Common use of Ongoing Management Service Clause in Contracts

Ongoing Management Service. Your financial objectives may change over time due to changes in your lifestyle or circumstances. We believe it is essential to ensure that your portfolio continues to meet your lifestyle and investment objectives. Our ongoing review and management service offers: • Structured reviews to give you piece of mind • Assessment of your current circumstances and any changes to your plans that are needed • Regular updates and information regarding your holdings • A choice of differing levels of support depending on your needs • Ongoing support with correspondence and administration issues We recognise that all clients do not have the same service requirements therefore even though we do provide a guideline by way of our bandings you are free to choose the level of service that best suits your needs. Our charges are guaranteed not to increase within the first 12 months of your contract with us. Should we need to increase our charges after this period, you will be given notice of this fact and the opportunity to decide whether to continue with the revised level of charges. It should be noted that it is not compulsory for you to sign up to one of our services and we do offer a transactional only service which is free of charge but does provide limited characteristics. Annual statement of holdings ✓ ✓ ✓ ✓ Access to our support team ✓ ✓ ✓ Professional expertise and governance embedded into our investment processes ✓ ✓ ✓ Quarterly Portfolio Rebalancing Six Monthly Portfolio Rebalancing Annual Portfolio Rebalancing ✓ Quarterly Valuations ✓ Six Monthly Valuations ✓ Annual Valuations ✓ On-going Expert Support ✓ ✓ ✓ Quarterly Investment Bulletins On-going access to your adviser ✓ ✓ ✓ Regular Newsletters ✓ *Six Monthly Review Meetings including *: ✓ *Annual Review Meetings including*: ✓ *Review of Objective ✓ ✓ *Review of Risk Profile ✓ ✓ *Review of Asset Allocation (if required) ✓ ✓ *Review of Tax Changes ✓ ✓ *Updates & Valuations ✓ ✓ *Comprehensive Financial Health Check: ✓ Detailed Tax Planning(by way of a referral) ✓ Estate Planning(if required) ✓ Income / Expenditure Review and Forecasting ✓ Liaison with accountant / solicitor (if required) ✓ Minimum Cost £1000 £750 £150 £nil Cost based on the total value of your investments 1% 0.75% 0.5% £nil I/We would like to subscribe to the following ongoing service option: (please tick the appropriate box)

Ongoing Management Service. Your financial objectives may change over time due to changes in your lifestyle or circumstances. We believe it is essential to ensure that your portfolio continues to meet your lifestyle and investment objectives. Our ongoing review and management service offers: • Structured  structured reviews to give you piece of mind • Assessment  assessment of your current circumstances and any changes to your plans that are needed • Regular  regular updates and information regarding your holdings • A  a choice of differing levels of support depending on your needs • Ongoing  ongoing support with correspondence and administration issues We recognise that all clients do not have the same service requirements requirements, therefore even though we do provide a guideline by way of our bandings you are free to choose the level of service that best suits your needs. Our charges are guaranteed not to increase within the first 12 months of your contract with us. Should we need to increase our charges after this periodin the future, you will be given notice of this fact and the opportunity to decide whether to continue with the revised level of charges. It should be noted that it is not compulsory for you to sign up to one of our services. Our fees for our ongoing management service as well as the services and we do offer a transactional only service which is free of charge but does provide limited characteristics. Annual statement of holdings ✓ ✓ ✓ ✓ Access are set out in the table overleaf: Ongoing access to your personal adviser   Ongoing access to an adviser    Ongoing access to our support team ✓ ✓ ✓     On request statement of holdings    Professional expertise and governance embedded into our investment processes ✓ ✓ ✓ Quarterly Portfolio Rebalancing Six Monthly Portfolio Rebalancing Annual Portfolio Rebalancing ✓ Quarterly Valuations ✓ Six Monthly Valuations ✓ Annual Valuations ✓    On-going Expert Support ✓ ✓ ✓ Quarterly Investment Bulletins On-going access to your adviser ✓ ✓ ✓ administration support    Regular Newsletters ✓ *Six Monthly Review Meetings including *: ✓ *   Access to our web site xxx.xxxxxxxxx-xxx.xx.xx     Access to our on-line portfolio valuation   Annual Review Meetings including*: ✓ *including:- Portfolio Valuations   Review of Objective ✓ ✓ *personal and financial circumstances   Review of Objectives   Review of Risk Profile ✓ ✓ *Profile/Capacity to Loss   Review of Asset Allocation (if required) ✓ ✓ *  Review of Tax Changes ✓ ✓ *Updates & Valuations ✓ ✓ *  Comprehensive Financial Health Check: ✓   Detailed Tax Planning(by way of a referral) ✓ Planning  Estate Planning(if required) ✓ Planning  Income / Expenditure Review and Forecasting ✓   Cash Flow Modelling  Liaison with accountant / solicitor (if required) ✓ Minimum Cost £1000 £750 £150 £nil  Cost based on the total value of your investments 1% 0.75% investments* 0.5% 0.45% 0.4% £ nil Minimum Cost £500 £335 £200 £ nil I/We would like to subscribe list here 3 examples to the following ongoing service option: (please tick the appropriate box)above charges to help you understand how these would be applied;

Ongoing Management Service. Your financial objectives may change over time due to changes in your lifestyle or circumstances. We believe it is essential to ensure that your portfolio continues to meet your lifestyle and investment objectives. Our ongoing review and management service offers: • Structured reviews to give you piece of mind • Assessment of your current circumstances and any changes to your plans that are needed • Regular updates and information regarding your holdings • A choice of differing levels of support depending on your needs • Ongoing support with correspondence and administration issues We recognise that all clients do not have the same service requirements therefore even though we do provide a guideline by way of our bandings you are free to choose the level of service that best suits your needs. Our charges are guaranteed not to increase within the first 12 months of your contract with us. Should we need to increase our charges after this period, you will be given notice of this fact and the opportunity to decide whether to continue with the revised level of charges. It should be noted that it is not compulsory for you to sign up to one of our services and we do offer a transactional only service which is free of charge but does provide limited characteristics. Our fees for our ongoing management service as well as the services we provide are set out in the table overleaf: SERVICE XXXXX Xxxxx 0 Xxxxx 0 Xxxxx 0 Transactional only Annual statement of holdings ✓ ✓ ✓ ✓ Access to our support team ✓ ✓ ✓ Professional expertise and governance embedded into our investment processes ✓ ✓ ✓ Quarterly Portfolio Rebalancing Rebalancing* ✓ Six Monthly Portfolio Rebalancing Rebalancing* ✓ Annual Portfolio Rebalancing Rebalancing* ✓ Quarterly Valuations Valuations* ✓ ✓ Six Monthly Valuations Valuations* ✓ Annual Valuations Valuations* ✓ On-going Expert Support ✓ ✓ ✓ Quarterly Investment Bulletins Bulletins* ✓ ✓ ✓ On-going access to your adviser ✓ ✓ ✓ Regular Newsletters ✓ *✓ Six Monthly Review Meetings including *: including:* ✓ *Annual Review Meetings including*: :* ✓ *Review of Objective Objectives ✓ ✓ *Review of Risk Profile ✓ ✓ *Review of Asset Allocation (if required) ✓ ✓ *Review of Tax Changes ✓ ✓ *Updates & Valuations ✓ ✓ *Comprehensive Financial Health Check: ✓ Detailed Tax Planning(by way of a referral) Planning ✓ Estate Planning(if required) Planning ✓ Income / Expenditure Review and Forecasting ✓ Liaison with accountant / solicitor (if required) ✓ Minimum Cost £1000 £750 £150 500 £nil Cost based on the total value of your investments 1% 0.75% 0.5% £nil *Please be aware that if you quote a specific timescale for reviews you are providing a commitment that you will undertake them as per the terms quoted, please ensure before quoting any timescale that you are able to deliver as per the quoted frequencies. Where the value of your investments rises, then the fees for this service will increase, conversely, if the value of your investments falls, the cost of this service will decrease I/We would like to subscribe to the following ongoing service option: (please tick the appropriate box)) Transactional only Client Service Option

Ongoing Management Service. Your financial objectives may change over time due to changes in your lifestyle or circumstances. We believe it is essential to ensure that your portfolio continues to meet your lifestyle and investment objectives. Our ongoing review and management service offers: • Structured reviews to give you piece of mind • Assessment of your current circumstances and any changes to your plans that are needed • Regular updates and information regarding your holdings • A choice of differing levels of support depending on your needs • Ongoing support with correspondence and administration issues We recognise that all clients do not have the same service requirements therefore even though we do provide a guideline by way of our bandings you are free to choose the level of service that best suits your needs. Our charges are guaranteed not to increase within the first 12 months of your contract with us. Should we need to increase our charges after this period, you will be given notice of this fact and the opportunity to decide whether to continue with the revised level of charges. It should be noted that it is not compulsory for you to sign up to one of our services and we do offer a transactional only service which is free of charge but does provide limited characteristicsservices. Annual statement of holdings ✓ ✓ ✓ ✓    Access to our support team ✓ ✓ ✓   Professional expertise and governance embedded into our investment processes ✓ ✓ ✓ Quarterly   Regular Portfolio Rebalancing Six Monthly Portfolio Rebalancing Annual Portfolio Rebalancing ✓   Quarterly Valuations ✓ Six Monthly Valuations ✓ Annual Valuations ✓  On-going Expert Support ✓ ✓ ✓ Quarterly Investment Bulletins   On-going access to your adviser ✓ ✓ ✓ Regular Newsletters ✓ *Six Monthly Review Meetings including *: ✓ *Annual   Review Meetings including*: ✓ *  Review of Objective ✓ ✓ *Objectives   Review of Risk Profile ✓ ✓ *  Review of Asset Allocation (if required) ✓ ✓ *  Review of Tax Changes ✓ ✓ *  Updates & Valuations ✓ ✓ *  Comprehensive Financial Health Check: ✓  Detailed Tax Planning(by way of a referral) ✓ Planning  Estate Planning(if required) ✓ Income / Expenditure Review and Forecasting ✓ Planning  Liaison with accountant / solicitor (if required) ✓ Minimum Cost £1000 £750 £150 £nil Cost based on the total value of your investments  Initial 1% 0.75% 0.5Up to 3% £nil 100 per hour I/We would like to subscribe to the following ongoing service option: (please tick write a ‘Y’ in the appropriate box)

Ongoing Management Service. Your financial objectives may change over time due to changes in your lifestyle or circumstances. We believe it is essential to ensure that your portfolio continues to meet your lifestyle and investment objectives. Our ongoing review and management service offers: • Structured reviews to give you piece of mind • Assessment of your current circumstances and any changes to your plans that are needed • Regular updates and information regarding your holdings • A choice of differing levels of support depending on your needs • Ongoing support with correspondence and administration issues We recognise that all clients do not have the same service requirements therefore even though we do provide a guideline by way of our bandings you are free to choose the level of service that best suits your needs. Our charges are guaranteed not to increase within the first 12 months of your contract with us. Should we need to increase our charges after this period, you will be given notice of this fact and the opportunity to decide whether to continue with the revised level of charges. It should be noted that it is not compulsory for you to sign up to one of our services and we do offer a transactional only service which is free of charge but does provide limited characteristicsservices. Annual statement of holdings ✓ ✓ ✓ ✓    Access to our support team ✓ ✓ ✓   Professional expertise and governance embedded into our investment processes ✓ ✓ ✓ Quarterly   Regular Portfolio Rebalancing Six Monthly Portfolio Rebalancing Annual Portfolio Rebalancing ✓   Quarterly Valuations ✓ Six Monthly Valuations ✓ Annual Valuations ✓  On-going Expert Support ✓ ✓ ✓ Quarterly Investment Bulletins   On-going access to your adviser ✓ ✓ ✓ Regular Newsletters ✓ *Six Monthly Review Meetings including *: ✓ *Annual   Review Meetings including*: ✓ *  Review of Objective ✓ ✓ *Objectives   Review of Risk Profile ✓ ✓ *  Review of Asset Allocation (if required) ✓ ✓ *  Review of Tax Changes ✓ ✓ *  Updates & Valuations ✓ ✓ *  Comprehensive Financial Health Check: ✓  Detailed Tax Planning(by way of a referral) ✓ Planning  Estate Planning(if required) ✓ Income / Expenditure Review and Forecasting ✓ Planning  Liaison with accountant / solicitor (if required) ✓ Minimum Cost £1000 £750 £150 £nil Cost based on the total value of your investments  Initial 1% 0.75% 0.53% £nil 100 per hour I/We would like to subscribe to the following ongoing service option: (please tick write a ‘Y’ in the appropriate box)