美国爱国者法案USAPAWord格式文档下载.docx
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美国爱国者法案USAPAWord格式文档下载.docx
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3.SectionD–IndirectUseofCorrespondentAccounts–thisboxmustbecheckedasconfirmation/certificationthatyouwillnotuseanyaccountswithustodirectlyorindirectlyprovidefinancialservicestoashellbank。
4.SectionE–OwnershipInformation–youmustchooseoneoftheboxesindicated.Ifneither1nor2apply,youmustcheckbox3。
Ifnoneoftheownersmeetthedefinitionasindicatedinthissection,pleasemarkasN/Aornil.
5.SectionF–ProcessAgent–youmustindicateaU.S.personorentitydesignatedtoacceptlegalserviceintheU.S.onyourinstitution’sbehalf。
6.SectionG–General–pleaseread,completeandsignasindicatedontheform
PleasereviewthecompletedCertificationpriortosending.TheCertificationmustbefullycompletedinorderforustoacceptandapprove.AllnecessaryboxesmustbecheckedandaU.S.ProcessAgentmustbedesignatedonallCertifications。
WestronglyrecommendthatyouprovideuswithasinglecertificationthatcoversalltheU。
S.CoveredFinancialInstitutionsintheJPMorganChasefamily.ThismeansprovidinguswithanAppendixAthathasthefirstboxunderSectionBmarked。
APPENDIXATOSUBPARTIOFPART103–
CERTIFICATIONREGARDINGCORRESPONDENTACCOUNTS
FORFOREIGNBANKS
[OMBControlNumber1505—0184]
TheinformationcontainedinthisCertificationissoughtpursuanttoSections5318(j)
and5318(k)ofTitle31oftheUnitedStatesCode,asaddedbysections313and319(b)ofthe
USAPATRIOTActof2001(PublicLaw107—56).
ThisCertificationshouldbecompletedbyanyforeignbankthatmaintainsacorrespondent
accountwithanyU。
S。
bankorU.S.broker-dealerinsecurities(acoveredfinancialinstitution
asdefinedin31C.F。
R.103.175(f))。
Anentitythatisnotaforeignbankisnotrequiredto
completethisCertification.
AforeignbankisabankorganizedunderforeignlawandlocatedoutsideoftheUnitedStates
(seedefinitionat31C。
F。
R.103.11(o))。
Abankincludesoffices,branches,andagenciesof
commercialbanksortrustcompanies,privatebanks,nationalbanks,thriftinstitutions,credit
unions,andotherorganizationscharteredunderbankinglawsandsupervisedbybanking
supervisorsofanystate(seedefinitionat31C。
F.R。
103.11(c))。
*
ACorrespondentAccountforaforeignbankisanyaccounttoreceivedepositsfrom,make
paymentsorotherdisbursementsonbehalfofaforeignbank,orhandleotherfinancial
transactionsrelatedtotheforeignbank。
SpecialinstructionforforeignbranchesofU。
banks:
AbranchorofficeofaU.S.bankoutside
theUnitedStatesisaforeignbank。
Suchabranchorofficeisnotrequiredtocompletethis
CertificationwithrespecttoCorrespondentAccountswithU。
S.branchesandofficesofthesame
U.S.bank.
SpecialinstructionforcoveringmultiplebranchesonasingleCertification:
AforeignbankmaycompleteoneCertificationforitsbranchesandofficesoutsidetheUnitedStates.The
Certificationmustlistallofthebranchesandofficesthatarecoveredandmustincludethe
informationrequiredinPartCforeachbranchorofficethatmaintainsaCorrespondentAccount
withaCoveredFinancialInstitution.Useattachmentsheetsasnecessary.
A.Theundersignedfinancialinstitution,_BANKOFNINGXIA__(“Foreign
Bank”)herebycertifiesasfollows:
B.CorrespondentAccountsCoveredbythisCertification:
Checkonebox.
ThisCertificationappliestoallaccountsestablishedforForeignBankbyCovered
FinancialInstitutions。
ThisCertificationappliestoCorrespondentAccountsestablishedby_______________forForeignBank。
C.PhysicalPresence/RegulatedAffiliatedStatus:
Checkoneboxandcompletetheblanks.
ForeignBankmaintainsaphysicalpresenceinanycountry。
Thatmeans:
∙ForeignBankhasaplaceofbusinessatthefollowingstreetaddress:
NO。
157BEIJINGZHONGLUYINCHUANNINGXIACHINA,where
ForeignBankemploysoneormoreindividualsonafull-timebasisand
maintainsoperatingrecordsrelatedtoitsbankingactivities。
∙Theaboveaddressisin_CHINA________________________(insertcountry),where
ForeignBankisauthorizedtoconductbankingactivities。
∙ForeignBankissubjecttoinspectionbyCHINABANKINGREGULATORYCOMMISSION_______________________,(insert
BankingAuthority),thebankingauthoritythatlicensedForeignBankto
conductbankingactivities。
ForeignBankdoesnothaveaphysicalpresenceinanycountry,butForeignBank
isaregulatedaffiliate.Thatmeans:
∙ForeignBankisanaffiliateofadepositoryinstitution,creditunion,ora
foreignbankthatmaintainsaphysicalpresenceatthefollowingstreetaddress:
_________________________________,whereitemploysoneormore
personsonafull-timebasisandmaintainsoperatingrecordsrelatedtoits
bankingactivities.
∙Theaboveaddressisin____________________________________(insertcountry),wherethedepositoryinstitution,creditunion,orforeignbankisauthorizedtoconductbankingactivities.
∙Foreignbankissubjecttosupervisionby________________________(insertBankingAuthority),thesamebankingauthoritythatregulatesthedepositoryinstitution,creditunion,orforeignbank。
ForeignBankdoesnothaveaphysicalpresenceinacountryandisnota
regulatedaffiliated。
D.IndirectUseofCorrespondentAccounts:
Checkboxtocertify.
NoCorrespondentAccountmaintainedbyaCoveredFinancialInstitutionmay
beusedtoindirectlyprovidebankingservicestocertainforeignbanks。
ForeignBankherebycertifiesthatitdoesnotuseanyCorrespondentAccount
withaCoveredFinancialInstitutiontoindirectlyprovidebankingservicesto
anyforeignbankthatdoesnotmaintainaphysicalpresenceinanycountryand
thatisnotaregulatedaffiliate。
E.OwnershipInformation:
Checkbox1or2below,ifapplicable。
1.
FormFRY—7isonfile.ForeignBankhasfiledwiththeFederalReserve
BoardacurrentFormFRY-7andhasdiscloseditsownershipinformationon
Item4ofFormFRY—7.
2.
ForeignBank’ssharesarepubliclytraded。
Publiclytradedmeansthatthe
sharesaretradedonanexchangeoranorganizedover—the-countermarketthat
isregulatedbyaforeignsecuritiesauthorityasdefinedinsection3(a)(50)of
theSecuritiesExchangeActof1934(15U.S.C。
78c(a)(50)).
Ifneitherbox1or2ofPartEischecked,completeitem3below,ifapplicable.
3.
ForeignBankhasnoowner(s)exceptassetforthbelow.ForpurposesofthisCertification,ownermeansanypersonwho,directlyorindirectly,(a)owns,controls,orhasthepowertovote25percentormoreofanyclassofvotingsecuritiesorothervotinginterestsofForeignBankor(b)controlsinanymannertheelectionofamajorityofthedirectors(orindividualsexercisingsimilarfunctions)ofForeignBank.ForpurposesofthisCertification,(i)personmeansanyindividual,bank,corporation,partnership,limitedliabilitycompanyoranyotherlegalentity;
(ii)votingsecuritiesorothervotinginterestsmeanssecuritiesorotherintereststhatentitletheholdertovotefororselectdirectors(orindividualsexercisingsimilarfunctions);
and(iii)membersofthesamefamily*shallbeconsideredoneperson.
Name
Address
Thereisnoownerwhodirectlyandindirectlyowns,controlsandhasthepowertovote25percentormore
F.ProcessAgent:
Completethefollowing:
Thefollowingindividualorentity:
_
CORPORATIONSERVICECOMPANY____________________________________
isaresidentoftheUnitedStatesatthefollowingstreetaddress:
2711CENTERVILLEROADWILMINGTON,DE19808___________________________________and
isauthorizedtoacceptserviceoflegalprocessonbehalfofForeignBankfromthe
SecretaryoftheTreasuryoftheAttorneyGeneraloftheUnitedStatespursuanttoSection
5318(k)oftitle31,UnitedStatesCode.
G.
General
ForeignBankherebyagreestonotifyinwritingeachCoveredFinancialInstitutionat
whichitmaintainsanyCorrespondentAccountofanychangeinfactsorcircumstances
reportedinthisCertification.Notificationshallbegivenwithin30calendardaysofsuch
change。
ForeignBankunderstandsthateachCoveredFinancialInstitutionatwhichitmaintainsa
CorrespondentAccountmayprovideacopyofthisCertificationtotheSecretaryofthe
TreasuryandtheAttorneyGeneraloftheUnitedStates。
ForeignBankfurther
understandsthatthestatementscontainedinthisCertificationmaybetransmittedtoone
ormoreDepartmentsoragenciesoftheUnitedStatesofAmericaforthepurposeof
fulfillingsuchdepartments’andagencies’governmentalfunctions。
I,_
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