Reportable assets, at present, on FundsNetwork are Exchange TradedProducts (ETFs and ETCs) and Investment Trusts.

On the basis of this, you will be asked for an individual identifier,linked to the reportable nationality. This will consist of up to threeoptions, which are dependent on nationality.

The table below can be used to determine the National Identifierthat will be needed for a client or decision maker, depending on thenationalities they hold.

If the client or decision maker has UK Nationality, plus one or moreEuropean Economic Area (EEA) Nationality, they must provide the

highest priority identifier they hold (according to alphabeticalprecedence of the two character nationality code).

For example, we would need to provide a Greek National Identifierahead of an Icelandic National Identifier. But a client or decisionmaker who is a UK and Slovenian National would only need toprovide a National Insurance Number as the UK (GB) is higher inthe list according to alphabetical precedence.

Concatenated ID (CONCAT): We can derive an identifier from theclient’s first name, surname, nationality and date of birth.

There are further scenarios on the next page.

If your clients transact in reportable assets, we require all nationalities a client has for Anti-Money Launderingregulations. With MiFID II, we are now also required to provide a nationality identifier to the FinancialConduct Authority (FCA). Our system will identify, based on the nationalities that have been input,which one is reportable to the FCA.

NationalityCode (used foralphabeticalprecedence)

Country Name 1st Priority Identifier 2nd Priority Identifier 3rd Priority Identifier

AT Austria CONCAT

BE Belgium Belgian National Number CONCAT

BG Bulgaria Bulgarian Personal Number CONCAT

CY Cyprus National Passport number CONCAT

CZ Czech Republic National Identification Number Passport Number CONCAT

DE Germany CONCAT

DK Denmark Personal Identity Code CONCAT

EE Estonia EstonianPersonal IdentificationCode

ES Spain Tax Identification Number

FI Finland Personal Identity Code CONCAT

FR France CONCAT

GB United Kingdom UK National Insurance Number CONCAT

GR Greece 10 DSS-digit Investor Shares CONCAT

HR Croatia Personal Identification Number CONCAT

HU Hungary CONCAT

IE Ireland CONCAT

IS Iceland Personal Identity Code

IT Italy Fiscal Code

LI Liechtenstein National Passport Number National Identity Card Number CONCAT

LT Lithuania Personal Code National Passport Number CONCAT

LV Latvia Personal Code CONCAT

MT Malta National Identification Number National Passport Number

NL Netherlands National Passport Number National Identity Card Number CONCAT

NO Norway 11-digit Personal Identification CONCAT

PL Poland National Identification Number Tax Number

PT Portugal Tax Number National Passport Number CONCAT

RO Romania National Identification Number National Passport Number CONCAT

SE Sweden Personal Identity Number CONCAT

SI Slovenia Personal Identification Number CONCAT

SK Slovakia Personal Number National Passport Number CONCAT

All other non-EEAcountries

National Passport Number CONCAT

This document is for investment professionals only and should not be relied upon by private investors.

MiFID II:new information required for individual clients

Examples1. UK Nationality onlyIf the client or decision-maker is a UK National ONLY, then you needto ask them to provide their National Insurance Number. If the clienthas never been issued with a National Insurance Number, we willbe able to derive a reportable identifier using a CONCAT.

2. UK and French NationalityIn this example, France is above the UK in the table, therefore theidentifier we need to capture and report is specified for France. Francedoes not require a specific identifier and uses a concatenation derivedfrom the client’s name, surname, date of birth and nationality.Therefore no additional information is required for the client.

Please note: in this instance a National Insurance Number would stillbe required for Anti-Money Laundering regulations (AML), but not forMiFID II regulatory reporting.

3. UK and Portuguese NationalityIn this example, Portugal is below the UK in the table, therefore theidentifier we need to capture and report is specified for the UK,which is the National Insurance Number, unless the client has notbeen issued with one. It is not necessary to capture the Tax Numberspecified for Portugal.

4. UK and South African NationalityIn this case, the EEA Identifier takes precedent. Therefore the onlyidentifier that needs to be captured for this client is the UK NationalInsurance Number.

5. Norwegian and Chinese NationalityIf the client does not hold UK Nationality, then an EEA Nationalitywill take precedence over a non-EEA Nationality. In this example,we need to capture the identifier specified by Norway, which is an11 digit Personal Identification Number.

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