Proof of identity and authority, details of the beneficial owner and clarification of PEP status

Transcription

1 Please return the completed and signed form by post to: Alphabet Fuhrparkmanagement GmbH, Konrad-Zuse-Strasse 1, Unterschleissheim, Germany Proof of identity and authority, details of the beneficial owner and clarification of PEP status Partnerships and legal entities Customer: (Please provide full business name) Proof of identity and authority Pursuant to the provisions of 10 (1) No. 1, 11 (1) and 11 (4) No. 2 of the German Money Laundering Act (GwG), a lessor must, in the case of a contracting partner/lessee that is a legal entity or partnership, ascertain the following information before establishing a business relationship. In accordance with 11 (6) of the GwG, the lessee is under a legal obligation to cooperate and update the data. Market partner number: Business name, name or designation: Legal form: Register number (if applicable): Address of the registered office (seat) or headquarters: Members of the representative body/legal representative If a member of the representative organ, or one of the legal representatives, is a legal entity, its business name, name or designation, legal form, register number (if applicable) and the address of its registered office (seat) or head office must be ascertained. Details of the beneficial owner In accordance with 10 (1) No. 2 of the GwG, in conjunction with 11 (1) and (5) of the GwG, the lessor is required by law to obtain details of the beneficial owner and document this in writing. In accordance with 11 (6) of the GwG, the lessee is under a legal obligation to cooperate and update the data. Definition of beneficial owner (BO) Within the meaning of this Act, a beneficial owner is the natural person who ultimately owns or controls the contracting partner, or the natural person at whose instigation a transaction is ultimately executed or a business relationship is ultimately established. All additional explanations concerning the term beneficial owner and its application by Alphabet Fuhrparkmanagement GmbH can be found in the information sheet accompanying this form. Clarification of the PEP status of the contracting partner Pursuant to 10 (1) No. 4 of the GwG, the lessor is obliged to clarify the PEP status of its contracting partner or its beneficial owner. Pursuant 10 (1) No. 4 of the GwG, in conjunction with 11 (6) of the GwG, the contracting partner must provide the lessor with the information necessary for this purpose and notify the lessor immediately of any changes occurring during the course of the business relationship. Definition of a Politically Exposed Person (PEP) According to 1 (12) of the GwG, a Politically Exposed Person (PEP), as contemplated in 10 (1) No. 4 of the GwG, means a natural person who is, or has been, entrusted with a prominent public function, or is a direct family member or known close associate of such a person. Further details concerning status as a PEP can be found in the enclosed information sheet. Please tick the applicable items The beneficial owner need not be specified, as the company or firm is quoted on an organised market within the meaning of 3 (2) of the GwG and 2 (5) of the German Securities Trading Act (WpHG) that is subject to transparency requirements concerning voting shares which correspond to Community law or equivalent international standards. The contracting partner has at least one beneficial owner with PEP status as contemplated in 10 (1) No. 4 of the GwG. Relevant details must be provided on the next page. The contracting partner has at least one beneficial owner but none have PEP status as contemplated in 10 (1) No. 4 of the GwG. Relevant details must be provided on the next page. The contracting partner does not have a de facto beneficial ownerand therefore, pursuant to 3 (2) of the GwG, the so-called fictitious beneficial owner must be specified. This means the legal representative, the managing partner or partner of the contracting partner. Relevant details must be provided on the next page. 1 / 8

2 Please return the completed and signed form by post to: Alphabet Fuhrparkmanagement GmbH, Konrad-Zuse-Strasse 1, Unterschleissheim, Germany Beneficial owner (applies also to a fictitious beneficial owner) PEP status: Yes No PEP status: Yes No PEP status: Yes No PEP status: Yes No * If the contracting partner has additional beneficial owners, these must be specified on a self-drafted supplementary sheet. Alternatively, your contact partner at Alphabet will be pleased to provide you with a corresponding supplementary sheet. Identifying the persons acting on behalf of the contracting partner Pursuant to the provisions 10 (1) No. 1, 11 (4) No. 1 and 12 (1) and (2) of the German Money Laundering Act (GwG), Alphabet Fuhrparkmanagement GmbH is required to also identify the persons acting on behalf of the contracting partner and check whether a person acting on behalf of the contracting partner is authorised to do so. Definition of an acting person Alphabet Fuhrparkmanagement GmbH understands the term acting person, as contemplated in the GwG, to mean any natural person who appears and acts on behalf of the contracting partner in connection with the establishment of a business relationship. Please note that it is absolutely essential to verify the information provided. For this purpose, a valid identification document for each acting person, as contemplated in 10 (1) No. 1 of the GwG, must be visually inspected by an employee of Alphabet Fuhrparkmanagement GmbH. For documentation purposes according to 8 (2) of the GwG, a copy of the relevant identification document must be made. As an alternative, their identity may be verified using the POSTIDENT identity verification process. Your contact partner at Alphabet Fuhrparkmanagement GmbH will be happy to send you the necessary POSTIDENT coupons. Details of the acting person*. The natural person specified below is acting in person on behalf of the contracting partner in connection with the establishment of a business relationship. Name of the individual acting in person: Place of birth: Address: First names: Nationality: Internal use of data by BMW I consent to Alphabet Fuhrparkmanagement GmbH retaining, aligning and using data in a common data management system with BMW Financial Services companies (BMW Bank GmbH, BMW Vertriebs GmbH & Co. OHG und Alphabet Fleetservices GmbH), provided that this is for the purposes of implementing my respective contractual matters with one of the above-mentioned BMW Financial Services companies. I consent to my data being processed and used by the above-mentioned companies, using this shared system, for the purposes of application and contract processing, and customer care. Signature of the individual acting in person: Place, date Signature of the individual acting in person: * Any additional acting persons are to be listed on page 8 of this form. 2 / 8

3 Please return the completed and signed form by post to: Alphabet Fuhrparkmanagement GmbH, Konrad-Zuse-Strasse 1, Unterschleissheim, Germany Verification of the details of the acting person The following identification document has been presented for the purposes of verifying the details of a natural person who is acting in person on behalf of the contracting partner. 1. Type of identity document: Identity card Passport Other 2. ID number: 3. Name of the issuing authority: 4. Expiry date: Checking the authorisation of the acting person Pursuant to the provisions of 10 (1) No. 1 of the GwG, the authorisation of the person who is acting in person must be checked. The acting person s authorisation to act for the contracting partner is evident from: the documents provided for the identity check according to 12 (2) of the GwG (extract from the official register or directory, constitutional documents or equivalent evidentiary documents), a formal letter / power of attorney issued by the contracting partner, the authorisation by the legal representatives: The acting person is hereby authorised, by way of this form, to act as the acting person, as contemplated in 10 (1) of the GwG, with respect to Alphabet Fuhrparkmanagement GmbH. (For this purpose, the form must, in all cases, be signed by at least one person who is authorised to sign on the basis of the documents presented for the identity check according to 12 (2) GwG (extract from the official register or directory, constitutional documents or equivalent evidentiary documents). A copy of this person s identification document must also be made). Signature of the authorised representative or authorised signatory Place, date Name of the authorised representative or authorised signatory (in block capitals) Confirmation statement Firm name and firm stamp Processing is fully complete only once the confirmation statement has been completed by a member of staff. I hereby confirm that I have carefully checked all of the information concerning identification and authority in relation to the contracting partner for plausibility and completeness, and I have verified that this information matches the information contained in the contracting partner s authentication documents (identification document, register check or POSTIDENT form). This also includes the information concerning any beneficial owners and clarification of a possible PEP status. Any acting person was also identified. Proof of the acting person s authorisation has been presented. All of the information required under 11 of the GwG is evident from the presented documents. I have made the legible copies required pursuant to 8 of the GwG and these are attached. To be completed by an employee of Alphabet s sales partner: Signature of the authorised representative or authorised signatory Place, date Name of Alphabet s sales partner and firm stamp Market partner number: Name of employee (in block capitals) Employee s signature To be completed by an employee of Alphabet s sales partner: Place, date Name of employee (in block capitals) Employee s signature Attachments As part of the process of identifying the contracting partner, Alphabet is required, pursuant to 8 of the GwG, to make complete copies of the documents and records presented for the identity checks according to 12 of the GwG. A clearly legible copy of the respective document must be attached to this form. Information concerning the presented identification document 1. Type of identity document: Identity card Passport Other 2. ID number: 3. Name of the issuing authority: 4. Expiry date: 5. Signing authority is evident from Register extract Power of attorney (document attached to application) 3 / 8

4 Information sheet on ascertaining the beneficial owner, clarifying the PEP status and identification of an acting person Introduction As a financial services institution, Alphabet Fuhrparkmanagement GmbH is an obliged party within the meaning of the German act on tracing profits from serious criminal activities (GwG). This means that Alphabet Fuhrparkmanagement GmbH is under a statutory obligation to perform the due diligence obligations contained in the GwG and ensure that these are complied with. In this regard, it is an absolutely essential obligation to identify the beneficial owner (BO) when performing the identity checks under 10 (1) No. 2 of the GwG in conjunction with 11 (5) of the GwG. In accordance with 10 (1) No. 4 of the GwG, it is equally important in this respect to determine whether a contracting partner or one of its beneficial owners is a so-called Politically Exposed Person (PEP) as defined in 1 (12) of the GwG. Beneficial owner (BO) According to 3 of the GwG, this is a natural person: who directly or indirectly controls or owns the contracting partner; or at whose instigation a transaction is ultimately executed or a business relationship is ultimately established; or who is the principal beneficiary of a third-party arrangement. In the case of companies, there is an irrebuttable presumption of control where there is direct or indirect control of more than 25% of the ownership/voting shares. By way of derogation from the foregoing, the ownership/voting share is reduced to 20% in the case of a GbR (partnership organised under the German Civil Code). In the case of foundations with legal capacity and legal arrangements used to manage or distribute assets subject to a Treuhand (a German-law trust), or through which third parties are tasked with the management or distribution, or similar legal constructs, beneficial owners include: 1. any natural person who acts as a Treugeber (settlor), trust administrator (trustee) or protector, if applicable; 2. any natural person who is a member of the foundation s governing board; 3. any natural person who has been specified as beneficiary; 4. the class of natural persons for whose benefit the assets are to be administered or distributed, in the event that the natural person who is to be the beneficiary of the administered assets has not yet been specified; and 5. any natural person who otherwise directly or indirectly exercises a controlling influence over the administration of the assets or the distribution of income. In the case of actions carried out at the instigation of another, beneficial owners include the person at whose instigation the transaction is executed. If the contracting partner is acting as a Treuhänder (trustee), it is also acting at the instigation of another. A fictitious beneficial owner according to 3 (2) of the GwG: If, even after carrying out comprehensive checks, no natural person has been identified or if there are doubts as to whether the identified person is a beneficial owner, the legal representative, managing partner or partner of the contracting partner shall be deemed the beneficial owner. Determining the beneficial owner Principles A distinction is drawn between direct holdings and multilevel holding levels. In the case of a direct holding, a natural person who, by way of example, holds more than 25% of the shares in a GmbH (a private limited company) is the BO. Reference is made to a multilevel holding structure if at least one legal entity holds the relevant shares in the contracting partner. In this case, the identification process must be extended to the next level. From the second holding level, the objective is to find an ownership/voting share of at least 50%. In this respect the final possible holding level must also be determined, until the natural person is found. The information concerning this must be submitted by the contracting partner. Example 1 You trade as K-GmbH. The shares in your company are held as follows: A: 33.3%, B: 33.3%, C-GmbH: 33.3%. The shares in C-GmbH are allocated as follows: D: 30%, E: 70%. Shareholdings in K-GmbH: 33.3% K-GmbH B* C-GmbH 33.3% 33.3% D* 30% E* 70% Your economic beneficiaries are A, B and E. * natural person. Explanation: A and B are both beneficial owners, as in their cases the 25% threshold for the presumption rule in the case of direct shareholdings has been passed. In the case of C-GmbH, the relevant factor is the voting rights/share allocation among the members of C-GmbH: D is not a BO, as 30% does not suffice for control of C-GmbH. E is a BO, as the 70% shareholding in C-GmbH gives E control over this company. 4 / 8

5 Example 2 You trade as K-GmbH. The shares in your company are held as follows: A: 20%, B: 20%, C: 20%, D: 20%, E: 14%, F-GmbH: 6%. The shares in F-GmbH are allocated as follows: A: 90%, X: 10%. Shareholdings in K-GmbH: B* 20% 20% C* 20% K-GmbH D* 20% E* 14% F-GmbH 6% Shareholdings in F-GmbH: X* 90% 10% Your beneficial owner is A. Explanation: 6% of the shares are controlled by F-GmbH, which is under A s control, and can therefore be ascribed to A, who also controls a further 20% directly; in total this amounts to 26% (the threshold has been exceeded). Example 3 You trade as K-GmbH. The shares in your company are held as follows: A: 20%, B: 20%, C-GmbH: 60%. 100% of the shares in C-GmbH are held on the regulated market by D-AG (public limited company) which is listed on the German stock exchange. Shareholdings in K-GmbH: 20% K-GmbH B* C-GmbH 20% 60% Shareholdings in C-GmbH: D-AG 100% * natural person. There is no beneficial owner. Explanation: A and B are both below the threshold. D controls C-GmbH and thus has indirect control of K-GmbH. However, as a listed company, D-AG is excepted from clarification duties. Hence, apart from recording the shareholding structure that has been determined thus far, no further clarification in respect of the beneficial owner is necessary. Example 4 You trade as K-GmbH & Co. KG (limited partnership with a limited liability company as a general partner). The shares in your company are held as follows: A: 100% of the shares are held by Komplementär-GmbH (General Partner GmbH). B: 80% of the capital in K-GmbH & Co. KG. Komplementär-GmbH: 20% of the capital in K-GmbH & Co. KG. K-GmbH & Co. KG Shareholding in Komplementär-GmbH 100% Limited Partner B* Komplementär-GmbH 80% 20% * natural person. Your beneficial owner is B. Explanation: When considering K-GmbH & Co. KG directly, it is also necessary, in terms of anti-money-laundering law, to assess the membership position (general partner/limited partner Komplementär/Kommanditist) alongside the allocation of shares (i.e. the shareholding structure). B must therefore be classified as a beneficial owner on account of its equity stake, whereas the control, through Komplementär-GmbH, should be considered separately. In addition to the share structure (ownership), the concept of a BO also includes the aspects of control and instigation. In the cases of limited partnerships (Kommanditgesellschaft) and the GmbH & Co. KG (a limited partnership with a limited liability company as a general partner) as a special type of organisation under company law, with different (types of) members, it is therefore possible that the general partner, on account of its dominant position as a partner with unlimited liability under company law (Vollhafter), exercises control and must therefore, where applicable, be assessed on a risk basis. Hence, A may also be a BO. 5 / 8

6 Politically Exposed Person (PEP) The term Politically Exposed Person (PEP) is defined in 1 (12) of the GwG. According to this definition, a PEP is a natural person who is or has been entrusted with a high-ranking, prominent public function, or is a direct family member or known close associate of such a person. The beneficial owner(s) must be checked in addition to the contracting partner. Public function In this context, a public function is only of relevance if it is a function at the international, European or national level. A public function that is below the national level will only be of relevance if it is of comparable political significance. PEP status must always be assumed in the case of the following functions: Heads of state, heads of government, ministers, European Commissioners, deputy or assistant ministers; Members of parliament or of similar legislative bodies; Members of the governing bodies of political parties; Members of supreme courts, constitutional courts or other high-level judicial bodies, the decisions of which are not usually subject to further appeal; Members of the management bodies of courts of auditors; Members of the management bodies of central banks, Ambassadors, chargés d affaires and defence attachés; Members of the management, administrative and supervisory bodies of state-owned enterprises; Directors, deputy directors, members of management bodies or other managers with equivalent function in an intergovernmental international or European organisation. In principle, this provision does not include function holders at the municipal level (district commissioner, mayor, local councillors). Direct family members and known close associates Direct family members and known close associates of a person who is entrusted with a prominent public function are also designated as PEPs. A family member means a close relative of a Politically Exposed Person including, in particular: a spouse or registered civil partner; a child and his or her spouse or registered civil partner; and each parent; the parents; the brothers and sisters. A known close associate means any natural person for whom there is reason to assume the existence of an economic relationship with a politically exposed person. This includes, in particular: 1. A natural person who is known: a) to be a joint beneficial owner with a Politically Exposed Person of a legal entity (Vereinigung) according to 20 (1) of the GwG; a) to be a joint beneficial owner with a Politically Exposed Person of a legal arrangement (Rechtsgestaltung) according to 21 of the GwG, or c) to have other close business relations with a Politically Exposed Person; and 2. a natural person who has sole beneficial ownership a) of a legal entity (Vereinigung) according to 20 (1) of the GwG; or a) of a legal arrangement (Rechtsgestaltung) according to 21 of the GwG, which is known to have been set up for the de facto benefit of a politically exposed person. Duration of the status of Politically Exposed Person (PEP) The status will lapse for a politically exposed person, their relatives and known close associates at the earliest one year after assignment to the qualifying functions. 6 / 8

7 Acting person Alphabet Fuhrparkmanagement GmbH understands the term acting person, as contemplated in the GwG, to mean any natural person who appears and acts on behalf of the contracting partner in connection with the establishment of a business relationship. Please note that it is absolutely essential to verify the information provided. For this purpose, a valid identification document for each acting person, as contemplated in 10 (1) No. 1 of the GwG, must be visually inspected by an employee of Alphabet Fuhrparkmanagement GmbH. For documentation purposes according to 8 (2) of the GwG, a copy of the relevant identification document must be made. Irrespective of the criterion for personal presence, the following persons do not fall within the scope of the identification obligation if they are acting on behalf of a contracting partner in the course of establishing a business relationship: legal representatives of legal entities or business partnerships, obliged parties within the meaning of 2 (1) of the GwG (e.g. notaries, solicitors or barristers, and accountants). Pursuant to 4 (3) No. 1 of the GwG, the following details must be obtained in the course of identifying a natural person who is acting in person on behalf of a contracting partner: First name, Name, Place of birth, Date of birth, Nationality, Residential address. Pursuant to 4 (4) No. 1 of the GwG, the information provided for the purposes of identifying an acting person must be verified by means of the following documents: a current, valid official identification document which contains a photograph of the holder and fulfils the domestic passport and identification obligation; a domestic passport, personal identification document or replacement passport or identification document or one that is recognised and approved in accordance with the law on foreign nationals. For documentation purposes, a copy of the submitted identification must be made. In addition, the following details must be recorded on the form: Type of identity document; ID number; Number of the issuing authority. Checking the authorisation of the acting person Pursuant to the provisions of 10 (1) No. 1 of the GwG, the authorisation of the person who is acting in person must be checked. The acting person s authorisation to act for the contracting partner is evident from: the documents provided for the identity check according to 12 (2) of the GwG (extract from the official register or directory, constitutional documents or equivalent evidentiary documents), a formal letter / power of attorney issued by the contracting partner, 7 / 8

8 Please return the completed and signed form by post to: Alphabet Fuhrparkmanagement GmbH, Konrad-Zuse-Strasse 1, Unterschleissheim, Germany Acting persons Please provide the information required pursuant to the provisions of 10 (1) No. 1 and 11 (4) No. 1 of the GwG in respect of the additional acting persons. Name of the individual acting in person: Place of birth: Address: Nationality: Internal use of data by BMW I consent to Alphabet Fuhrparkmanagement GmbH retaining, aligning and using data in a common data management system with BMW Financial Services companies (BMW Bank GmbH, BMW Vertriebs GmbH & Co. OHG und Alphabet Fleetservices GmbH), provided that this is for the purposes of implementing my respective contractual matters with one of the above-mentioned BMW Financial Services companies. I consent to my data being processed and used by the above-mentioned companies, using this shared system, for the purposes of application and contract processing, and customer care. Signature of the individual acting in person: Place, date Checking the authorisation of the acting person Pursuant to the provisions of 10 (1) No. 1 of the GwG, the authorisation of the person who is acting in person must be checked. The acting person s authorisation to act for the contracting partner is evident from: the documents provided for the identity check according to 12 (2) of the GwG (extract from the official register or directory, constitutional documents or equivalent evidentiary documents), a formal letter / power of attorney issued by the contracting partner, the authorisation by the legal representatives: The acting person is hereby authorised, by way of this form, to act as the acting person, as contemplated in 10 (1) of the GwG, with respect to Alphabet Fuhrparkmanagement GmbH. (For this purpose, the form must, in all cases, be signed by at least one person who is authorised to sign on the basis of the documents presented for the identity check according to 12 (2) GwG (extract from the official register or directory, constitutional documents or equivalent evidentiary documents). A copy of this person s identification document must also be made). Signature of the authorised representative or authorised signatory Signature of the individual acting in person: Place, date Firm name and firm stamp Name of the authorised representative or authorised signatory (in block capitals) Signature of the authorised representative or authorised signatory Verification of the details of the acting person The following identification document has been presented for the purposes of verifying the details of a natural person who is acting in person on behalf of the contracting partner. 1. Type of identity document: Identity card Passport Other 2. ID number: 3. Name of the issuing authority: 4. Expiry date: 8 / 8