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What is Sales Charge Waiver

The Sales Charge Waiver Addendum for Class A Shares is a business form used by clients to request a waiver on sales charges for additional investments into Class A shares of Sterling Capital Funds.

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Who needs Sales Charge Waiver?

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Sales Charge Waiver is needed by:

Clients investing in Class A shares
Investment counselors assisting clients
Financial advisors managing investments
Broker-dealers facilitating transactions
Compliance officers within financial institutions

How to fill out the Sales Charge Waiver

1.

To access the Sales Charge Waiver Addendum for Class A Shares on pdfFiller, visit the pdfFiller website and use the search function to locate the form by name.
2.

Once the form is open, familiarize yourself with the interface which allows you to click on fields to enter information.
3.

Before beginning to fill out the form, gather all necessary documents such as details of existing investments, Rights of Accumulation, Letter of Intent, and NAV Trades to ensure you have complete information.
4.

Start by entering your personal information in the designated fields on the form including your name, address, and any other required details.
5.

Next, provide information regarding your existing investments in Sterling Capital Funds and your future investment plans while ensuring all sections are completed accurately.
6.

Utilize checkboxes for eligibility criteria where applicable, and make sure to review your inputs to avoid common mistakes like omitting necessary details.
7.

Once all fields are completed, read through the entire form to ensure accuracy and completeness, focusing on any instructions provided within the form itself.
8.

To finalize the process, use the signature field to electronically sign the form, confirming your consent and agreement.
9.

After all steps are finished, save your completed form in pdfFiller, and download it for your records or to submit it to the relevant parties as needed.

FAQs

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Who is eligible to use the Sales Charge Waiver Addendum?

Clients who hold Class A shares of Sterling Capital Funds and plan to make additional investments are eligible to use this form. The addendum addresses specific criteria such as Rights of Accumulation and Letter of Intent.

Is there a deadline for submitting this form?

While specific deadlines can vary, it is important to submit the form prior to making additional investments to avoid any sales charges. Check with your investment counselor for specific timelines.

What are the submission methods for this form?

The completed Sales Charge Waiver Addendum can typically be submitted electronically through your financial institution’s platform, or you may need to send it by mail depending on your broker-dealer’s requirements.

What supporting documents should accompany this form?

It is advisable to have documentation regarding your current investments, including any confirmation statements or previous agreements related to Rights of Accumulation and Letters of Intent for a thorough submission.

What are common mistakes to avoid when filling out this form?

Common mistakes include omitting important information about existing investments, not signing the form, or incorrectly completing eligibility criteria. Always double-check your entries.

How long does processing take after submitting the form?

Processing times can vary by institution. Generally, it may take a few business days to process the Sales Charge Waiver Addendum once submitted. Contact your investment counselor for specific timelines.

Are there any fees associated with this waiver request?

No fees are typically associated with submitting the Sales Charge Waiver Addendum itself. However, it's best to confirm with your financial institution for any potential charges related to transactions.