Common use of DOCUMENTATION CHECKLIST Clause in Contracts

DOCUMENTATION CHECKLIST. This completed, signed and dated application form Proof of the Broker House registration number received from the Companies and Intellectual Property Commission (CIPC)* Proof of registration with the Financial Services Board (FSB) and the conditions of which the Entity is registered* Clear copy of a utility bill (not older than 3 months) reflecting the name and physical (not postal) address of the Broker House* Copy of the Broker House compliance officer’s FSB Approval Letter – alternatively details of any outsourced arrangement (if applicable) Proof that the Broker House exists (company letterhead) Copy of the VAT certificate, showing the VAT registration number of the Broker House* Recent bank statement (not older than 3 months) reflecting the name and bank account details of the Broker House Proof of professional Broker House indemnity cover, from insurer, specifying type and period of cover Copy of plan/agreement to satisfy the financial needs of orphan clients in the event of a dissolution of the Broker House Clear copy of an SA barcoded ID/Smartcard (if SA citizen), valid passport (if foreign national), for every Authorised Individual* Copy of policy document of the Broker House money laundering controls (if applicable) A Broker House Representative Form to be completed for each Financial Adviser of the Broker House * Please refer to the FICA and Supporting Documentation Annexure for a list of documentation we will accept • Please deliver this completed original document to Prudential’s offices or your Prudential consultant. • Processing can only happen once all the necessary documentation has been received. • A separate login will be created for each Product Type (Local Unit Trusts/Namibian Unit Trusts/PIP/M&G/Tax-free Savings).

DOCUMENTATION CHECKLIST. This completed, signed and dated application form Proof of the Broker House registration number received from the Companies and Intellectual Property Commission (CIPC)* Proof of registration with the Financial Services Board Sector Conduct Authority (FSBFSCA) or The Namibia Financial Institutions Supervisory Authority (NAMFISA), if applicable and the conditions of which the Entity is registered* Clear copy of a utility bill (not older than 3 months) reflecting the name and physical (not postal) address of the Broker House* Copy of the Broker House compliance officer’s FSB FSCA or NAMFISA Approval Letter – alternatively details of any outsourced arrangement (if applicable) Proof that the Broker House exists (company letterhead) Copy of the VAT certificate, showing the VAT registration number of the Broker House* Recent bank statement (not older than 3 months) reflecting the name and bank account details of the Broker House Proof of professional Broker House indemnity cover, from insurer, specifying type and period of cover Copy of plan/agreement to satisfy the financial needs of orphan clients in the event of a dissolution of the Broker House Clear copy of an SA barcoded ID/Smartcard (if SA citizen), valid passport (if foreign national), for every Authorised Individual* Copy of policy document of the Broker House money laundering controls (if applicable) A Broker House Representative Form to be completed for each Financial Adviser of the Broker House * Please refer to the FICA and Supporting Documentation Annexure for a list of documentation we will accept • Please deliver e-mail a copy of this completed original document and signed agreement accompanied with the supporting documentation to Prudential’s offices ▇▇▇▇▇@▇▇▇▇▇▇▇▇▇▇.▇▇.▇▇ or your Prudential consultant. We reserve the right to request additional documents, if required. • Processing can only happen once all the necessary documentation has been received. • A separate login will be created for each Product Type (Local Unit Trusts/Namibian Unit Trusts/PIPLiving Annuities/M&G/Tax-free Savings).