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. Our fees for our ongoing management service as well as the services we provide are set out in the table overleaf: SERVICE LEVEL Premium Core Plus Core Transactional only BANDING N/A Annual statement of holdings    Access to our support team    Professional expertise and governance embedded into our investment processes    Regular Portfolio Rebalancing    Regular Valuations Qtrly Bi-Xxx Xxx Quarterly Investment Bulletins  On-going access to your adviser   Regular Newsletters   Review Meetings including:   Review of Objectives   Review of Risk Profile   Review of Asset Allocation (if required)   Review of Tax Changes   Access to online platform   Comprehensive Financial Health Check:  Detailed Tax Planning  Estate Planning/will writing/probate services  Retirement planning/illustrations  Liaison with accountant / solicitor (if required)  Financial reviews for offspring  Cost 1% of value of investments Minimum £1000 pa 0.75% of value of investments Minimum 500 pa 0.5% of value of investments Minimum £375 pa £125 per hour NB; should the number of hours included be used up and you request further work to be undertaken we will provide you with an estimate of how long any additional work will take and request your explicit consent before proceeding. Service Options

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 LEVEL Premium Core Plus Core XXXXX Xxxxx 0 Xxxxx 0 Xxxxx 0 Transactional only BANDING £100,001+ £50,001 to £100,00 £0 to £50,000 N/A Annual statement of holdings    ✓ ✓ ✓ ✓ Access to our support team    ✓ ✓ ✓ Professional expertise and governance embedded into our investment processes    Regular ✓ ✓ ✓ Quarterly Portfolio Rebalancing    Regular Valuations Qtrly BiRebalancing* ✓ Six Monthly Portfolio Rebalancing* ✓ Annual Portfolio Rebalancing* ✓ Quarterly Valuations* ✓ ✓ Six Monthly Valuations* ✓ Annual Valuations* ✓ On-Xxx Xxx going Expert Support ✓ ✓ ✓ Quarterly Investment Bulletins  Bulletins* ✓ ✓ ✓ On-going access to your adviser   ✓ ✓ Regular Newsletters   ✓ ✓ Six Monthly Review Meetings including:   :* ✓ Annual Review Meetings including:* ✓ Review of Objectives   ✓ ✓ Review of Risk Profile   ✓ ✓ Review of Asset Allocation (if required)   ✓ ✓ Review of Tax Changes   Access to online platform   ✓ ✓ Updates & Valuations ✓ ✓ Comprehensive Financial Health Check:  ✓ Detailed Tax Planning  ✓ Estate Planning/will writing/probate services  Retirement planning/illustrations  Planning ✓ Income / Expenditure Review and Forecasting ✓ Liaison with accountant / solicitor (if required)  Financial reviews for offspring  ✓ Minimum Cost £1000 £750 £500 £nil Cost based on the total value of your investments 1% of 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 Minimum £1000 pa 0.75% of rises, then the fees for this service will increase, conversely, if the value of your investments Minimum 500 pa 0.5% falls, the cost of value of investments Minimum £375 pa £125 per hour NB; should this service will decrease I/We would like to subscribe to the number of hours included be used up and you request further work to be undertaken we will provide you with an estimate of how long any additional work will take and request your explicit consent before proceeding. following ongoing service option: (please tick the appropriate box) Transactional only Client Service OptionsOption

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: 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 SERVICE LEVEL Premium Core Plus Core XXXXX Xxxxx 0 Xxxxx 0 Xxxxx 0 Transactional only BANDING £100,001+ £50,001 to £100,00 £0 to £50,000 N/A Annual statement of holdings    ✓ ✓ ✓ ✓ Access to our support team    ✓ ✓ ✓ Professional expertise and governance embedded into our investment processes    Regular ✓ ✓ ✓ Quarterly Portfolio Rebalancing    Regular Six Monthly Portfolio Rebalancing Annual Portfolio Rebalancing ✓ Quarterly Valuations Qtrly Bi✓ Six Monthly Valuations ✓ Annual Valuations ✓ On-Xxx Xxx 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 Objectives   Objective ✓ ✓ *Review of Risk Profile   ✓ ✓ *Review of Asset Allocation (if required)   ✓ ✓ *Review of Tax Changes   Access to online platform   ✓ ✓ *Updates & Valuations ✓ ✓ *Comprehensive Financial Health Check:  ✓ Detailed Tax Planning  Planning(by way of a referral) ✓ Estate Planning/will writing/probate services  Retirement planning/illustrations  Planning(if required) ✓ Income / Expenditure Review and Forecasting ✓ Liaison with accountant / solicitor (if required)  Financial reviews for offspring  ✓ Minimum Cost £1000 £750 £150 £nil Cost based on the total value of your investments 1% of value of investments Minimum £1000 pa 0.75% of value of investments Minimum 500 pa 0.5% of value of investments Minimum £375 pa £125 per hour NB; should nil I/We would like to subscribe to the number of hours included be used up and you request further work to be undertaken we will provide you with an estimate of how long any additional work will take and request your explicit consent before proceeding. Service Optionsfollowing 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 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. Our fees for our ongoing management service as well as the services we provide are set out in the table overleaf: SERVICE LEVEL Wealth Premium Core Plus Core Transactional only BANDING N/A Annual statement of holdings    Access to our support team    Professional expertise and governance embedded into our investment processes    Regular Portfolio Rebalancing   Quarterly Valuations  Regular Valuations Qtrly BiOn-Xxx Xxx Quarterly Investment Bulletins going Expert Support   On-going access to your adviser   Regular Newsletters   Review Meetings including:   Review of Objectives   Review of Risk Profile   Review of Asset Allocation (if required)   Review of Tax Changes   Access to online platform Updates & Valuations   Comprehensive Financial Health Check:  Detailed Tax Planning  Estate Planning/will writing/probate services  Retirement planning/illustrations Planning  Liaison with accountant / solicitor (if required)  Financial reviews for offspring  Cost Initial 1% of value of investments Minimum Up to 3% £1000 pa 0.75100 per hour Annual Up to 1% of value of investments Minimum 500 pa 0.5% of value of investments Minimum £375 pa £125 per hour NB; should nil I/We would like to subscribe to the number of hours included be used up and you request further work to be undertaken we will provide you with an estimate of how long any additional work will take and request your explicit consent before proceeding. Service Optionsfollowing ongoing service option: (please 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 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 and we do offer a transactional only service which is free of charge but does provide limited characteristicsservices. Our fees for our ongoing management service as well as the services we provide are set out in the table overleaf: SERVICE LEVEL Premium Core Plus Core Xxxxx 0 Xxxxx 0 Xxxxx 0 Transactional only BANDING N/A Annual statement of holdings Only Ongoing access to your personal adviser   Ongoing access to an adviser    Access Ongoing access to our support team     On request statement of holdings    Professional expertise and governance embedded into our investment processes    Regular Portfolio Rebalancing    Regular Valuations Qtrly Bi-Xxx Xxx Quarterly Investment Bulletins  On-going access to your adviser administration support    Regular Newsletters    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 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   Access to online platform   Comprehensive Financial Health Check:   Detailed Tax Planning  Estate Planning/will writing/probate services Planning  Retirement planning/illustrations Income / Expenditure Review and Forecasting   Cash Flow Modelling  Liaison with accountant / solicitor (if required)  Financial reviews for offspring  Cost 1% of based on the total value of investments Minimum £1000 pa 0.75% of value of investments Minimum 500 pa your investments* 0.5% of value of investments 0.45% 0.4% £ nil Minimum Cost £375 pa 500 £125 per hour NB; should 335 £200 £ nil We list here 3 examples to the number of hours included above charges to help you understand how these would be used up and you request further work to be undertaken we will provide you with an estimate of how long any additional work will take and request your explicit consent before proceeding. Service Optionsapplied;

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. Our fees for our ongoing management service as well as the services we provide are set out in the table overleaf: SERVICE LEVEL Wealth Premium Core Plus Core Transactional only BANDING N/A Annual statement of holdings    Access to our support team    Professional expertise and governance embedded into our investment processes    Regular Portfolio Rebalancing   Quarterly Valuations  Regular Valuations Qtrly BiOn-Xxx Xxx Quarterly Investment Bulletins going Expert Support   On-going access to your adviser   Regular Newsletters   Review Meetings including:   Review of Objectives   Review of Risk Profile   Review of Asset Allocation (if required)   Review of Tax Changes   Access to online platform Updates & Valuations   Comprehensive Financial Health Check:  Detailed Tax Planning  Estate Planning/will writing/probate services  Retirement planning/illustrations Planning  Liaison with accountant / solicitor (if required)  Financial reviews for offspring  Cost Initial 1% of value of investments Minimum 3% £1000 pa 0.75100 per hour Annual 1% of value of investments Minimum 500 pa 0.5% of value of investments Minimum £375 pa £125 per hour NB; should nil I/We would like to subscribe to the number of hours included be used up and you request further work to be undertaken we will provide you with an estimate of how long any additional work will take and request your explicit consent before proceeding. Service Optionsfollowing ongoing service option: (please write a ‘Y’ in the appropriate box)