APPENDIX A TO SUBPART I OF PART 103 CERTIFICATION REGARDING CORRESPONDENT ACCOUNTS FOR FOREIGN BANKS
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1 APPENDIX A TO SUBPART I OF PART 103 CERTIFICATION REGARDING CORRESPONDENT ACCOUNTS FOR FOREIGN BANKS [OMB Control Number ] The information contained in this Certification is sought pursuant to Sections 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 ). 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 (f)). An entity that is not a foreign bank is not required to complete this Certification. A foreign bank is a bank organized under foreign law and located outside of the United States (see definition at 31 C.F.R (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 (c)).* A Correspondent Account for a foreign bank is any account to receive deposits from, make payments or other 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 bank 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
2 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, China Merchants Bank Co., Ltd. ( Foreign Bank ) hereby certifies as follows: * 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 agreement. 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 (name of Covered Financial Institution(s)) for Foreign Bank. C. Physical Presence/ Status: Check one box and complete the blanks. Foreign Bank maintains a physical presence in any country. That means: Foreign Bank has a place of business at the following street address: China Merchants Bank Tower, No Shennan Boulevard, Futian District, Guangdong, Shenzhen , where Foreign Bank employs one or more individuals on a full-time basis and maintains operating records related to its banking activities. The above address is in the People s Republic of China (insert country), where Foreign Bank is authorized to conduct banking activities. Foreign Bank is subject to inspection by the China Banking Regulatory Commission ( CBRC ), (insert Banking Authority), the banking authority that licensed Foreign Bank to conduct banking activities. Foreign Bank does not have a physical presence in any country, but Foreign Bank is a regulated affiliate. That means: Foreign Bank is an affiliate of a depository institution, credit union, or a foreign bank that maintains a physical presence at the following street address:
3 , where it employs one or more persons on a full-time basis and maintains operating records related to its banking activities. The above address is in (insert country), where the depository institution, credit union, or foreign bank is authorized to conduct banking activities. Foreign Bank is subject to supervision by, (insert Banking Authority), the same banking authority that regulates the depository institution, credit union, or foreign bank. Foreign Bank does not have a physical presence in a country and is not a regulated affiliate. D. Indirect Use of Correspondent Accounts: Check box to certify. No Correspondent Account maintained by a Covered Financial Institution may be used to indirectly provide banking services to certain foreign banks. Foreign Bank hereby certifies that it does not use any Correspondent Account with a Covered Financial Institution to indirectly provide banking services to any foreign bank that does not maintain a physical presence in any country and that is not a regulated affiliate. E. Ownership Information: Check box 1 or 2 below, if applicable. 1. Form FR Y-7 is on file. Foreign Bank has filed with the Federal Reserve Board a current Form FR Y-7 and has disclosed its ownership information on Item 4 of Form FR Y Foreign Bank s shares are publicly traded. Publicly traded means that the shares are traded on an exchange or an organized over-the-counter market that is regulated by a foreign securities authority as defined in section 3(a)(50) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(50)). If neither box 1 or 2 of Part E is checked, complete item 3 below, if applicable. 3. Foreign Bank has no owner(s) except as set forth below. For purposes of this Certification, owner means any person who, directly or indirectly, (a) owns, controls, or has power to vote 25 percent or more of any class of voting securities or other voting interests of Foreign Bank; or (b) controls in any manner the election of a majority of the directors (or individuals exercising similar functions) of Foreign Bank. For purposes of this Certification,
4 (i) person means any individual, bank, corporation, partnership, limited liability company or any other legal entity; (ii) voting securities or other voting interests means securities or other interests that entitle the holder to vote for or select directors (or individuals exercising similar functions); and (iii) members of the same family* shall be considered one person. Name Address F. Process Agent: complete the following. The following individual or entity: China Merchants Bank Co., Ltd., New York is a resident of the United States at the following street address: 535 Madison Avenue, 18 th Floor, New York, New York U.S.A., and is authorized to accept service of legal process on behalf of Foreign Bank from the * The same family means parents, spouses, children, siblings, uncles, aunts, grandparents, grandchildren, first cousins, stepchildren, stepsiblings, parents-in-law and spouses of any of the foregoing. In determining the ownership interests of the same family, any voting interest of any family member shall be taken into account. Secretary of the Treasury or the Attorney General of the United States pursuant to Section 5318(k) of title 31, United States Code. G. General Foreign Bank hereby agrees to notify in writing each Covered Financial Institution at which it maintains any Correspondent Account of any change in facts or circumstances reported in this Certification. Notification shall be given within 30 calendar days of such change. Foreign Bank understands that each Covered Financial Institution at which it maintains a Correspondent Account may provide a copy of this Certification to the Secretary of the Treasury and the Attorney General of the United States. Foreign Bank further understands that the statements contained in this Certification may be transmitted to
5 one or more departments or agencies of the United States of America for the purpose of fulfilling such departments and agencies governmental functions. I, Qiu Ye (name of signatory), certify that I have read and understand this Certification, that the statements made in this Certification are complete and correct, and that I am authorized to execute this Certification on behalf of Foreign Bank. China Merchants Bank Co., Ltd. [Name of Foreign Bank} [Signature] Qiu Ye [Printed Name] General Manager, Financial Institutions [Title] Executed on this 1st day of July, Received and reviewed by: Name: Title: For: [Name of Covered Financial Institution] Date:
6 Certifications (1) To include Certifications with the certification of the parent, please include the following information for each. Indicate either that the maintains a Physical Presence, the country indicated, OR that the is a regulated affiliate, OR neither. Name of China Merchants Bank, Head Office Offshore Banking Dept. Street Address (Not a Postal Box) No Shennan Boulevard, Shenzhen, Banking Authority with Jurisdiction CBRC Shenzhen Office PBoC Name of China Merchants Bank, Shenzhen Street Address (Not a Postal Box) 2 Shennan Road Central Shenzhen, Banking Authority with Jurisdiction CBRC Shenzhen Office Shenzhen Central Sub-branch, Guangzhou, PBoC Name of China Merchants Bank, Hong Kong Street Address (Not a Postal Box) 21/F, Bank of America Tower 12 Harcourt Road Central Hong Kong HONG KONG, PEOPLE S REPUBLIC OF ( PRC ) Banking Authority with Jurisdiction Hong Kong Monetary Authority Name of China Merchants Bank, Shanghai
7 Street Address (Not a Postal Box) 161 Lujiazui Road East Pudong, Shanghai Banking Authority with Jurisdiction CBRC Shanghai Office PBoC Shanghai Name of China Merchants Bank, Wuhan Street Address (Not a Postal Box) 518 Jianshe Avenue Hankou, Wuhan Banking Authority with Jurisdiction CBRC Hubei Office PBoC Wuhan Certifications (2) Name of China Merchants Bank, Beijing Street Address (Not a Postal Box) 156 Fuxingmen Nei Dajie Beijing Banking Authority with Jurisdiction CBRC Beijing Office Business Management Department of the People s Bank of China Name of China Merchants Bank, Shenyang Street Address (Not a Postal Box) 12 Shiyiwei Road Heping District, Shenyang Banking Authority with Jurisdiction CBRC Liaoning Office PBoC Shenyang
8 Name of China Merchants Bank, Guangzhou Street Address (Not a Postal Box) 138, Tiyu Road East, Tianhe District, Guangzhou Banking Authority with Jurisdiction CBRC Guangdong Office PBoC Guangzhou Office Name of China Merchants Bank, Chengdu Street Address (Not a Postal Box) 248, Shuncheng Street Qingyang District, Chengdu Banking Authority with Jurisdiction CBRC Sichuan Office PBoC Chengdu Office Certifications (3) Name of China Merchants Bank, Lanzhou Street Address (Not a Postal Box) 9 Qingyang Road Chengguan District, Lanzhou Banking Authority with Jurisdiction CBRC Gansu Office Lanzhou Central Sub-branch Name of Street Address (Not a Postal Box) China Merchants Bank, Xian 107 Heping Road Xian
9 Banking Authority with Jurisdiction CBRC Shanxi( 陕西 )Office PBoC Xian Name of China Merchants Bank, Nanjing Street Address (Not a Postal Box) 1 Hanzhong Road Nanjing Banking Authority with Jurisdiction CBRC Jiangsu Office PBoC Nanjing Name of China Merchants Bank, Wuxi Street Address (Not a Postal Box) 128 Renmin Road Central Wuxi Banking Authority with Jurisdiction CBRC Wuxi Office Wuxi Central Sub-branch, Nanjing, PBoC Certifications (4) Name of China Merchants Bank, Changzhou Street Address (Not a Postal Box) 125 Heping Road South Changzhou Banking Authority with Jurisdiction CBRC Changzhou Office Changzhou Central Sub-branch, Nanjing, PBoC
10 Name of China Merchants Bank, Yangzhou Street Address (Not a Postal Box) 12 Wenchang Road West Yangzhou Banking Authority with Jurisdiction CBRC Yangzhou Office Yangzhou Central Sub-branch, Nanjing, PBoC Name of China Merchants Bank, Suzhou Street Address (Not a Postal Box) 128 Sanxiang Road Suzhou Banking Authority with Jurisdiction CBRC Suzhou Office Suzhou Central Sub-branch Nanjing, PBoC Name of China Merchants Bank, Nantong Street Address (Not a Postal Box) Huachen Building, No. 111 Gongnong Road Nantong Banking Authority with Jurisdiction CBRC Nantong Office Nantong Central Sub-branch, Nanjing, PBoC Certifications (5) Name of Street Address (Not a Postal Box) China Merchants Bank, Chongqing 2 Linjiangzhi Road, Yuzhong District, Chongqing
11 Banking Authority with Jurisdiction CBRC Chongqing Office Chongqing Business Management Department of the People s Bank of China Name of China Merchants Bank, Dalian Street Address (Not a Postal Box) 17 Renmin Road Zhongshan District, Dalian Banking Authority with Jurisdiction CBRC Dalian Office Dalian Central Sub-branch Shenyang, PBoC Name of China Merchants Bank, Hangzhou Street Address (Not a Postal Box) 23 Hangda Road Hangzhou Banking Authority with Jurisdiction CBRC Zhejiang Office Hangzhou Central Sub-branch, PBoC Shanghai Name of China Merchants Bank, Ningbo Street Address (Not a Postal Box) 938 Baizhang Road East Ningbo Banking Authority with Jurisdiction CBRC Ningbo Office Ningbo Central Sub-branch of PBoC Shanghai
12 Certifications (6) Name of China Merchants Bank, Wenzhou Street Address (Not a Postal Box) Jinglong Building Chezhan Avenue, Wenzhou Banking Authority with Jurisdiction CBRC Wenzhou Office Hangzhou Central Sub-branch, PBoC Shanghai Name of China Merchants Bank, Shaoxing Street Address (Not a Postal Box) Jindun Building, 60 Shengli Road East Shaoxing Banking Authority with Jurisdiction CBRC Shaoxing Office Hangzhou Central Sub-branch, PBoC Shanghai Name of China Merchants Bank, Jinhua Street Address (Not a Postal Box) 45 Shuangxi Road West Jinhua Banking Authority with Jurisdiction CBRC Jinhua Hangzhou Central Sub-branch, PBoC Shanghai Name of China Merchants Bank, Taizhou Street Address (Not a Postal Box) 535 Shifu Road Taizhou Banking Authority with Jurisdiction CBRC Taizhou Hangzhou Central Sub-branch, PBoC Shanghai
13 Certifications (7) Name of China Merchants Bank, Nanchang Street Address (Not a Postal Box) 162 Bayi Avenue Nanchang Banking Authority with Jurisdiction CBRC Nanchang Office Nanchang Central Sub-branch, PBoC Name of China Merchants Bank, Changsha Street Address (Not a Postal Box) 24 Cai e Road Central Furong District, Changsha Banking Authority with Jurisdiction CBRC Hunan Office Changsha Central Sub-branch, PBoC Name of China Merchants Bank, Fuzhou Street Address (Not a Postal Box) 60 Guping Road Fuzhou Banking Authority with Jurisdiction CBRC Fujian Office Fuzhou Central Sub-branch Shanghai, PBoC Name of Street Address (Not a Postal Box) China Merchants Bank, Quanzhou Huangxing Building, 301 Fengze Street
14 Fengze District, Quanzhou Banking Authority with Jurisdiction CBRC Quanzhou Office Fuzhou Central Sub-branch Shanghai, PBoC Certifications (8) Name of China Merchants Bank, Qingdao Street Address (Not a Postal Box) 36 Hong Kong Road Central Shinan District, Qingdao Banking Authority with Jurisdiction CBRC Qingdao Office Qingdao Central Sub-branch Jinan, PBoC Name of China Merchants Bank, Tianjin Street Address (Not a Postal Box) 55 Youyi Road North Hexi District, Tianjin Banking Authority with Jurisdiction CBRC Tianjin Office PBoC Tianjin Name of China Merchants Bank, Jinan Street Address (Not a Postal Box) 21 Chaoshan Street Lixia District, Jinan Banking Authority with Jurisdiction CBRC Shandong Office PBoC Jinan
15 Name of China Merchants Bank, Yantai Street Address (Not a Postal Box) 237 Nanda Street Yantai Banking Authority with Jurisdiction CBRC Yantai Office PBoC Jinan Certifications (9) Name of China Merchants Bank, Weifang Street Address (Not a Postal Box) 5151 Shengli Street East Kuiwen District, Weifang Banking Authority with Jurisdiction CBRC Weifang Office PBoC Jinan Name of China Merchants Bank, Urumchi Street Address (Not a Postal Box) 80 Xinhua Road North Urumchi Banking Authority with Jurisdiction CBRC Xinjiang Office Urumchi Central Sub-branch, PBoC Name of China Merchants Bank, Kunming Street Address (Not a Postal Box) 48 Dongfeng Road East Kunming Banking Authority with Jurisdiction CBRC Yunnan Office Kunming Central Sub-branch, PBoC
16 Name of China Merchants Bank, Hefei Street Address (Not a Postal Box) 436 Changjiang Road Central Hefei Banking Authority with Jurisdiction CBRC Anhui Office Hefei Central Sub-branch, PBoC Certifications (10) Name of China Merchants Bank, Xiamen Street Address (Not a Postal Box) 862 Xiahe Road Xiamen Banking Authority with Jurisdiction CBRC Xiamen Office Xiamen Central Sub-branch Shanghai, PBoC Name of China Merchants Bank, Harbin Street Address (Not a Postal Box) 3 Zhongyang Avenue Daoli District, Harbin Banking Authority with Jurisdiction CBRC Heilongjiang Office Harbin Central Sub-branch, PBoC Name of China Merchants Bank, Zhengzhou
17 Street Address (Not a Postal Box) 68 Jingsan Road Zhengzhou Banking Authority with Jurisdiction CBRC Henan Office Zhengzhou Central Sub-branch, PBoC Name of China Merchants Bank, Dongguan Street Address (Not a Postal Box) Yujing New Times Plaza Dongcheng Avenue, Dongguan Banking Authority with Jurisdiction CBRC Dongguan Office PBoC Guangzhou Certifications (11) Name of China Merchants Bank, Foshan Street Address (Not a Postal Box) 1-3/F, Hongye Mansion, 23 Jihua 5 th Road Foshan Banking Authority with Jurisdiction CBRC Foshan Office PBoC Guangzhou Name of China Merchants Bank, Taiyuan Street Address (Not a Postal Box) 1 Xinjian Road South Taiyuan Banking Authority with Jurisdiction CBRC Shanxi( 山西 ) Office Taiyuan Central Sub-branch, PBoC
18 Name of China Merchants Bank, Hohhot Street Address (Not a Postal Box) 56 Xinhua Street Hohhot Banking Authority with Jurisdiction CBRC Neimenggu Office Hohhot Central Sub-branch, PBoC Name of China Merchants Bank, Changchun Street Address (Not a Postal Box) 1111 Ziyou Avenue Zhaoyang District, Changchun Banking Authority with Jurisdiction CBRC Jilin Office Changchun Central Sub-branch, PBoC Certifications (12) Name of China Merchants Bank, Nanning Street Address (Not a Postal Box) 1-6/F, New City International Building 92-1 Minzu Avenue, Nanning Banking Authority with Jurisdiction CBRC Guangxi Office Nanning Central Sub-branch, PBoC Name of Street Address (Not a Postal Box) China Merchants Bank, Beijing Representative Office 35 Jinrong Avenue Xicheng District, Beijing
19 Banking Authority with Jurisdiction CBRC Beijing Office PBoC Beijing Name of China Merchants Bank New York Street Address (Not a Postal Box) 535 Madison Avenue New York, New York United States of America Banking Authority with Jurisdiction Federal Reserve Bank of New York New York State Banking Department Name of Representative Office China Merchants Bank New York Representative Office Street Address (Not a Postal Box) 509 Madison Avenue, Suite 306 New York, New York United States of America Banking Authority with Jurisdiction Federal Reserve Bank of New York New York State Banking Department
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