU Savings Directive as tax resident in the country, which issued the passport or official National Identity card presented by them. Note: Individuals acting as an intermediary for another person will be treated as the beneficial owner for the purposes of the EU Savings Directive unless they can provide appropriate evidence that this is the case.


8.2 EU Savings Directive Declaration – Corporate Entities N.B. This Declaration is to be completed by applicants resident in an EU Member State who are not natural persons (i.e. not an individual, unincorporated body, unincorporated partnership or any of the foregoing acting as trustee of a trust).

Corporate or Equivalent Entities Is the applicant: (Please tick one of the following and confirm the certification provided) Certification

a)

A company (including a company acting as a corporate trustee), or other legal person (Certificate of Incorporation or document from the appropriate authority certifying that the entity is a legal person); or

b)

An entity taxed under the general arrangements for business taxation i.e. its profits are subjected to corporation tax or tax in another territory which corresponds to corporation tax in Ireland (document from the appropriate Revenue authority certifying that the entity is taxed as such); or

c)

A UCITS (or an equivalent collective investment undertaking in a relevant territory other than an EU Member State) (certificate from the appropriate regulatory authority); or

d)

An entity that has elected to be treated as a UCITS for the purposes of the legislation (certificate from the appropriate tax authority); or

e)

A pension fund (if applicable, corporate trustees to a pension fund should tick box (a)) (certificate from the appropriate regulatory authority); or

f)

A charity (if applicable, corporate trustees to a charity should tick box (a)) (certificate from the appropriate regulatory authority); or

g)

A Finnish avoin yhtiö (Ay); (certificate from the appropriate authority); or

h)

A Finnish kommandiittiyhtiö (Ky)/öppet bolag; (certificate from the appropriate authority); or

i)

A Finnish kommanditbolag; (certificate from the appropriate authority); or

j)

A Swedish handelsbolag (HB); (certificate from the appropriate authority); or

k)

A Swedish kommanditbolag (KB) (certificate from the appropriate authority)

l)

A residual entity (none of the above entities) (Only residual entities established in an EU Member State or dependent or associated territory fall within the Savings Directive. If not established in an EU Member State or dependent or associated territory, please provide evidence of country of establishment)


9. Signatures

Signatures and Date of Application

First Applicant (Authorised Signatory): Second Additional Applicant or third Authorised Signatory (if applicable)

Capacity of Authorised Signatory, if applicable Capacity of Authorised Signatory, if applicable

First Additional Applicant or second Authorised Signatory (if applicable) Third Additional Applicant or

fourth Authorised Signatory (if applicable)

Capacity of Authorised Signatory, if applicable Capacity of Authorised Signatory, if applicable

Application Date Company Seal, if applicable

Notes to assist in completion

1. Non-resident declarations are subject to inspection by the Irish Revenue Commissioners and it is a criminal offence to make a false declaration. The application form including the non-resident declaration may also therefore be disclosed to the Irish Revenue Commissioners.

2. To be valid, the application form (incorporating the declaration required by the Irish Revenue Commissioners) must be signed by the applicant. Where there is more than one applicant, each person must sign. If the applicant is a company, it must be signed by the company secretary or another authorised officer.

3. If the application form (incorporating the declaration required by the Irish Revenue Commissioners) is signed under power of attorney, a certified copy of the power of attorney must be furnished in support of the signature.

4. "Intermediary" means a person who: (a) carries on a business which consists of, or

includes, the receipt of payments from an investment undertaking resident in Ireland on behalf of other persons, or

(b) hold Shares in an investment undertaking on behalf of other persons.

5. The Company is regulated in Ireland by the Central Bank of Ireland.

6. Investors should not complete this Application Form until they have read the Prospectus and/or Key Investor Information Document (“KIID”) relating to this investment.

7. Copies of the Prospectus and the most recently published annual and semi-annual reports of the Company are available for inspection during normal

business hours at the registered offices of the Company at 33 Sir John Rogerson’s Quay, Dublin 2.

8. A corporation should affix its common seal and have it countersigned by persons authorised to countersign the seal or otherwise should execute under the hand of a duly authorised official or officials who should state his/their representative capacity. A certified copy (certified by a director or secretary of the Company) of the resolution or other authority authorising one or more signatories should be provided with the application form.

9. If any of the details provided by the applicant(s) in this application form change during the lifetime of this investment, please advise the Administrator immediately, in order to avoid any possible settlement delays at some future date.

Disclaimer:

"By signing this Application Form I/we acknowledge and agree that personal data provided by me/us to Nomura Funds Ireland plc will be stored and utilized electronically by Nomura Funds Ireland plc or their appointed agent Brown Brothers Harriman Fund Administration Services (Ireland) Limited and to Brown Brothers Harriman & Co, the parent company of Brown Brothers Harriman Fund Administration Services (Ireland) Limited and Brown Brothers Harriman Trustee Services (Ireland) Limited, for processing purposes, and which is located in a territory outside the European Economic Area ("EEA") that may not have the same legal standards for personal data, as provided for in the Data Protection Acts 1988 and 2003 in Ireland"


Appendix 1

To be typed on the headed paper of [Distributor/Intermediary or other entity where investing on behalf of a third party]

Nomura Funds Ireland plc

c/o Brown Brothers Harriman Fund Administration Services (Ireland) Limited

30 Herbert Street

Dublin 2 Ireland Re: All investors introduced by [name of distributor/intermediary/3rd party] (the “Investors”) to Brown Brothers Harriman Fund Administration Services (Ireland) Limited (“BBH”) in BBH’s capacity as administrator of Nomura Funds Ireland plc (the “Company”) Dear Sirs, [enter name of Distributor/Intermediary/3rd Party] writes to confirm the following in connection with all Investors, where such investors appear directly on the shareholder register(s) of the Company or are held through nominee accounts in the name of the [enter name], for shares in the Company for which BBH acts as administrator: enter name of Distributor/Intermediary/3rd Party] writes to confirm the following in connection with all Investors, where such investors appear directly on the shareholder register(s) of the Company, for shares in the Company for which BBH acts as administrator:

we confirm that [distributor/intermediary/3rd party] we are authorised and regulated by [insert regulator name] as a [credit institution/financial institution] for the purpose of anti-money laundering and anti-terrorist financing;

we are aware that BBH and the Company are relying upon us to have carried out customer due diligence checks on the Investors for the purposes of meeting with their own due diligence obligations in respect of the Investors;

the required due diligence checks have been carried out in respect of the Investors and, where applicable, the principal beneficial owners of the Investors;

to the best of our knowledge, we are satisfied that the Investors, and, where applicable the beneficial owners(s) are engaged in legitimate business activities and that their funds and assets are derived from legitimate sources. We are not aware of any activities on the part of the Investors which could lead us to believe that such Investors is involved in criminal conduct, money laundering or terrorist activities;

we will monitor transactions of our clients to identify possible suspicious activity. If we identify any unusual or suspicious activity of any Investor and beneficial owner(s), we will notify you as appropriate;

we will retain and maintain documentary evidence of the identity of the Investors, and where applicable the beneficial owners, for a period of at least five years from the cessation of our relationship with the Investor. We undertake that prior to the destruction of such documents we will ensure that the relevant documents are provided to you, where there is a continuing relationship between investors and BBH and/or the Company;

to the extent that we know or have reason to believe that an Investor(s) or beneficial owners(d) is/are current of former Politically Exposed Persons (“PEP”) or an immediate family member or a close associate of such a PEP, we have conducted appropriate due diligence of the Investor(s)/beneficial owner(s), We undertake to inform you as soon as reasonably practicable of any PEPs which have been determined in this manner and,

we will keep Customer Due Diligence records up to date and inform BBH if the status of Investors and any underlying beneficial owners change.

[***Delete confirm A or B below as appropriate***]


Confirm A We confirm that no one person ultimately owns or ultimately controls equal to or more than 25% of the investing entity and that should this status change we will notify BBH as soon as practicable Confirm B We confirm that below listed persons ultimately own or control equal to or more than 25% of the investing entity and that should this status change we will notify BBH as soon as practicable. (Please list names, dates of birth and addresses of all such persons). Signed for and on behalf of [enter name of distributor/intermediary/3rd Party]


Appendix 2









Appendix 3





Appendix 4

Customer Information Notice – Common Reporting Standard The Company intends to take such steps as may be required to satisfy any obligations imposed by (i) the Standard for Automatic Exchange of Financial Account Information in Tax Matters (“the Standard”) and, specifically, the Common Reporting Standard (“CRS”) therein or (ii) any provisions imposed under Irish law arising from the Standard or any international law implementing the Standard (to include the Multilateral Competent Authority Agreement on Automatic Exchange of Financial Account Information or the EU Council Directive 2011/16/EU (as amended by Council Directive 2014/107/EU)) so as to ensure compliance or deemed compliance (as the case may be) with the Standard and the CRS therein from 1 January 2016. The Company is obliged under Section 891F of the Taxes Consolidation Act 1997 (as amended) and regulations made pursuant to that section to collect certain information about each Applicant’s tax arrangements. Please note that in certain circumstances the Company may be legally obliged to share this information and other financial information with respect to an Applicant’s interests in the Company with the Irish Revenue Commissioners. In turn, and to the extent the account has been identified as a Reportable Account, the Irish Revenue Commissioners will exchange this information with the country of residence of the Reportable Person(s) in respect of that Reportable Account. In particular, the following information will be reported by the Company to the Irish Revenue Commissioners in respect of each Reportable Account maintained by the Company;

The name, address, jurisdiction of residence, tax identification number and date and place of birth, in the case of an individual, of each Reportable Person that is an Account Holder of the account and, in the case of any Entity that is an Account Holder and that, after application of the due diligence procedures consistent with CRS is identified as having one or more Controlling Persons that is a Reportable Person, the name, address, jurisdiction of residence and tax identification number of the Entity and the name, address, jurisdiction of residence, TIN and date and place of birth of each such Reportable Person.

The account number (or functional equivalent in the absence of an account number); The account balance or value as of the end of the relevant calendar year or other appropriate reporting period

or, if the account was closed during such year or period, the closure of the account; The total gross amount paid or credited to the Account Holder with respect to the account during the calendar

year or other appropriate reporting period with respect to which the Reporting Financial Institution is the obligor or debtor, including the aggregate amount of any redemption payments made to the Account Holder during the calendar year or other appropriate reporting period.

Please note that in certain limited circumstances it may not be necessary to report the tax identification number and date of birth of a Reportable Person. In addition to the above, the Irish Revenue Commissioners and Irish Data Protection Commissioner have confirmed that Irish Financial Institutions (such as the Company) may adopt the “wider approach” for CRS. This allows the Company to collect data relating to the country of residence and the tax identification number from all non-Irish resident Applicants. The Company can send this data to the Irish Revenue Commissioners who will determine whether the country of origin is a Participating Jurisdiction for CRS purposes and, if so, exchange data with them. Revenue will delete any data for non-Participating Jurisdictions. The Irish Revenue Commissioners and the Irish Data Protection Commissioner have confirmed that this wider approach can be undertaken for a set 2-3 year period pending the resolution of the final CRS list of Participating Jurisdictions. Applicants can obtain more information on the Company’s tax reporting obligations on the website of the Irish Revenue Commissioners (which is available at http://www.revenue.ie/en/business/aeoi/index.html) or the following link in the case of CRS only: http://www.oecd.org/tax/automatic-exchange/. All capitalised terms above, unless otherwise defined above, shall have the same meaning as they have in the Standard.


Appendix 5

DATA PRIVACY STATEMENT

In accordance with the General Data Protection Regulation (697/2016/EU) (the “GDPR”) and applicable Irish

data protection legislation (currently the Irish Data Protection Acts 1988 to 2003) (collectively, “Data

Protection Legislation”) Nomura Funds Ireland plc (the “Fund”) being a data controller, must provide you

with information on how the personal data that you provide as part of your subscription to shares in the Fund

will be processed by the Fund, its service providers and delegates and their duly authorised agents and any

of their respective related, associated or affiliated companies.

As a consequence of your investment, the Fund acting as a data controller may itself (or through third

parties including but not limited to Brown Brothers Harriman Fund Administration Services (Ireland) Limited

(the “Administrator”), Nomura Asset Management U.K. Limited acting in its capacity as distributor of the

Fund (the “Distributor”) and together with any sub-distributors that may be appointed by the Distributor from

time to time, local paying agents and mailing firms appointed by any of the foregoing and Bridge Consulting

(together the “Service Providers”)). process your personal information or, to the extent that you are a non-

natural person, that of your directors, officers, employees, intermediaries and/or beneficial owners. Save

where otherwise expressly provided, any reference in this Data Privacy Statement to “you” or “your” in the

context of processing personal data of data subjects shall, in the case that you are a non-natural person, be

understood to mean and relate to the personal data of your directors, officers, employees, intermediaries

and/or beneficial owners as the context may require.

In certain circumstances, the Administrator and/or the Distributor may use your personal data for their own

purposes and as a result be considered a data controller of such data. In such circumstances, all rights

afforded to you as a data subject under the GDPR shall be solely exercisable against the Administrator or

the Distributor, as applicable.

In this regard, please note the following:

Purposes of Processing and Legal Basis for Processing

The personal data collected from you or provided by you or on your behalf in connection with your holdings

in the Fund will be collected, stored, disclosed, used and otherwise processed by the Service Providers on

behalf of the Fund for the purposes outlined in the table below.

Processing Activity by or on behalf of the Fund Legal Basis for Processing

Where you are a natural person, managing and

administering your holdings in the Fund and any

related account on an ongoing basis

Performance of the contract between the Fund and

you.

Where you are a natural person, disclosures to third

parties such as auditors, regulatory, tax authorities

and technology providers in the context of the day to

day operations of the Fund;

Performance of the contract between the Fund and

you.

Where you as an investor are a non-natural person,

disclosures to third parties such as auditors, regulatory

bodies, tax authorities and technology providers in the

Pursuing the legitimate interests of the Fund in

managing and administering the holdings of the non-

natural person in the Fund and any related account


Processing Activity by or on behalf of the Fund Legal Basis for Processing

context of the day to day operations of the Fund;

on an ongoing basis.

Complying with any applicable legal, tax or regulatory

obligations imposed on the Fund including legal

obligations under Fund law, the UCITS Regulations,

CBI UCITS Regulations, under tax law and under anti-

money laundering / counter terrorist financing

legislation

Compliance with a legal obligation to which the Fund

is subject.

(i) Carrying out statistical analysis and market

research;

(ii) Recording, maintaining, storing and using

recordings of telephone calls and electronic

communications that you make to and receive

from the Fund, the Service Providers and their

delegates or duly appointed agents and any of

their respective related, associated or affiliated

companies for any matters related to investment

in the Fund, dispute resolution, record keeping,

security and/or training purposes; [and

(iii) direct marketing purposes.

Pursuing the legitimate interests of the Fund.

Further information relating to the balancing test

undertaken by the Fund in respect of such

processing is available upon request.

The Administrator and the Distributor as data controllers of your personal data may also collect, store,

disclose, use or otherwise process your personal data for the purposes outlined in the table below.

Processing Activity by the Administrator Legal Basis for Processing

Complying with any applicable legal or regulatory

obligations imposed on the Administrator including

under tax law, under anti-money laundering / counter

terrorist financing legislation or by virtue of its status

as a regulated entity

Compliance with a legal obligation to which the

Administrator is subject.

Processing Activity by the Distributor Legal Basis for Processing

Retaining and collecting your data for the purpose of

sales monitoring / marketing purposes

Pursuing the legitimate interests of the Distributor..

Please note that where personal data is processed for purposes of legitimate interests, you have a

right to object to such processing and the Fund and its appointed Service Providers will no longer

process the personal data unless it can be demonstrated that there are compelling legitimate

grounds for the processing which override your interests, rights and freedoms or for the

establishment, exercise or defence of legal claims.


Profiling and Screening

The Fund and its appointed Service Providers may engage in PEP screening and financial sanctions

screening programs defined by the European Union (“EU”), the United Nations (“UN”), Her Majesty’s

Treasury (“HMT”) and the Office of Foreign Assets Control (“OFAC”) for the purposes of complying with the

Criminal Justice (Money Laundering and Terrorist Financing) Act 2010 as may be amended or replaced from

time to time and with UN, EU and other applicable sanctions regimes. [The implementation of such PEP

screening and financial sanctions screening programmes may result in the Fund or its Service Providers

[refusing an application for Shares in the Fund] or delaying or refusing to make any redemption payment or

distribution payment to you if you, your directors or any beneficial owner of your Shares appear on such

screening programmes. In the event that you are identified as a PEP as a result of the screening process,

you may be required to provide additional information and/or documentation to the Fund or its Service

Providers. Such processing, which may reveal your political opinion, is considered lawful on the grounds of

substantial public interest permitted under Article 9(2)(g) of the GDPR.

Undertaking in connection with other parties

By providing personal data to the Fund, you undertake to be authorised to disclose to the Fund relevant

information applicable to the beneficial owner of the investment, to your directors and authorised signatories

and to persons that own, directly or indirectly, an interest in the Fund. In this respect you confirm that you

have provided these persons with all the information required under applicable data protection law, notably

regarding their data protection rights, and received from these persons their authorisation for the processing

and transfer of their personal data to us.

Disclosures to Service Providers and / or Third Parties

Personal data relating to you which is collected from you or provided by you or on your behalf may be

handled by Service Providers appointed by the Fund and its or their duly appointed agents and any of

related, associated or affiliated companies within the Distributor’s and Administrator’s group(s) for the

purposes specified above.

The Administrator may in turn disclose your personal data to agents or other third parties where necessary

to carry out these purposes, including to: Brown Brothers Harriman & Co., Brown Brothers Harriman

(Luxembourg) S.C.A., Brown Brothers Harriman (Poland) Sp. Z.o.o., and/or Brown Brothers Harriman (Hong

Kong) Limited.

These Service Providers will be obliged to adhere to the data protection laws of the countries in which they

operate.

The Fund, the Administrator and the Distributor may disclose your personal data to other third parties where

required by law or for legitimate business interests. This may include disclosure to third parties such as

auditors and the Central Bank of Ireland, regulatory bodies, taxation authorities, the Depositary, and

technology providers.

Transfers Abroad

Personal data collected from you or provided by you or on your behalf may be transferred outside of Ireland

including to companies situated in countries outside of the European Economic Area (“EEA”) which may not

have the same data protection laws as in Ireland. These countries include the United States of America and

Hong Kong.


Where data transfers outside of the EEA take place, the Fund and/or the relevant Service Provider have

taken the necessary steps to ensure that appropriate safeguards have been put in place to protect the

privacy and integrity of such personal data, in particular ensuring the implementation of model contracts by

the Service Providers and their affiliates.

Data Retention Period

The Fund and its appointed Service Providers will retain all information and documentation provided by you

in relation to your investment in the Fund for such period of time as may be required by Irish legal and

regulatory requirements, being at least six years after the period of your investment has ended or the date

on which you had your last transaction with us.

The Administrator will retain all information and documentation provided by you for compliance with those

legal obligations imposed on it under AML/CTF legislation for a period of at least [five years after the period

of your investment has ended or the date on which you had your last transaction with the Fund.

Your data protection rights

Please note that you have the following rights under the GDPR. In each case, the exercise of these rights is

subject to the provisions of the GDPR:

(i) You have a right of access to and the right to amend and rectify your personal data.

(ii) You have the right to have any incomplete personal data completed.

(iii) You have a right to lodge a complaint with a supervisory authority, in particular in the Member State of

your habitual residence, place of work or place of the alleged infringement if you consider that the

processing of personal data relating to you carried out by the Fund infringes the GDPR.

(iv) You have a right to be forgotten (right of erasure of personal data).

(v) You have a right to restrict processing.

(vi) You have a right to data portability.

(vii) You also have the right to object to processing where personal data is being processed for direct

marketing purposes and also where the Fund or a Service Provider is processing personal data for

legitimate interests.

Where you wish to exercise any of your data protection rights against the Fund or against the Administrator,

please contact us via the details provided below under “Contact Us”.

The Fund or its Service Provider will respond to your request to exercise any of your rights under the GDPR

in writing, as soon as practicable and in any event within one month of receipt of your request, subject to

the provisions of the GDPR. The Fund or its Service Provider may request proof of identification to verify

your request.

Failure to provide personal data

As outlined in the section titled “Purposes of Processing and Legal Basis for Processing”, the provision

of personal data by you is required for us to manage and administer your holdings in the Fund and so that

we can comply with the legal, regulatory and tax requirements referenced above. Where you fail to provide

such personal data in order to comply with anti-money laundering/counter terrorist financing or other legal


requirements, in certain circumstances, we may be prohibited from making redemption or any applicable

dividend payments to you and/or may be required to discontinue our business relationship with you by

compulsorily redeeming your shareholding in the Fund.

Contact us

If you have any questions about the Fund’s or the Distributor’s use of your personal information, please

contact James Tucker at the following email address [email protected] or by using the

following contact telephone number: + 44 207 521 1841.

If you have any questions the Administrator’s use of your personal information, please visit

https://www.bbh.com/en-us/our-firm/policies-and-disclosures or contact Brown Brothers Harriman Fund

Administration Services (Ireland) Limited directly at [email protected]

Documents

Nomura Funds Ireland plc · Nomura Funds Ireland plc Page 3 of 41 Investment Details I/We hereby apply to invest in the Company, as indicated in the table below: 1.1 Tick the box