美国爱国者法案usapa

1、INSTRUCTIONS FOR COMPLETING THE CERTIFICATION Appendix A Certification Regarding Correspondent Accounts For Foreign Banks Must be completed if the original Certification provided was a different version of the Certification enclosed in this packet. If you have a global certification (one certification for all accounts your institution maintains at any U.S. covered financial institution) and maintain this certification on your website or have posted your Certification with Bankers Almanac, you ne

2、ed only provide us with the link. 1. Section B a.The first box allows you to fill out one certification for all accounts your institution maintains at any U.S. covered financial institution. OR b. The second box requires that you identify a specific U.S. covered financial institution and only that institution can rely on the certification. 2. Section C Physical Presence you must include the full physical address (no P.O. Boxes), country and Banking Authority for each location you wish to cover w

3、ith the Certification. Completing multiple pages with Section C or using the attached location/branch listing can accomplish this. 3. Section D Indirect Use of Correspondent Accounts this box must be checked as confirmation/certification that you will not use any accounts with us to directly or indirectly provide financial services to a shell bank. 4. Section E Ownership Information you must choose one of the boxes indicated. If neither 1 nor 2 apply, you must check box 3. If none of the owners

4、meet the definition as indicated in this section, please mark as N/A or nil. 5. Section F Process Agent you must indicate a U.S. person or entity designated to accept legal service in the U.S. on your institutions behalf. 6. Section G General please read, complete and sign as indicated on the form Please review the completed Certification prior to sending. The Certification must be fully completed in order for us to accept and approve. All necessary boxes must be checked and a U.S. Process Agent

5、 must be designated on all Certifications. We strongly recommend that you provide us with a single certification that covers all the U.S. Covered Financial Institutions in the JPMorgan Chase family. This means providing us with an Appendix A that has the first box under Section B marked. Page 2 APPENDIX A TO SUBPART I OF PART 103 CERTIFICATION REGARDING CORRESPONDENT ACCOUNTS FOR FOREIGN BANKS OMB CONTROL NUMBER 1505-0184 The information contained in this Certification is sought pursuant to Sect

6、ions 5318(j) and 5318(k) of Title 31 of the United States Code, as added by sections 313 and 319(b) of the USA PATRIOT Act of 2001 (Public Law 107-56). This Certification should be completed by any foreign bank that maintains a correspondent account with any U.S. bank or U.S. broker-dealer in securities (a covered financial institution as defined in 31 C.F.R. 103.175(f). An entity that is not a foreign bank is not required to complete this Certification. A foreign bank is a bank organized under

7、foreign law and located outside of the United States (see definition at 31 C.F.R. 103.11(o). A bank includes offices, branches, and agencies of commercial banks or trust companies, private banks, national banks, thrift institutions, credit unions, and other organizations chartered under banking laws and supervised by banking supervisors of any state (see definition at 31 C.F.R. 103.11(c).* A Correspondent Account for a foreign bank is any account to receive deposits from, make payments or other

8、disbursements on behalf of a foreign bank, or handle other financial transactions related to the foreign bank. Special instruction for foreign branches of U.S. banks: A branch or office of a U.S. bank outside the United States is a foreign bank. Such a branch or office is not required to complete this Certification with respect to Correspondent Accounts with U.S. branches and offices of the same U.S. bank. Special instruction for covering multiple branches on a single Certification: A foreign ba

9、nk may complete one Certification for its branches and offices outside the United States. The Certification must list all of the branches and offices that are covered and must include the information required in Part C for each branch or office that maintains a Correspondent Account with a Covered Financial Institution. Use attachment sheets as necessary. A.The undersigned financial institution, _ BANK OF NINGXIA_(“Foreign Bank”) hereby certifies as follows: B.Correspondent Accounts Covered by this Certification: Check one box. This Certification applies to all accounts established for Foreign Bank by Covered Financial Institutions. This Certification applies to Correspondent Accounts established by _ for Foreign Bank. * A “foreign bank” does not include any foreign central bank or monetary authority that functions as a central bank, or any international financial institution or regional development bank formed by treaty or international

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