Know-Your-Customer (KYC) Information for RAN ELF Raiffeisen Anlagenvermietung GmbH (RAN)

Transcription

1 RAN ELF Raiffeisen Anlagenvermietung GmbH A-1190 Wien, Mooslackengasse 12 Tel , Fax leasing@rl.co.at, JBPark GmbH Vienna, Handelskai 265/ Vienna, Austria Know-Your-Customer (KYC) Information for RAN ELF Raiffeisen Anlagenvermietung GmbH (RAN) Dear Sir or Madam, pursuant to the regulatory requirements of the 3 rd EU Anti-Money Laundering Directive as well as Art. 40 and 41 of the Austrian Banking Act, we are obliged to request specific customer data in relation to, amongst other information, statutory and other authorized representatives according to the Know Your Customer (KYC) principle. Please note that, due to additional local requirements, the Anti-Money-Laundering regulations in Austria may be stricter than similar regulations in other countries or than the requirements stipulated in the 3 rd EU Anti-Money-Laundering Directive. We kindly ask you to provide us the requested information in writing and to return the completed form/letter duly signed to us within four weeks after receipt, in order to fully comply with the applicable rules and regulations. Thank you.

2 Part I: Information in relation to: i) all statutory representatives and ii) other authorized representatives of your legal entity, who are entitled to and actively execute banking business with RAN: All Statutory Representatives (such as executive management, directors and executive board members) Supervisory Board members/non-executive directors are not required. Birth First Name Surname Citizenship Function City and Residence Country Dmytro Lytvynets USSR Ukraine Ukraine Director 2

3 Other authorized representatives who are entitled to and actively execute banking business with RAN in the name of your company. In case further persons will be designated as representatives in future, we kindly ask you to inform us about the respective decision as soon as possible. The power to act in the name of your company can be granted by a power of attorney (especially for authorized signatories). First Name Surname Birth City and Country Citizenship Residence Function 3

4 Part II: Information about the Beneficial Owner (Article 40 para 2a no. 1 Austrian Banking Act (BWG); Article 2 no. 75 lit.a and lit.b BWG; Circular on Identification and Verification of Identity for Credit Institutions by Austrian Financial Market Authority (FMA)) Definition of the beneficial owner as follows: Beneficial owners of legal entities e.g. a company (e.g. Austrian corporations (GmbH, AG), incorporated Austrian associations with legal capacity (OG, KG) and comparable foreign or European corporations (SE, EEIG)) in the meaning of Art. 2 no. 75 lit.a and lit.b BWG are all natural persons who: hold a sufficiently direct or indirect participation through shares in the company. A sufficient participation in a company exists when the natural person concerned holds, either directly or indirectly, more than 25% of the shares. Whether a sufficient participation (>25%) exists must be reviewed at each level in the ownership chain. It is not allowed to calculate on a proportional basis. hold a sufficiently direct or indirect participation through voting rights in the company Similarly, voting rights in other companies are deemed to be significant when they exceed 25%. Indirect voting rights are voting rights that can be exercised on the basis of an agreement or on a de facto basis. exercise control over the management of the company in a different way Control over a legal person can be exercised through any form of influence in the management of that legal person resulting in management decisions being made in the interests of the party exerting influence. or Beneficial owners of legal entities which administer or distribute funds with the meaning of the BWG are all natural persons who are beneficiaries of exactly 25% or more of all allocations of the impersonal entity and/or natural persons who exercise control over 25% or more of the assets of the impersonal entity. If your legal entity is listed on a stock exchange (only trusted stock exchanges 1 are accepted), please state the name of this stock exchange and provide the stock exchange identification: In case your legal entity is a stock exchange-listed company and an investor holds more than 25% of the shares or voting rights or control, you are asked to provide the requested information on the following pages. 1 Trusted stock exchanges are: Australia Pacific Exchange, American Stock Exchange, Athens Stock Exchange, Austrialian Securities Exchange, Bendigo Stock Exchange, Bern exchange, Bolsa de Valores de Barcelona, Bolsa de Valores de Bilbao, Bolsa de Valores de Valencia, Borsa Italiana, Börse Berlin, Börse Mümchen, Börsen Hamburg und Hannover, Boston Stock Exchange, Bratislava Stock Exchange, Bucarest Stock Exchange, Budapest Stock Exchange, Bulgarian Stock Exchange, Canada`s New Stock Exchange, Chicago (formerly the Cincinnati Stock Exchange), Chicago Board Options Stock Exchange, Chicago Stock Exchange, Copenhagen Stock Exchange, Cyprus Stock Exchange, Deutsche Börse Group, Doha Securities Market, Eurex, Euronext Amsterdam, Euronext Brus sels, Euronext Lisbon, Euronext Paris, Frankfurt Stock Exchange, Fukuoka Stock Exchange, Helsinki Stock Exchange, Hiroshima Stock Exchange (Merger with Tokyo Stock Exchange), Hong Kong Exchanges and Clearing, Hong Kong Growth Enterprise Market, Hong Kong Stock Exchange precursor to Hong Kong Exchanges and Clearing, Iceland Stock Exchange, International Options Exchange, Irish Enterprise Exchange, Irish Stock Exchange, JASDAQ, Kobe Stock Exchange (Merger wih Osaka Securities Exchange), Ljubljana Stock Exchange, London Stock Exchange, Luxembourg Stock Exchange, Madrid Stock Exchange, Malta Stock Exchange, MATIF, Mercado Oficial Espanol de Futuros y Opciones, merged with Archipelago Holdings, Montreal Exchange, Nagoya Stock Exchange, NASDAQ, Nasdaq Canada, NASDAQ OMX Stock holm, National Stock Exchange, National Stock Exchange of Australia (formerly Newcastle Stock Exchange), New York Board of Trade, New York Stock Exchange, New Zealand Exchange Limited, Niigata Stock Exchange (Merger with Tokyo Stock Exchange), Nippon New Market Hercules (Former Nasdaq Japan Market / Now a section of Osaka Securities Exchange for high-growth startup companies), OMX Nordix Exchange, OPEX, Osaka Securities Exchange, Oslo Stock Exchange owned and operated by CBOE, Pacific Exchange, Philadelphia Stock Exchange, Prague Stock Exchange, precursor to Singapore Exchange, Rasdaq, Riga Stock Exchange, S antiago Electronic Stock Exchange, Santiago Stock Exchange, Sapporo Stock Exchange, Sibiu Stock Exchange, Singapore Exchange, Stock Exchange of Singap ore, SWX Swiss Exchange, Sydney Futures Exchange, taken over by Archipelago Holdings, Tallinn Stock Exchange, Tel Aviv Stock Exchange, Tokyo Stock Exchange, Toronto Stock Exchange TSX Venture Exchange, Valparaiso Stock Exchange, Vienna Stock Exchange, Vilnius Stock Exchange, Warsaw Stock Exchange, Winnipeg Commodity Exchange 4

5 We hereby confirm that there are no beneficial owners in the meaning of Austrian Banking Act Ultimate Beneficial Owners (= Natural persons) Please indicate all natural persons having a stake and/or voting rights of > 25% (respectively 25% in case of foundations/trusts) or controls at the last level of the ownership structure. Birth First Name Surname City and Country Sergii Zaitsev Russian Federatio n M(ale) / F(emale) Citizenship Residence Percentage Male Ukraine Ukraine 100% C Participati on (P) or Control (C) 5

6 Ownership Structure (= all legal entities in the ownership structure of the customer up to the ultimate beneficial owner) Please indicate all legal entities having a stakeand/or voting rights of >25% or control on any level of the ownership structure (respectively 25% in case of foundations/trusts). Name of Legal Entity Euro Business Investments Legal Form Limited Address and Country of Registration Akara Bldg., 24 De Castro Street, Wickhams Cay 1, Road Town, Tortola, BVI Address and Administrative Office Chrysorogiatissis & Kolokotroni corner, Limassol 3040, Cyprus Level in Ownership Structure Percentage (L1/L2/L3 ) Participation (P) or Control (C) 100% L1 Please be so kind and attach a duly signed organizational chart in graphical form of your legal entity showing the complete ownership structure up to the beneficial owner(s) including percentage of ownership interest and the country of registration of each legal entity. 6

7 Example for the calculation of Beneficial Owners by shares: The customer is a legal entity (company). Level in ownership structure: Level 1: Company II, Company III Level 2: Company IV, Foundation/Trust II, Foundation/Trust III UBO: Ultimate Beneficial Owner (natural persons that hold more than 25% (trusts 25%) at the last level of the ownership structure. Irrelevant legal entities/persons in the ownership structure and UBO in this example: Irrelevant legal entities/persons in the ownership structure: Company I, Foundation/Trust I, as they hold 25% or less of shares on each ownership level (trusts 25% or less) and UBO because the above mentioned entities are not relevant 7

8 Part III: Trust Inquiry Our company intends to conduct the business relationship with your bank for my own account (not acting as a trustee) on behalf of a third party x YES YES In case you intend to conduct your business relationship on behalf of a third party/as a trustee, please disclose all trustors: Trustor(s): Name of the trustor(s) (natural persons) Birth City and Country Citizenship Residence Name of the trustor(s) (legal entities) Address and Registration Address and Administrative Office 8

9 To fulfill statutory and regulatory requirements in accordance with 40 para. 2 BWG, the customer has to provide relevant documents (documents to verify the existence of the trustor(s); trust agreement; for natural persons: official photo identification or copy of the official photo identification of the trustor(s), for legal entities: meaningful supporting documents of the trustor(s)). I, as trustee, declare that I have ascertained and verified the identity of the trustor personally or through reliable sources (e.g. to courts and other government authorities, notaries, attorneys at law) Signature of trustee Part I to Part III: If there are any changes regarding information on beneficial owners, authorized representatives, a possible trusteeship or information about offshore constructions in future, please note, that you are obliged to inform us immediately about these changes in written form. The entering into or the maintenance of the business relationship with us is subject to the positive assessment by our Compliance Office. I/We hereby give our explicite consent that Raiffeisen Leasing GmbH may disclose any data or information in this KYC-form to (hereinafter each of them referred to as "Recipient"): a) Raiffeisen Zentralbank Österreich AG (RZB) or Raiffeisen Bank International AG (RBI) or b) to any other Bank - inside or outside of Austria - which is a subsidiary company of either RZB and / or of RBI; or c) any other bank being a member of the Austrian Fachverband der Raiffeisenbanken solely for the purpose of and only to the extent as such data or information will be required in order to fulfil the KYC-obligations of the respective Recipient. JBPark GmbH Name of legal entity Signature on behalf of the legal entity Dmytro Lytvynets Name of the signee 9