Please provide the below documents for our verification and process:

Transcription

1 To comply with relevant regulatory requirements on Customer Due Diligence / Know Your Customer process, the below information is required for Maybank Hong Kong Branch to conduct customer review for corporate account application: Investment Holding Company Our account opening procedure: 1. Collect account opening documents and application form from customers 2. Check the completeness of documents 3. Conduct customer s risk assessment 4. Conduct FATCA Due Diligence Please provide the below documents for our verification and process: For corporates registered in Hong Kong: No. Documents Notes 1 Memorandum & 1 Articles of Association 2 Certificate of Incorporation 3 Business Registration Certificate 4 Board Resolution The number of Director s signature(s) should be consistent with the effectual quorum as specified in the Memorandum & Articles of Association / Articles of Association 5 hip Chart It should show the company name, shareholding, country of incorporation of each intermediate owner up to the ultimate beneficial owners of the company Certified by the Director 6 Company Search Report 7 Identification Document of: All beneficial owners, directors and Authorized signatories are to be identified If the beneficial owners are corporate, the ultimate beneficiaries are to be identified as well 1

2 signatories 1. For Hong Kong permanent resident, please provide: Hong Kong identity card 2. For Hong Kong non-permanent resident, please provide: Hong Kong identity card, and (a) A valid travel document; or (b) A relevant national (i.e. government or state-issued) identity card bearing the individual s photograph; or (c) Any government or state-issued document which certifies nationality 3. For non-resident and physically present in Hong Kong, please provide: A valid travel document with name, date of birth, nationality and travel document number 8 Residential Address Proof of: signatories Permanent address proof should also be obtained if different from residential address Please refer to the section on Acceptable Address Proof for list of examples 9 FATCA Form W-8BEN-E (Applicable to Non-U.S. Entity only) or W-9 (Applicable to U.S. Entity only) 10 CRS Forms Self-Certification Form Controlling Person and Self-Certification Form Entity For corporates registered outside Hong Kong: No. Documents 1 Memorandum & Articles of Association 2 Certificate of Incorporation Notes An additional Certificate of Incorporation for Overseas Companies is required if the customer carries on business in 2

3 Hong Kong 3 Business Registration Certificate 4 Certificate of Incumbency 5 Certificate of Good Standing 6 Board Resolution 7 hip Chart Applicable only to companies carries on business in Hong Kong It should be issued by the company s registered agent in the place of incorporation or certified by a professional third party in the relevant jurisdiction and able to show the name of directors and shareholders It must be issued within 6 months It should be issued by the company s registered agent in the place of incorporation or a professional third party in the relevant jurisdiction evidencing that the company is not dissolved, wound up, suspended or struck off. It must be issued within 6 months. The number of Director s signature(s) should be consistent with the effectual quorum as specified in the Memorandum & Articles of Association / Articles of Association It should show the company name, shareholding, country of incorporation of each intermediate owner up to the ultimate beneficial owners of the company Certified by the Director the information contained is accurate 8 Company Search Report 9 Identification Document of: signatories All beneficial owners, directors and Authorized signatories are to be identified If the beneficial owners are corporate, the ultimate beneficiaries are to be identified as well 1. For Hong Kong permanent resident, please provide: Hong Kong identity card 2. For Hong Kong non-permanent resident, please provide: Hong Kong identity card, and (a) A valid travel document; or (b) A relevant national (i.e. government or state-issued) identity card bearing the individual s photograph; or (c) Any government or state-issued document which certifies 3

4 nationality 3. For non-resident and physically present in Hong Kong, please provide: A valid travel document with name, date of birth, nationality and travel document number 10 Residential Address Proof of: signatories Permanent address proof should also be obtained if different from residential address Please refer to the section on Acceptable Address Proof for list of examples 11 FATCA Form W-8BEN-E (Applicable to Non-U.S. Entity only) or W-9 (Applicable to U.S. Entity only) 12 CRS Forms Self-Certification Form Controlling Person and Self-Certification Form Entity Acceptable Address Proof Please refer to the below list for some examples of eligible address proof: 1. A recent utility bill issued within the last 3 months 2. Recent correspondence issued within the last 3 months from a government department or agency 3. A statement, issued by an authorized institution, a licensed corporation* or an authorized insurer** within the last 3 months *For the list of licensed corporation, please refer to the website of the Security Future Commission (SFC) for its members list: **For the list of authorized insurer, please refer to the website of office of the Commissioner of Insurance (OCI) for its member list: 4. Mobile phone or pay TV statements (sent to the address provided by the customer) issued within the last 3 months 5. A letter from an immediately family member at which the individual resides confirming that the applicant lives at that address in Hong Kong, setting out the relationship between the applicant and the immediate family member, together with evidence that the immediate family member resides at the same address (only for persons such as students and housewives who are unable to provide proof of address of their own name) 6. A letter from a Hong Kong nursing or residential home for the elderly or disabled, which we are satisfied that it can place reliance on, confirming the residence of the applicant 4

5 7. A letter from a Hong Kong university or college, which a financial institution is satisfied that it can place reliance on, that confirms residence at a stated address 8. A Hong Kong tenancy agreement which has been duly stamped by the Inland Revenue Department 9. A current Hong Kong domestic helper employment contract stamped by an appropriate consulate (the name of the employer should correspond with the applicant s visa endorsement in their passport) 10. A letter from a Hong Kong employer together with proof of employment, which we are satisfied that it can place reliance on and that confirms residence at a stated address in Hong Kong 11. A lawyer s confirmation of property purchase, or legal document recognizing title to property 12. For non-hong Kong residents, a government-issued photographic driving license or national identity card containing the current residential address or bank statements issued by a bank in an equivalent jurisdiction where we are satisfied that the address has been verified Remarks 1. A suitable certifier can be: a) a lawyer, a notary public, an auditor, a professional accountant, a trust or company service provider or a tax advisor practising in member jurisdictions of FATF (Financial Action Task Force); b) a current member of The Hong Kong Institute of Chartered Secretaries practising in Hong Kong; c) a member of the judiciary in member jurisdictions of FATF (Financial Action Task Force); d) an officer of an embassy, consulate or high commission of the country of issue of documentary verification of identity; and e) a Justice of the Peace. f) an officer of Maybank Hong Kong Branch. 2. Address proof showing a post office box address is not sufficient for persons residing in Hong Kong or corporate customers registered and/or operating in Hong Kong. 3. The acceptability of the address proof is based on regulatory requirement and is subject to Maybank Hong Kong Branch s absolute discretion. 4. The below additional information will also be collected: Employment information including occupation, employer/business and monthly salary Purpose of account Transaction types Estimated average balance at anytime 5

6 Source and origin of incoming funds Destination of funds Initial and ongoing sources of wealth and/or income Anticipated volume and type of activity 5. Please note that in addition to the above information, Maybank Hong Kong Branch may collect supplementary information or documents if necessary. 6. Maybank Hong Kong Branch reserves the right to retain a copy of your identification document and address proof if deemed appropriate. 7. Customers are required to inform Maybank Hong Kong Branch promptly if there are any changes regarding their information. 6