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Comments

Basic Details

Is your business a Corporate or a Partnership?Corporate - business organisation that meets certain legal requirements to be recognised as having a legal existence as an entity separate and distinct from its owners.<br/>Partnership - business organisation in which two or more individuals pool resources and share profit and loss in accordance with terms of the partnership agreement.
<p>Provide the company name as it appears on either your:</p><ul><li>business registration documents</li><li>certificate of incorporation</li><li>certificate of incumbency</li><li>certificate of incorporation on change of name</li></ul>
List any and all trade names associated to your business or, any names your company operates under.
This number can typically be found in your certificate of incorporation, articles of association or business name filing documents e.g. business registration certificate or trade license etc.
The date of incorporation can be found in your certificate of incorporation, articles of association or business name filing documents e.g. business registration certificate or trade license etc.
What was your date of incorporation? is a date and must be in the past. The date format is DD/MM/YYYY
What was your date of business formation? is a date and must be in the past. The date format is DD/MM/YYYY
The country of incorporation can be found in your certificate of incorporation, articles of association or business name filing documents e.g. business registration certificate or trade license etc.
Are you a commercial operating business or a holding company? Indicate if the business is an actual operating enterprise or if it is holding entity that owns other companies or assets.
Indicate the economic purpose for your business being set up as a holding company. Typical examples include for tax management, or for organisational/reporting line clarity.
<p>Indicate if the entity is one of the following:</p><ol><li>Ultimate Parent - An Ultimate Parent owns enough voting stock in another firm to control management and operations by influencing or electing its board of directors, the second business being deemed as a subsidiary of the Parent. The ultimate parent may also have a number of branches.</li><li>Stand Alone - An independent operating firm with no branches or subsidiaries.</li><li>Subsidiary - A subsidiary is an entity that is controlled by a separate higher entity. The controlling entity is called its Parent.</li><li>Branch - A location, other than the main office, where business is conducted but which is not a separate legal entity.</li><li>Joint Venture - A joint venture is a contractual business undertaking between two or more parties.</li></ol>
Provide the ultimate parent name as it appears on either their:<br/>- business registration documents <br/>- certificate of incorporation<br/>- certificate of incumbency<br/>- certificate of incorporation on change of name
Is the customer an acceptably publicly listed entity?
Is the customer an equivalently regulated financial institution?
Is the customer or mastergroup classified as wholesale?

Comments

Business Details

Primary Industry Field Set
Please confirm the primary business industry accurately reflects the business. If the industry identified below is incorrect or not displayed, please search for the most appropriate industry by using the ‘Search for Industry’ field immediately below.
Please enter a ‘key word’ of the business industry, then select the most appropriate industry by clicking on the list of available options in the field above. If you cannot locate the correct industry, please type an alternate ‘key word’.
Examples of material changes includes a new beneficial owner of the entity, change of company name or change of nature of your business.
Do you manage third party funds? Management of third party funds includes holding customers’ funds, managing customers’ money or making payments on behalf of your customers
Is the sole trader simple or complex?
This is the country where your headquarters are located
Do you generate more than 10% revenue from any country?Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Country

Please provide the actual percentage of revenue generated within
Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Please enter value between 10 - 100.
Do you acquire more than 10% purchases from any country?Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Country

Please provide the actual percentage of purchases acquired in
Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Please enter value between 10 - 100.
Do you hold more than 10% assets in any country?Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Country

Please provide actual percentage of assets you hold within
Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Please enter value between 10 - 100.

Country

Are you reliant on any one customer for more than 50% of your annual revenue?
<p>Please select all those that are applicable from below:</p><ul><li>Individuals</li><li>Businesses</li><li>Governments / Public Sector</li><li>Banks and Other Financial Institutions</li><li>Non Profit Organisation</li></ul>
Are you / any companies within your group structure capable of issuing bearer shares? A bearer share is an equity security wholly owned by whoever holds the physical stock certificate.<br/>The articles of incorporation or other registration documents will indicate if bearer shares have been issued or if the business has the capability of issuing bearer shares.<br/>Please note that this includes intermediate owners.<br/>Intermediate Owner is an entity or legal arrangement (e.g. a structure such as a Trust or Foundation) identified as existing within the corporate structure that sits between your business and the ultimate parent in the ownership chain.
Have you / any companies within your group structure issued bearer shares?
Is the customer's country of incorporation in either:
- A jurisdiction where bearer shares are not permitted by law, or
- An approved jurisdiction for bearer shares, i.e. the jurisdiction has enforced legislation that requires bearer shares to be registered in a public registry?
Do you currently hold or have you ever held a diplomatic or government position including local government positions?
Please see the help text for full list of positions.<p>Positions include:</p><ul><li>Head of state or Head of government</li><li>Senior civil servant in national government</li><li>Head of regional government</li><li>Senior/high profile politician</li><li>Senior executive of any state owned enterprises</li><li>State agency official</li><li>Large City Mayor</li><li>Senior member of the national police service, law enforcement agency or intelligence services</li><li>Ambassador</li><li>Senior executive of any national NGO</li><li>Political pressure group/labour group senior official</li><li>Leader Or Senior Official In A Political Pressure</li><li>Senior member of the judiciary</li><li>Head Of A Supranational Body(United Nations,IMF,WB</li><li>Senior Member Of A Diplomatic Group (e.g. Ambassador)</li><li>Member of a Ruling Royal Family</li><li>National government minister</li><li>Member of the national legislature</li><li>Deputy national government minister</li><li>State corporation executive</li><li>Regional government executive</li><li>Political party officials</li><li>High Ranking Military Official/Personnel</li></ul>
Does a immediate family member or an associate currently hold or has ever held a diplomatic or government position including local government positions?
Please see the help text for full list of positions and the definition of family members.<p>Family members include:</p><ul><li>Husband;</li><li>Wife;</li><li>Partner - Note: an equivalent status of the relationship of a spouse;</li><li>Mother; and Mother-in-law</li><li>Father; and Father-in-law</li><li>Brother; and Brother-in-Law</li><li>Sister; and Sister-in-Law</li><li>Son and partner, including son-in law;</li><li>Daughter and partner, including daughter-in-law;</li></ul><br/><p>Close associates include:</p><ul><li>Immediate Family Member</li><li>Aides and other close advisers</li><li>Business Associates</li><li>Interest or influence over Businesses/Companies</li><li>Customer</li><li>Business Partner</li><li>Joint Board Membership of Company</li><li>Joint BO of Legal Entity or Legal Arrangement</li><li>Corporate Group Member</li><li>Parent Company</li></ul><br/><p>Positions include:</p><ul><li>Head of state or Head of government</li><li>Senior civil servant in national government</li><li>Head of regional government</li><li>Senior/high profile politician</li><li>Senior executive of any state owned enterprises</li><li>State agency official</li><li>Large City Mayor</li><li>Senior member of the national police service / law</li><li>Enforcement Agency or Intelligence Services</li><li>Ambassador</li><li>Senior executive of any national NGO</li><li>Political pressure group/labour group Snr Official</li><li>Leader Or Senior Official In A Political Pressure Group</li><li>Senior member of the judiciary</li><li>Head Of A Supranational Body(United Nations,IMF,WB</li><li>Senior Member Of A Diplomatic Group (E.G. Ambassa</li><li>Member of a Ruling Royal Family</li><li>National government minister</li><li>Member of the national legislature</li><li>Deputy national government minister</li><li>State corporation executive</li><li>Regional government executive</li><li>Political party officials</li><li>High Ranking Military Official/Personnel</li></ul>
Do any family members or close associates fund your bank account(s)?
Person

Person

Please provide details on the significant sources of funds that were injected into the business by this person when it was first established and also any ongoing contribution to the cash flow requirements of your business

Comments

Contact Details
Have you changed your legal name in the last 3 years?

Previous Name

What is your date of birth? is a date and must be in the past. The date format is DD/MM/YYYY
This can be found in your passport or birth certificate. Please provide town or city
Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
If more than one applies, please select the multiple countries.
Please enter your address
When did you move into this address? is a date and must be in the past. The date format is DD/MM/YYYY
Previous Residential Address

Previous Residential Address

Please enter your address
When did you move into this address? is a date and must be in the past. The date format is DD/MM/YYYY
Please enter your address
This address can be typically found on the business registration documents filed in the country of registration.</br>For Branches, the registered address should be the address of the entity that the branch is attached.
Is the principal business address the same as the registered office address?This is the address where the business’s head office or main place of operation is located.
Is the principal business address the same as your residential address?
Please enter your address
This is the address where the business’s head office or main place of operation is located.
Is the correspondence address the same as the registered office address?The correspondence address is typically where your post mail is received.
Is the correspondence address the same as your residential address?The correspondence address is typically where your post mail is received.
Please enter your address
The correspondence address is typically where your post mail is received.
Please note that any reference to ‘Country’ throughout the following forms covers countries and territories
Country

Please provide the actual information for this country
Do you have a tax identification number (TIN)?A Taxpayer Identification Number (TIN) is an identifying number used for tax purposes. Alternative names for your TIN are Unique Tax reference (UK), Business Registration Number (Hong Kong), Business Number (Canada) or SIREN (France)

Country

Comments

Financial Information

What was your annual sales revenue in the last fiscal year?If your business is a start up and has not been operating for 12 months, please answer based on your business plan.
Please provide all significant sources of funds that were injected into the business when it was first established / incorporated.
The amount initially invested

Please enter the amount initially invested through this source of investment.
Please enter value between 0 - 100.
Ongoing cash flow

Please enter value between 0 - 100.
Please select all applicable
Do you expect to see an increase/decrease of 20% or more annually with respect to the following:
1) the value of annual cash transactions expected to flow through your accounts?For e.g. Cash transactions will fall by c.50% as we now have card terminals and can collect card payments online.
What is the total expected value of these transactions annually including the increase/decrease?For e.g. 1. Decrease in Cash Transactions of US$200k per annum, and; 2. Increase in international payments of US$100k
Please enter value between 0 - 100.
2) the value of annual international payments to or from your account?For e.g. Increase in international payments (overall c.30% increase) as we have are now buying our products direct from our overseas supplier rather than via a domestic wholesaler
What is the total expected value of these transactions annually including the increase/decrease?For e.g. 1. Decrease in Cash Transactions of US$200k per annum, and; 2. Increase in international payments of US$100k
Please enter value between 0 - 100.
Please note that any reference to ‘Country’ throughout the following forms covers countries and territories

Comments

Sanctions Exposure

The following questions will help us to understand the degree of your exposure to sanction countries
Do you or any of your connected parties have current or planned business activities in Iran, Sudan, South Sudan, North Korea, Syria, Cuba, Belarus or Zimbabwe, Crimea / Sevastopol?
And / Or
Do you or any of your connected parties have current or planned business activities in Russia specifically in the energy / oil, and gas sector or the military or defence?
This includes both direct and indirect business activities within any of the above countries / jurisdictions.

The helptext provided outlines the definition of indirect business activities.<p>Business activity includes operations, suppliers, customers, agents, origin or shipping of goods and interactions / exposure to state owned or controlled entities.</p><p>Indirect business refer to the sale or purchase of goods or services by a third-party, such as a partner or affiliate, rather than a company's personnel. Indirect business is often done through resellers, such as specialty stores and big box retailers.</p><p>Please refer to the explanation of Connected Parties on the Connected Parties tab.</p>
To the best of your knowledge, does the company or any of the company’s connected or other related parties have a presence in Iran, Sudan, North Korea, Syria, Cuba or Crimea / Sevastopol region?

The helptext provided outlines the definition of presence.Presence: An entity that has its registered office address, business address, correspondence address or principal place of operations in one of the locations provided.
To the best of your knowledge, are the company or any of the company’s connected or other related parties currently sanctioned by the following bodies: UN, EU, UKHMT, HKMA, OFAC, or as part of locals sanctions law?
To the best of your knowledge, is the company 50% or more owned or controlled by the government of Venezuela?
To the best of your knowledge, does the company or any of the company’s connected or other related parties have current or planned business activity with the government of Venezuela, or with an entity that is 50% or more owned or controlled by the government of Venezuela?
I acknowledge that in the absence of prior bank approval, even if authorized under local regulation, that I may not utilize the bank's products or services for activity involving Iran, Sudan, North Korea, Syria, the Crimea/Sevastopol Regions, or Cuba or an individual, entity or organisation targeted by Sanctions administered by the UN, EU, OFAC, HKMA, HMT or as part of local Sanctions law.

Comments

Connected Parties

This section will help us to understand more about the ownership of your business as well as any other connected parties.

Beneficial owners:
A beneficial owner is an individual or an entity who owns or exercises control over your business through either;
- their shareholding or other ownership interest in your business;
- control over the voting rights;
- exercising other control over the composition and/or the voting of the Board of Directors

A beneficial owner can also be the party on whose behalf a transaction or activity is being conducted.

Ultimate beneficial owner (UBO):
UBO is usually an individual who ultimately owns a legal entity and/or the person on whose behalf a transaction is being conducted. The UBO is any individual or government body that owns, has the right to vote, or has the power to sell or direct the sale of a class of the business’ voting securities of an Intermediate Owner.

An intermediate beneficial owner (IBO):
IBO is an entity or legal arrangement (e.g. a structure such as a Trust or Foundation) identified as existing within the corporate structure that sits between your business and the UBO (as defined above) in the ownership chain.

Key controller (KC):
Is someone who is elected or appointed to exercise more direct control over the legal entity, by participating in the governance or senior executive activities of the business. Key controllers typically set the strategic direction of the entity. The title given to a key controller varies. Most commonly, a key controller will include the Chief Executive Officer (CEO), Chief Financial Officer (CFO), managing partner and chairman of the board. Usually, control is exercised jointly with other directors / senior executive management.

Director/Partners:
A director or a partner is an appointed member of a business board and may be either an executive or a non-executive. The roles and responsibilities of a board of directors will vary according to the type of entity. For entities, certain directors and managers will be classified as key controllers, due to their ability to exercise significant control over an entity and to have a substantial influence over the day-to-day management of the business.

Direct appointee:
A direct appointee is a person authorized by the business to act on its behalf for the banking relationship and also to delegate authority to others to represent the business in more limited circumstances. The direct appointees may appoint authorized signatories. Direct appointees cannot be a key controller but are typically appointed by key controllers or the board of directors.

Other related party:
They support or provide advice to the business, but sit outside of the management or ownership structure.
Examples of other related parties include: lenders in syndicated lending deals, arranger in SPVs, insurance manager in captive insurance.

Authorised Signatory:
An Authorised Signatory is a person who receives delegated authority to your bank products and services. Authorised Signatories with Sole Authority over your account/ Financial affairs are also considered to be Key Controllers due to the influence they have over the business. Please include sole signatories as key controllers within your response.
This section will help us to understand more about the ownership of your business as well as any other connected parties.

Key controller (KC) - is someone who is elected or appointed to exercise more direct control over the legal entity, by participating in the governance or senior executive activities of the business. Key controllers typically set the strategic direction of the entity. The title given to a key controller varies according to the type of entity, country of operation, and country of incorporation / registration / formation.
Does the ultimate beneficial owner of the business belong to a family group that collectively owns more than 10% of the business?
Does the ultimate beneficial owner of the business belong to a family group that collectively owns more than 25% of the business?

Connected Party

Please provide the following details of the new connected party
As an example if an individual owns more than 25% off the company, is a director, an authorised signatory and also a strategic decision maker you should select Ultimate Beneficial Owner, Director, Authorised Signatory and Key Controller
As an example if an individual owns more than 25% off the company, is a director, an authorised signatory and also a strategic decision maker you should select Ultimate Beneficial Owner, Director, Authorised Signatory and Key Controller
For beneficial owners ( ultimate beneficial owner or government or trust or connected party of trust ) please provide details of owners with 10% or more ownership in the business.
For beneficial owners ( ultimate beneficial owner or government or trust or connected party of trust ) please provide details of owners with 25% or more ownership in the business.
Is this a trust or a foundation?
Please enter value between 0 - 100.
What is their date of birth? is a date and must be in the past. The date format is DD/MM/YYYY
What is their permanent residential address?
What is the registered address?
If trust is not registered then the Trustee's address needs to be recorded.
What is the registered address?
Is the key controller's registered office address the same as the principal business address?
What is the principal business address of key controller?
Please provide the following information:<br/><ol><li>Is this entity regulated by a regulatory body?</li><li>If yes, which jurisdictions is it regulated in and what is the name of the regulatory body?</li><li>Is this entity listed on any stock exchange?</li><li>If yes, which stock exchange is this entity listed on?</li></ol>
Does this key controller have ultimate beneficial owners with 10% or more ownership? Please use the ADD button to list new beneficial owners
Does this key controller have ultimate beneficial owners with 25% or more ownership? Please use the ADD button to list new beneficial owners
Please provide the following details for the beneficial owners of the key controller