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With this form you can:

– change the funds in your investments.

This form cannot be used for transactions involving the Offshore Collective Investment Bond (OCIB) or our Managed Portfolio Service (MPS).

Online switching – You or your financial adviser can switch your funds or redirect your future contributions online. You can register for our secure online Customer Centre at www.oldmutualwealth.co.uk/customer, but you should consult your adviser before making any investment decisions.

We regularly update our forms; your financial adviser can confirm that this October 2018 version is the latest by checking the literature library on our website www.oldmutualwealth.co.uk

SWitch/redirectiOn– for the ISA, Collective Investment Account (CIA), Collective Investment Bond (CIB)

and Collective Retirement Account (CRA).

sEctions to comPLEtE

these sections must be completed in all cases:Section 1 – Financial advice

Section 2 – your details

Section 8 – to authorise the instruction

complete the following sections as required:Section 3 – to switch from/to specific funds within your current investment range

Section 4 – to restructure the entire portfolio of funds

Section 5 – to redirect funds for future direct debit payments

Section 6 – to request automatic rebalancing

Section 7 – to authorise payment to your financial adviser

iMPOrtAnt dOcUMentS YOU need tO hAVe receiVed BeFOre chAnGinG YOUr FUndS•Youneedtohavereceivedseveralimportantdocumentsaboutyournewchoiceoffunds,beforeyousendusyourinstruction.•More information about these documents is in section 1.

!

We strongly recommend that investors receive financial advice because financial advisers can recommend investments that are most suitable for investors’ financial circumstances. Old Mutual Wealth cannot provide such advice.

tick 1.1, 1.2 Or 1.3 as applicable u If left blank, we will assume that 1.2 applies and that you have had no advice

1.1 i have received financial advice in respect of this instruction

On what basis was the advice given? (your financial adviser will help you answer this) Restricted Independent

Your financial adviser will have provided you with the following:

• Information about the new funds chosen for your investment:

– the rebates applicable to your fund choice – detailed in the relevant Funds List

– (iSA/ciA*) Key investor information document (Kiid) or Key information document (Kid)

• (ISA/CIA) A costs and charges Statement, contained in the illustration for your investment.

in section 8, the declaration you sign will include your confirmation that you have received and read these documents.

* For a CIB or a CRA – we also strongly recommend obtaining a KIID or a KID in respect of your fund choice to assist you in making an informed investment decision.

1 FinAnciAL AdVice

continued

Please tick/complete this form, as applicable, using BLOCK CAPITALS and blue or black ink.

u�Complete the form carefully; errors or omissions by you or your financial adviser will not be corrected retrospectively

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Client reference number, u If known

names of joint investors u If applicable

1.

2.

3.

4.

Telephone number u In case of query Email address

2 YOUr detAiLS

account/Bond dEtaiLs u Complete a separate form for each account/bond

Account/Bond number CRAISA CIA CIB(Tick one)

fuLL namEs of inVEstors

1.2 i have nOt received financial advice in respect of this instruction

Before you send us your instruction, you need to have received the following to help you make your decision:

• A Funds List* available from www.oldmutualwealth.co.uk/fundslists.

There are different Funds Lists for our different charge bases and fund ranges; it is important that you refer to the correct version.

The Funds List has details of the restricted range of funds available to investors who are not using the services of a financial adviser*. The column entitled ‘Execution Only’ shows which funds you can choose**. * For ISA and CIA, some funds are only available to investors who have received financial advice.

** If you choose a fund that is not available for execution only investments, we will contact you for an alternative choice before carrying out your instruction.

• Information about the new funds you choose:

– the rebates applicable to those funds – detailed in the relevant Funds List

– (iSA/ciA*) Key investor information document (Kiid) or Key information document (Kid) – These are issued by fund managers, and contain information about their funds. We include a link to them on our website: www.oldmutualwealth.co.uk/fund-info

• (ISA/CIA) A costs and charges Statement, contained in the illustration for your investment; this is available from our website: www.oldmutualwealth.co.uk/costs-and-charges/

in section 8, the declaration you sign will include your confirmation that you have received and read these documents.

* For a CIB or a CRA – we also strongly recommend obtaining a KIID or a KID in respect of your fund choice to assist you in making an informed investment decision.

1 FinAnciAL AdVice (continued)

1.3 i am completing this form as a discretionary fund manager on the investor’s behalf

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Do not complete this section if you are restructuring your entire portfolio – please complete section 4 instead.

Please provide the same information for additional switches if required by using a signed copy of this page.

3 SWitch SPeciFic FUndS u The new fund(s) must be from your current investment range

tick here if you wish us to switch into the 'bundled' version of the funds selected (where applicable)

� u�If you have ticked but the bundled version is unavailable, we will select the unbundled version Note (e) at the end of this form has more information about 'bundled' and 'unbundled' funds

1 0 0 %

Percentage to switch in Fund(s) to switch in

Inc/Acc

TOTAL

a) Fund to switch out Inc/Acc

Percentage to switch out or

Amount to switch out

£

1 0 0 %

Percentage to switch in Fund(s) to switch in

Inc/Acc

TOTAL

b) Fund to switch out Inc/Acc

Percentage to switch out or

Amount to switch out

£

1 0 0 %

Percentage to switch in Fund(s) to switch in

Inc/Acc

TOTAL

c) Fund to switch out Inc/Acc

Percentage to switch out or

Amount to switch out

£

1 0 0 %

Percentage to switch in Fund(s) to switch in

Inc/Acc

TOTAL

d) Fund to switch out Inc/Acc

Percentage to switch out or

Amount to switch out

£

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• Complete this section to change your entire portfolio, (including any available cash) by choosing different funds within the same investment range (ie selfselect or Wealthselect), or by swapping to the alternate investment range.

• We will replace your current funds with those you list below; the funds must all be from the same investment range. �u�The notes at the end of this form explain what the investment ranges are, on which Charge Basis they are available and whether swapping to a different investment range will

change your Charge Basis

•Please tick/complete below to indicate which direct debit you wish to redirect.

• fund choice

Direct debit paid by you, the investor

Use the same fund choice as given in section 4

OR

List the new fund choice below.

Third-party investment u Please state the third party’s name

Employer investment (for CRA only) u Please state the employer’s name

4 POrtFOLiO reStrUctUre u Sometimes known as a 'realignment'

1 0 0 %

New fund choice Inc/Acc

TOTAL

Whole %

1 0 0 %

New fund choice Inc/Acc

TOTAL

Whole %

5 redirectiOn inStrUctiOn uNew fund choice for future direct debit payments

tick here if you wish us to switch into the 'bundled' version of the funds selected (where applicable) � u� If you have ticked but the bundled version is unavailable, we will select the unbundled version

Note (e) at the end of this form has more information about 'bundled' and 'unbundled' funds

tick here if you wish us to switch into the `bundled' version of the funds selected (where applicable)� u� If you have ticked but the bundled version is unavailable, we will select the unbundled version

Note (e) at the end of this form has more information about `bundled' and `unbundled' funds

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6 AUtOMAtic reBALAncinG

Complete this section to apply the automatic rebalancing option to your account or bond for the first time, or to reinstate it following the switch/redirection instructions in this form.

complete the table below to show the entire selection of funds for your account/bond and the required percentage for each.

1 0 0 %

Full fund name Inc/Acc

TOTAL

Whole %

u If the funds and percentages you require are as shown in section 4 or 5, just state ‘See section 4/5’ (as applicable)

Automatic rebalancing will happen on the 15th of the month.Tick to indicate how often you wish rebalancing to take place: 3 months 6 months 12 months

The start date will be the next available for the frequency selected, or the date you state here: Start date 1 5 // 2 0

1. The percentage you state here cannot be higher than that previously applied to the account/bond. A higher payment can be facilitated by converting to Adviser Charging under Charge Basis 2 (CRA/CIB) or 3 (CRA).

2. Any switch commission amount entered here will ONLY apply to this switch instruction – it will NOT supersede any existing switch commission terms agreed with your financial adviser.

3. If left blank, no switch commission will be paid to your financial adviser in respect of this transaction.4. Switch commission will be treated as an additional charge on your account/bond and will be deducted from the switch sale proceeds before the

balance is invested into your new choice of fund(s).

(b) adviser fund switch fee u Available if your account/bond is on Charge Basis 2 or 3

1. If you state a switch fee which is •new •greaterthanpreviouslyauthorised •expressedindifferenttermsthanpreviouslyauthorised(egmonetaryorpercentageterms)

this will become your new maximum authorised switch fee and can be applied to future switches, provided you have signed this form in section 8a. 2. Any switch fee will be treated as a withdrawal from your account/bond and deducted from the sale proceeds for each switch before the

balance is invested into your new choice of fund(s). If the fee is paid from a CIB there may be tax implications; your financial adviser can explain these to you.

3. If both adviser fund switch fee boxes are left blank, no switch fee will be paid to your financial adviser in respect of this instruction.

4. If you wish to remove or reduce your authorised switch fee, just let us know but you should speak to your financial adviser before doing so.

Please enter the switch fee amount required as a percentage (using multiples of 0.05%) or a monetary amount.

%. £OR

Please enter the percentage amount here.

%. u You may select between 0-3%, using multiples of 0.10% or 0.25% up to the maximum you have already authorised

7 PAYMent tO YOUr FinAnciAL AdViSer u To be completed with your financial adviser

(a) switch commission u Only available for CRA or CIB on Charge Basis 1

complete (a) or (b) as applicable

• Automatic rebalancing is where we check the funds in your account or bond at designated times and carry out any transactions needed to make the split of funds match the proportions you specify.

• We will rebalance if, at the time of the check, there is at least one fund where the difference between the proportion held and the specified proportion is greater than the margin of tolerance specified in the product Terms and Conditions.

• Existing rebalancing instructions will be turned off by instructions in sections 3, 4 or 5 of this form.

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8 AUthOriSAtiOn

this declaration is made by each account/bond holder/authorised signatory1. I have been given the opportunity to read and keep the following, and to have any questions concerning them answered to my satisfaction: a) Key Features Document and Terms and Conditions relating to my investment b) (where relevant) a Costs and Charges Statement, c) (where relevant) all available Key Investor Information Documents or Key Information Documents in respect of my investment and fund choice, and d) information about rebates, in respect of my new fund choice.2. Where switch commission is being paid to my financial adviser (section 7a), I understand and accept that this will be treated as an additional charge on

my account/bond and will reduce the amount available for switching into my chosen funds.3. Where Old Mutual Wealth has agreed to facilitate the payment of a fund switch fee to my financial adviser (section 7b), I understand and accept that: (a) this will be treated as a partial withdrawal from my account/bond and reduce the amount available for switching into my new choice of funds, and (b) for a CIA this will be a disposal for Capital Gains Tax purposes, and for a CIB this will be a withdrawal and may create a chargeable event for

income tax purposes.4. I declare that: (a) I am the legal owner or joint legal owner of the account/bond or (b) I am an authorised signatory for the account/bond and I have authority to request the instruction given in this form.5. I authorise Old Mutual Wealth Limited or Old Mutual Wealth Life & Pensions Limited, as applicable, to carry out the instructions in this form in

accordance with the Terms of my account/bond.6. I confirm that Old Mutual Wealth has brought to my attention the importance of reading the notes at the end of this form.

1. / / 2 0Date (dd/mm/yyyy)

2. / / 2 0Date (dd/mm/yyyy)

3. / / 2 0Date (dd/mm/yyyy)

4. / 2 0Date (dd/mm/yyyy)

all investors/authorised signatories must sign below.

complete (a) or (b) as applicable

(a) inVEstor dEcLaration and siGnaturE

(b) financiaL adVisEr dEcLaration and siGnaturE u Required if the adviser is signing on behalf of the investor(s)

1. I confirm that I have the FCA ‘managing investments’ permission � u If you do not have this permission, this form must be signed in section 8a by the investors/authorised signatories for the account/bond

2. I declare that: a) I am the financial adviser acting in a discretionary or an advisory capacity for the account/bond holder(s). b) I have the authority to request the instruction given in this form. c) I have provided the account/bond holder(s) with the appropriate Key Features Document, Terms and Conditions, Funds List and, where

relevant, any Key Investor Information Documents or Key Information Documents in respect of the investment and fund choice.

3. I authorise Old Mutual Wealth Limited or Old Mutual Wealth Life & Pensions Limited, as applicable, to carry out the instructions in this form in accordance with the Terms of the account/bond.

Print name

Financial Services number

Financial adviser signature

Full name of regulated firm (or sole trader)

Contact number u In case of query

/ /

Date (dd/mm/yyyy)

• Adviser fees will be subject to the limits outlined in our Remuneration Guide

• cra only – Please note that Old Mutual Wealth does not pay remuneration to financial advisers for investments made in their own names. Financial advisers should refer to our Terms of Business with them for further information.

Send the completed form to:

old mutual Wealth, old mutual house, Portland terrace, southampton so14 7ay

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SWitch/redirectiOnimportant notesthese notes are for you to keep – please read them before completing and sending your instruction to us.

The Charge Basis for your account/bond will determine the funds you can invest in and the sections you will need to complete in this form. The flowchart below explains if your Charge Basis will change as a result of this instruction.

our three different charge bases are :

charGE Basis 1This applies to CRAs and CIBs opened before 18 December 2012, which have not been converted to Charge Basis 2 or 3 (where applicable) either by request or automatically.*

They are subject to the Investor Charge and financial advisers are entitled to receive commission.

charGE Basis 2This applies to CRAs and CIBs that have been converted from Charge Basis 1, either by request or automatically.*

They are subject to the Investor Charge and Adviser Charging, where financial advisers are paid by fees rather than commission.

charGE Basis 3This applies to:- all ISA and CIAs- CIBs and CRAs opened from 18 December

2012- CRAs converted to Charge Basis 3 by request. They are subject to the Old Mutual Wealth Service/Product Charge and Adviser Charging, where financial advisers are paid by fees rather than commission.

* The Terms and Conditions outline which transactions automatically convert accounts/bonds; your financial adviser will be able to advise you if your account/bond has been converted.

if you are unsure which charge Basis applies to your account/bond, please contact your financial adviser or call our customer contact centre on 0808 171 2626.

charGE Basis information

CIB/CRA

Which product is this instruction for?

please complete this form ignoring section 7a.

please complete this form ignoring 7a or 7b as indicated above.

this instruction Will not change the charge Basis.

FOR ChARGE BASIS 1• Completethisformignoringsection7b.

FOR ChARGE BASIS 2 OR 3

• Completethisformignoringsection7a.

ChARGE BASIS 1 OR 2

• IfyouwishtoconverttoadifferentChargeBasis before submitting this instruction, please speak to your financial adviser who will be able to confirm if this is possible and help you complete the necessary form.

• OnceyouhaveconvertedfromChargeBasis1 to Charge Basis 2, you cannot revert to your previous Charge Basis; once you have converted to Charge Basis 3, you cannot change to a different Charge Basis.

Your account is on charge Basis 3

this instruction Will not change the charge Basis.

CIA/ISA

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a) fund names – your instructions must include full fund names, including the name of the fund management company. Unclear or invalid fund names will delay your instruction.

b) There are several important documents you need to have received and read relating to your new choice of funds, before you make your decision and send us your instruction. They are listed in section 1 of this form.

c) isa and cia only: if you wish to switch any of the investment to or from cash deposit please enter ‘CASh’ as the fund name.

d) inc/acc (income/accumulation) – if you do not state the type required, accumulation units (where available) will automatically be applied. Where accumulation units have been selected and they are not available, income units will automatically be applied. For the Collective Retirement Account income units are only available if no accumulation units are available. For more information about income and accumulation units/shares, refer to our Funds List which is on our website www.oldmutualwealth.co.uk or speak to your financial adviser.

e) Bundled/unbundled funds • ‘Bundled’fundsarethosewithfullAnnualManagementCharge(AMC)andrebates. • ‘Unbundled’fundsarethosewithalowerAMCandreducedrebates.

charge Basis 3: If you invest in our SelfSelect investment range where both ‘bundled’ funds and ‘unbundled’ funds are available, we will automatically default to unbundled funds, even if you currently already hold the bundled version in your account/bond. however, each section in the form allows you to tick if you wish us to use the bundled version of the funds selected instead (where available).

charge Basis 2: If you choose an unbundled fund, which is not available for your Charge Basis, we will use the bundled version of the fund instead.

f) automatic rebalancing (where applicable) will be cancelled as a result of instructions in sections 3, 4 or 5, however you can reinstate it by completing section 6.

g) We have two investment ranges of funds: • WealthSelect–availableonChargeBasis3only • SelfSelect–availableonChargeBasis1,2and3

The funds in your account/bond must all be from the same investment range, ie either WealthSelect funds or SelfSelect funds.

h) If you choose funds from both investment ranges, we will not be able to carry out your instructions and we will seek a revised fund choice from you or your financial adviser.

i) swapping to a different investment range

You can swap all of your funds from one investment range to another by completing section 4.

ciB – you can only ‘swap’ to WealthSelect funds if your bond is already on Charge Basis 3.

cra – if your account is currently on Charge Basis 1 or 2 and you request a ‘swap’ to WealthSelect funds, we will convert your account to Charge Basis 3 before we carry out the swap.

This means: • anycommissionpaymentstoyourfinancialadviser(whereapplicable)underChargeBasis1willstop • ifyouagreetopayfeestoyourfinancialadviser,wecandeductthemfromyouraccountifrequired • allfundmanagerrebateswillbereinvestedintoyouraccount • youraccountwillbesubjecttotheChargeBasis3TermsandConditions • itwillnolongerbesubjecttotheInvestorCharge • insteadtheOldMutualWealthProductChargewillapply,whichisexplainedintheTermsandConditions • youraccountcannotsubsequentlychangetoadifferentChargeBasis. • ifafundmanagerlaunchesanewversionofafundyouhold,whichoffersyoubettervalue,youraccountwillbenefitfromautomatic

conversion to the newer version of the fund.

j) redirecting your funds: we can only guarantee to carry out instructions in time for the next direct debit payment if we receive them at least ten working days before the next direct debit collection date.

www.oldmutualwealth.co.uk

Please be aware that calls and electronic communications may be recorded for monitoring, regulatory and training purposes and records are available for at least five years.

Old Mutual Wealth is the trading name of Old Mutual Wealth Limited which provides an Individual Savings Account (ISA) and Collective Investment Account (CIA) and Old Mutual Wealth Life & Pensions Limited which provides a Collective Retirement Account (CRA) and Collective Investment Bond (CIB).

Old Mutual Wealth Limited and Old Mutual Wealth Life & Pensions Limited are registered in England and Wales under numbers 1680071 and 4163431 respectively. Registered Office at Old Mutual house, Portland Terrace, Southampton SO14 7EJ, United Kingdom. Old Mutual Wealth Limited is authorised and regulated by the Financial Conduct Authority. Old Mutual Wealth Life & Pensions Limited is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Their Financial Services register numbers are 165359 and 207977 respectively. VAT number 386 1301 59.

funds

• The funds available to you could differ depending on the following: – the Charge Basis for your account/bond – which investment range you choose – whether you have received advice in respect of your instruction (ISA/CIA).• We have different Funds Lists depending on the Charge Basis of your account or bond; it is important that you refer to the

correct version.• You can obtain a Funds List from: – your financial adviser – our Customer Contact Centre on Freephone 0808 171 2626 – our website www.oldmutualwealth.co.uk/fundslists/

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