individual.compliance.pack

8/12/2019 INDIVIDUAL.compliance.pack

1/13

[INSERT APPLICANT LETTERHEAD IN THIS HEADER SPACE]

DOCUMENTATION ENCLOSED (SF-B)

INDIVIDUAL ENTRY

DATE: March 30, 2014 TO: Trade Auh!r"# $ Pr!%ra& Ma'a%er

RE: Par"c"(a"!' "' Srucured Pr")ae *"'a'c"a+ O((!ru'"#

CLIENT INFORMATION SUMMARY

LETTER OF INTENT

LETTER OF CEASE & DESIST CONFIRMATION LETTER OF NON-SOLICITATION & REQUEST

AUTHORIZATION TO VERIFY FUNDS/INSTRUMENT

SIGNATORY'S 140 !ASS!ORT SCAN IN "!DF#

!ROOF OF FUNDS OR BAN$ "R%A# REINSTRUMENT

LETTER OF LIAISON AUTHORITY FORTRANSLATOR

!LEASE NOTE THE FOLLO%ING INSTRUCTIONS

CLIENT TO ENTER "TRANSACTION CODE# %HERE

REQUESTED

ONLY BLUE "%ET IN$# SIGNATURES/INITIALS

ACCE!TED

ATTACH FULL !AGE !ASS!ORT & BAN$

STATEMENT SCANS AS SE!ARATE FILES SMALLTY!E & !HOTO MUST BE CLEAR

!LEASE !ROVIDE (10 D!I) '!DF' SCANS/FILES

NOT !G

DON#T DELETE ANY TE*T IF NOT A!!LICABLE+

ENTER 'N/A'

BAN$ STATEMENT+ !ASS!ORT+ INSTRUMENT

CO!IES MUST BE NOTARIZED AS BEING A "TRUECO!Y# OF THE ORIGINAL

A!!LICANT INITIALS PA-E 1 O* 13


2/13


3/13


CLIENT INFORMATION SUMMARY

D,.,23Th". d!cu&e' &u. /e u++# c!&(+eed " a +"'e "e& d!e. '! a((+# !#!u, he' "'.er he er&: N$A '!a((+"ca/+e5 DO NOT DEETE !N" TE#T

Per.!'a+ I'!r&a"!' 6P+ea.e aach 7N!ar"8ed9 c!(# ! Pa..(!r (+u. 2 "+"# ;"++.5

*"r. Na&e:M"dd+e Na&e:La. Na&e:-e'der:

Dae ! ;"rh:S!c"a+ Secur"# Nu&/er:C!u'r# ! C""8e'.h"(:

Pa..(!r Nu&/er:Dae ! I..ue:Dae ! E


4/13


*u++ Na&e:C!&(a'#:Addre..:C"#:Sae:C!u'r#:P!.a+ C!de:Te+e(h!'e Nu&/er:*a< Nu&/er:E&a"+ Addre..:

;a'= I'!r&a"!' 6P+ea.e aach curre' daed Acc!u' Sae&e' r!& /a'=5

;a'= Na&e Bhere u'd.$I'.ru&e' are curre'+# !' de(!."5:Sree Addre..:C"#:Sae:C!u'r#:P!.a+ C!de:

Acc!u' Na&e:Acc!u' Nu&/er:S!r C!de A;A N!@:SI*T C!de:

Acc!u' S"%'a!r# 15:Acc!u' S"%'a!r# 25:

;a'= O"cer 1 Na&e:;a'= O"cer 2 Na&e:Te+e(h!'e Nu&/er:*a< Nu&/er:

C+"e' Acc!u' Bhere Pr!". ! /e (a"d

;a'= Na&e:

Sree Addre..:C"#:Sae:C!u'r#:P!.a+ C!de:

Acc!u' Na&e:Acc!u' Nu&/er:



5/13


S!r C!de A;A N!@:SI*T C!de:

;a'= O"cer Na&e:Te+e(h!'e Nu&/er:*a< Nu&/er:

I')e.&e'

*u'd. a&!u'$curre'c#5 a)a"+a/+e !r h". ra'.ac"!'>:

I I'.ru&e' de.cr"/e5 "..ued /# /a'= 'a&e$c"#$c!u'r#5>:

Or"%"' ! *u'd.$A..e. H!B *u'd.$A..e. Bere ear'ed !r acFu"red %")e dea"+.5>:

Are he.e *u'd.$A..e. ree a'd c+ear ! a++ +"e'., e'cu&/ra'ce. a'd h"rd (ar#"'ere..>:

I, (NAME), here/# .Bear u'der (e'a+# ! (erGur#, ha he "'!r&a"!' (r!)"ded here"'". accurae a'd rue a. ! h". dae: March 30, 2014

*!r a'd !' /eha+ ! (NAME OF INDIVIDUAL)

S"%'aure: ;+ue 7e I'=9 S"%'aure5

Na&e:Pa..(!r Nu&/er:Dae ! I..ue:Dae ! E


6/13


INESTOR TRANSACTION CODE: c+"e' ! a.."%'5

Dear S"r,

I, (NAME), he u'der."%'ed, here/# c!'"r& u'der (e'a+# ! (erGur#, u++c!&&"&e' a'd a%ree&e' ! (ar"c"(ae "' a' "')e.&e' !((!ru'"#, .u/Gec ! acce(a'ce ! he er&., c!'d""!'. a'd (r!cedure. ha .ha++ /e !u+"'ed "' he Pr")aeP+ace&e' Pr!%ra&@

*urher&!re, I here/# Barra' a'd re(re.e' ha I ha)e a)a"+a/+e !r (+ace&e' "'!he (r!(!.ed "')e.&e', he .u& ! (S!ELL AMOUNT)Eur!$'"ed Sae. D!++ar.(55555+000+00000 USD/E6) ! c+ea', c+ear u'd., ree ! a'# +e)#, +"e'. !re'cu&/ra'ce. a'd ! '!'cr"&"'a+ !r"%"', a'd hereB"h aach d!cu&e'ar# e)"de'ce! .a&e@

$urthermore, % hereby &arrant and represent that % have available for placement intothe proposed investment, a 'type of instrument( issued by 'name of ban)*country( &itha face value of (SE!! "#O$NT%Euro*+nited tates Dollars (&''''')))))).))$S*+Euro%bac)ed by clean, clear funds, free of any levy, liens or encumbrances andof non-criminal origin, and here&ith attach documentary evidence of same.

I here/# Barra' a'd re(re.e' ha he Ru+e ! *u++d".c+!.ure ha. e.a/+".hed he.eu'd.$a..e. Bere +e%a++# !/a"'ed r!& '!'cr"&"'a+ /u."'e.. !r ac"!'.@ I urherc!'"r& I a& he /e'e"c"a+ !B'er ! he.e ca.h u'd.$a..e. a'd ha I ha)e u++."%'a!r# auh!r"# a'd c!'r!+ here!, a'd ha .uch u'd.$a..e. are a)a"+a/+e !r

"&&ed"ae (+ace&e' a 37. d".cre"!'@

I c!'"r& a'd ac='!B+ed%e, B"h u++ re.(!'."/"+"#, ha 'e"her #!ur c!&(a'# '!ra'#!'e B!r="'% !' #!ur /eha+ ha. .!+"c"ed &eJ ha he d!cu&e'. ha I .ha++ rece")e.ha++ '! /e dee&ed ! /e a .!+"c"a"!' ! u'd.$a..e. "' c!''ec"!' B"h a'"')e.&e' (r!%ra&J a'd, ha I a& a((r!ach"'% #!u )!+u'ar"+# !r he (ur(!.e !.ecur"'% (ar"c"(a"!' "' a /!'a "de Secure Pr")ae P+ace&e' Pr!%ra&@

I a& (re(ared ! "'.ruc /a'= ! ac u(!' he u'd.$a..e. a. reFu"red (ur.ua' !he .(ec""c. ! h". (r!%ra&@ I' he ca.e ! ;+!c=ed *u'd.$A..e., " ". u'der.a'd"'% he u'd.$a..e. B"++ /e /+!c=ed a'd !r re.er)ed "' he acc!u' a'd he#

B"++ re&a"', a a++ "&e., '!'ca++a/+e@

I here/# reFue. "'!r&a"!' r!& #!u c!)er"'% he er&., c!'d""!' a'd (r!cedure. !a .ecured "')e.&e' a'd +!!= !rBard ! c!&&e'c"'% he ra'.ac"!', u(!' acce(a'ce ! he a%ree&e'@

A!!LICANT INITIALS PA-E K O* 13


7/13


E&a"+, ac."&"+e c!("e. !r (h!!c!("e. ! d!cu&e'. !r a%ree&e'. (era"'"'% ! h"..u/Gec are dec+ared a'd re%arded a. )a+"d a'd eFua+ ! he !r"%"'a+, (r!)"ded he# arere(re.e'ed /# (r!(er ."%'a!r"e.@ Or"%"'a+. &a# /e !/a"'ed u(!' reFue.@

I, (NAME), here/# .Bear u'der (e'a+# ! (erGur#, ha he "'!r&a"!' (r!)"ded here"'". accurae a'd rue a. ! h". dae: March 30, 2014



Na&e:

Pa..(!r Nu&/er:Dae ! I..ue:Dae ! E


8/13


LETTER OF CEASE & DESIST CONFIRMATION

DATE:March 30, 2014TO: Trade Auh!r"# $ Pr!%ra& Ma'a%erRE: Par"c"(a"!' "' Srucured Pr")ae *"'a'c"a+ O((!ru'"#


Dear S"r,

I, (NAME), /ear"'% (COUNTRY)Pa..(!r N!@ (NUMBER), du+# auh!r"8ed %")e '!"ce! ha)e Cea.e a'd De.". a'd a'#$!her %r!u( (re)"!u. %r!u( a((r!ached "' he (a.

re%ard"'% !ur$ "+e.

I, (NAME), &a=e a c+ear .ae&e' a'd c!'"r& u'der r".= a'd (e'a+# ! (erGur# '! !ha)e a'# !her e'""e., a..!c"a"!'., "'a'c"a+ "'."u"!'., a"+"ae., "'er&ed"ar"e.,%r!u(. !r !her. B"h $!ur (er&".."!' '!r a'# .(ec""c auh!r"8a"!' ! ha'd+e '!r(r!ce.. a'# !'e ! $!ur d!cu&e'. a. r!& March 30, 2014

A'd haJ A++ (re)"!u. e'""e., a..!c"a"!'., "'a'c"a+ "'."u"!'., a"+"ae.,"'er&ed"ar"e., %r!u(. !r !her., ha)e /ee' '!""ed ! .uch, /# he c!rre.(!'de'!"c"a+ Cea.e a'd De.". Leer c!&&u'"ca"!'@ Th". e


9/13


LETTER OF NON-SOLICITATION & REQUEST



Dear S"r,

I, (NAME), he u'der."%'ed, here/# c!'"r& ha I ha)e reFue.ed ! #!u a'd #!ur!r%a'"8a"!' .(ec""c c!'"de'"a+ "'!r&a"!' a'd d!cu&e'a"!' !' /eha+ !

!ur.e+)e.@ I here/# dec+are ha I a& u++# aBare ! he "'!r&a"!' rece")ed r!& #!u "."' d"rec re.(!'.e ! reFue., a'd ". '! "' a'# Ba# c!'."dered !r "'e'ded ! /e a.!+"c"a"!' ! u'd. ! a'# .!r, !r a'# #(e ! !er"'%, a'd ". "'e'ded !r !ur %e'era+='!B+ed%e !'+#@ I here/# a"r& u'der (e'a+# ! (erGur# ha #!u ha)e '! .!+"c"ed "'a'# Ba#@ I u'der.a'd ha he c!'e&(+aed ra'.ac"!' ". .r"c+# !'e ! (r")ae(+ace&e', a'd ". "' '! Ba# re+#"'% !' !r re+aed ! he '"ed Sae. Secur""e. Ac !133, a. a&e'ded !r re+aed re%u+a"!'., a'd d!e. '! "')!+)e he .a+e ! .ecur""e.@Tha a"a' &a=e. h". a"da)" ='!B"'% ha he rec"("e'. B"++ re+# !' he c!'e'.here!, a'd a%ree. ! "'de&'"# a'd h!+dhar&+e.. a++ rec"("e'. a'd a++ !her (ar"e. "'c+ud"'% "'er&ed"ar"e. a%a"'. a'# a'd a++ c+a"&. re.u+"'% r!& a'# a((+"ca'&".re(re.e'a"!' ! a &aer"a+ ac !r a'# +!.. ! a..e )a+ue !r a'# ac +e%a+ !r '!5

! a /a'= !r !her "'a'c"a+ "'."u"!', %!)er'"'% auh!r"# !r a%e'c#, he *edera+Re.er)e !r a' !"c"a+ !r !her "'."der ! a'# .uch e'"#@ *urher, I here/# dec+are Beare '! +"ce'.ed /r!=er. !r %!)er'&e' e&(+!#ee., a'd u'der.a'd ha 'e"her are#!u !r #!ur !r%a'"8a"!'@ e &uua++# a%ree ha h". (r")ae (+ace&e' ra'.ac"!' ".e


10/13


AUTHORIZATION TO VERIFY FUNDS/ASSETS

DATE:March 30, 2014TO: Trade Auh!r"# $ Pr!%ra& Ma'a%erRE: Auh!r"8a"!' ! er"#


'!B a++ &e', /# he.e (re.e' ha I, (NAME)a he addre.. .h!B' a/!)e, %")e #!uc+ear '!"ce ha #!u ha)e d"rec (er&".."!' a'd u++ auh!r"# ! d! a++ &aer.'ece..ar# ! c!'"r&, )er"# a'd auhe'"cae /e'e"c"a++# !B'ed ca.h u'd. a'd$!ra((+"ca"!' a..e.5 a'd ". a..!c"aed %!!d .a'd"'% acc!u' .au., "' a' a&!u' !

(S!ELL AMOUNT) Eur!$'"ed Sae. D!++ar. (55555+000+00000 USD/E6) (ORDESCRIBE INSTRUMENT) !' a /a'=!/a'= /a.".@ The /e+!B .aed /e'e"c"a++#!B'ed acc!u' ". ! %!!d, c+ea', a'd c+eared ca.h u'd. !/a"'ed )"a +e%a+ &ea'.,a'd ". curre'+# a)a"+a/+e a he /a'= c!!rd"'ae. /e+!B:

Ca.h$I'.ru&e' A&!u': (555+000+00000 USD/E6);a'= Na&e: (NAME OF THE BAN$),;a'= Addre.. (ADDRESS OF BAN$)Acc!u' Na&e: (ACCOUNT NAME)Acc!u' Nu&/er: (ACCOUNT NUMBER)Acc!u' S"%'a!r#: (ACCOUNT SIGNATORY)

;a'= O"cer !' he Acc!u': (OFFICER NAME & TITLE)

(A COPY OF THIS AUTHORIZATION WILL BE PRESENTED AND LODGED WITH MY BANKOFFICER)

I' B"'e.. here! I, (NAME), here/# .Bear u'der (e'a+# ! (erGur#, ha he"'!r&a"!' (r!)"ded here"' ". accurae a'd rue a. ! h". dae: March 30, 2014



Na&e:Pa..(!r Nu&/er:C!u'r# ! I..ua'ce:

CC (NAME OF BAN$ & BAN$ OFFICER)



11/13


!ASS!ORT INSTRUCTIONS

PROIDE A HI-H ALIT PD* COLOR SCAN, ENLAR-ED TO 140Q SO THEPHOTO AND SI-NATRE PA-ES *ILL AN 11 INCH PA-E SIE IN THE

PORTRAIT *ORMAT@

THE PHOTO AND SMALL TPE MST ;E CLEAR AND EAS TO READ@

ATTACH THE !ASS!ORT AS A 'SE!ARATE' !DF FILE

LEAVE THIS S!ACE BLAN$



12/13


!ROOF OF FUNDS & INSTRUMENT INSTRUCTIONS

PLEASE PROIDE A CRRENT DATED NSANITIED5 7;AN STATEMENT9 OR7TEAR SHEET9, NO OLDER THAN *IE 5 DAS AS AN ACCEPTA;LE PROO* O**NDS@ PLEASE SCAN IN PD* AND ATTACH AS A SEPARATE *ILE@

A ;AN CAPA;ILIT LETTER ;CL5, CERTI*ICATE O* ACCONT ORCON*IRMATION O* *NDS AS A ;AN LETTER, SI-NED ; TO ;ANO**ICERS5, MA ALSO ;E INCLDED, ;T ONL AS SPPLEMENTAL ;ANIN*ORMATION@

I* S;MITTIN- A 7*INANCIAL INSTRMENT9 PLEASE ATTACH A HI-HALITPD* COLOR SCAN O* THE 7ORI-INAL9 DOCMENT *RONT U ;AC ASSEPARATE PD* *ILES@

ATTACH BAN$ STATEMENT / TEAR SHEET AS A 'SE!ARATE' !DF FILE

LEAVE THIS S!ACE BLAN$

LETTER OF LIAISON & COMMUNICATIONS AUTHORITY



13/13




Dear S"r,

I, (NAME), /ear"'% (COUNTRY) Pa..(!r N!@ (NUMBER), du+# auh!r"8ed a'd u+++e%a+ re(re.e'a")e d"rec!r !r a'd !' /eha+ ! (NAME OF COM!ANY), here/#auh!r"8e (TRANSLATOR NAME), /ear"'% (COUNTRY) Pa..(!r N!@ (NUMBER)ha)"'% he /e+!B c!'ac dea"+., ! ac a. !"c"a+ +"a".!' "' .uch &aer. ! carr# !uhe du# a'd re.(!'."/"+"# a. (r"&ar# c!'ac ! c!!rd"'ae c!&&u'"ca"!' a'd rece")ec!("e. ! a++ Br"e' a'd e+e(h!'"c c!&&u'"ca"!' re%ard"'% he a/!)e ra'.ac"!' a. Id! '! .(ea= E'%+".h a'd he ". !"c"a+ ra'.+a!r@ A 89 : ;. T

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