Franklin Templeton International

Americas Offshore Sales Firm Profile

Firm Information

Full Legal Name of Firm
Jurisdiction of Organization
Legal Form of Entity
Legal Address
/ Street: / Suite No:
City: / State:
Country: / Zip Code:
Primary Contact Person
At the Address Listed Above / Name: / Title:
Phone: / Fax:
Email:
Website:

Contact Information

Home Office
/ Name: / Title:
Phone: / Fax:
Email:
Website:
Mailing Address:
Offshore Marketing/
Key Accounts / Name: / Title:
Phone: / Fax:
Email:
Website:
Mailing Address:
Legal/Compliance
/ Name: / Title:
Phone: / Fax:
Email:
Website:
Mailing Address:

Operational Information

  1. Self Clearing (if no list firm)?

Yes No If no, what Clearing Firm do you use?

  1. NSCC Participant Number
  1. NSCC Alpha Code

Operational Contacts

Management/ Primary Operational Contact
/ Name/Title: / Phone:
Email: / Fax:
Authorized Supervisor (Wiring Instructions)
/ Name/Title: / Phone:
Email: / Fax:
Authorized Supervisor (Wiring Instructions)
/ Name/Title: / Phone:
Email: / Fax:
Research
/ Name/Title: / Phone:
Email: / Fax:
Transaction Processing
/ Name/Title: / Phone:
Email: / Fax:
Dividends
/ Name/Title: / Phone:
Email: / Fax:
CDSC History/Rebating
/ Name/Title: / Phone:
Email: / Fax:
Order Room
/ Name/Title: / Phone:
Email: / Fax:

Current Assets under Management

  1. What are your Firm’s Total Assets under Management? (Amount, Currency)
  1. What are your Firm’s Assets under Management in non-US Funds? (Amount, Currency)
  1. What are your Firm’s Assets under Management in US Funds? (Amount, Currency)
  1. What are your Firm’s Assets under Management in Fixed Income Funds? (Amount, Currency)

Expected Relationship with Franklin Templeton Offshore Funds

  1. What are your Firm’s estimated sales of Franklin Templeton Offshore Funds over the following time frames? (Amount, Currency)

3 months: / 6 months: / 9 months: / 1 year:
  1. From what target market will these assets be raised? (Check all that apply)

Institutions Retail Clients Banking Channels Insurance Products Other

  1. Does your Firm transact with other offshore fund families? Yes No

If so, please list the offshore fund families:

Branch & Rep Information

Please provide the following:

  • A list of all branch offices (with addresses) that will conduct business with Franklin Templeton’s Americans Offshore Sales Division
  • A list of all Reps (with Rep numbers) that will conduct business with Franklin Templeton’s Americas Offshore Sales Division
  • An organizational chart for the departments listed in this questionnaire
  • Any additional information about your firm that your feel is relevant to this questionnaire

Wiring Instructions

NSCC: FTI:

Trading Instructions

Page 101/17/2019

USD Wiring Instructions
Bank Name
ABA
SWIFT
Account Number
FFC
EUR Wiring Instructions
Bank Name
ABA
SWIFT
Account Number
FFC

Page 101/17/2019

*If your firm would like to clear business in other currencies, please attach specific wiring instructions or contact Client Dealer Services at 1-800-239-3894 Franklin Templeton Investments supports trades denominated in the following currencies: USD, EUR, GBP, JPY, SGD

CommServ? Yes N

Commission Instructions

Page 101/17/2019

Front-End Commissions

Bank Name

ABA
SWIFT
Account Number
FFC
Trail Commissions

Bank Name

ABA
SWIFT
Account Number
FFC

Page 101/17/2019