Questionnaire

for Corporates – non-Credit Institutions, foreign unincorporated organizations

17

Dear customer,

VTB Bank (PJSC) pays great attention to improving quality of customer service and is willing to meet your expectations and requirements that you set when you inquire with us.

To provide top quality services, our Bank invites you to answer the following questions by filling out the questionnaire legibly by hand or by using technical means.

We would like to emphasize that according to clause 14, article 7 of Federal Law No.115-FZ “On Counteracting Money Laundering and Financing of Terrorism” dated 07.08.2001 clients must provide to credit institutions information that is necessary for execution of the requirements of this Federal Law including information about their beneficiaries, founders (shareholders) and beneficiary owners.

I. Corporate Business

1. Corporate Russian name (full and (or) short) in transliteration
2. Corporate name (full and (or) short)) in foreign languages (if any)
3. Legal status (please, specify and tick þ) / commercial entity
non-profit entity
intergovernmental international organization
foreign non-profit non-governmental organization
4. Company type (please, tick with þ) / legal entity – resident of the Russian Federation
legal entity – non- resident of the Russian Federation
foreign unincorporated organization:
fund
partnership
trust
co-partnership
other form of collective investments and (or) trust management (please, specify):
5. State Registration Details
Primary State Registration Number (OGRN) – for a resident
Registration Number issued at the place of its incorporation and registration – for a non-resident
State registration date of a legal entity
Record number of accreditation of a branch, representative office of a legal entity in the State Register of Accredited Branches, Representative Offices of Foreign Legal Entities (the ARN)
Entry date of the ARN of a branch, representative office of a legal entity in the State Register of Accredited Branches, Representative Offices of Foreign Legal Entities
Registration number (numbers) (if any) assigned to a foreign unincorporated organization in a country/territory of its registration upon its registration
Date of registration (incorporation) of a foreign unincorporated organization
Place of state registration (residence) (in accordance with foundation documents (articles of association))
6. Corporate address (legal entity address within the legal entity location specified in the Unified State Register of Legal Entities (for a legal entity registered in the Russian Federation)/ address in a country of its registration (for a foreign legal entity))
7. Business address[1]
8. Taxpayer Identification Number (TIN) – for a resident
9. Taxpayer Identification Number (TIN) or Foreign Entity Code (KIO) issued before 24.12.2010, or TIN issued after 24.12.2010 – for a non-resident
10. Code (codes) (if any) of a foreign unincorporated organization in a country/ territory of its registration as a tax payer (or its analogy) for a foreign unincorporated organization
11. Code under the Russian Classifier of Administrative and Territorial Entities (OKATO) (if any)
12. Code of the legal entity under the Russian Classifier of Enterprises and Organizations (OKPO) (if any)
13. Codes under the Russian Classifier of Economic Activities (OKVED) (if any)
14. Amount of the authorized and paid out charter (joint-stock) capital or charter fund, property
15. Contact information (such as phone number, fax number, email address, mailing address (if any)

16. Details of your sole executive body

( Tick þ in the case when property structure and (or) organizational structure of your organization does not imply presence of a sole executive body (person in charge))

( Check þ and fill in Item 16.1/Item 16.2 if the powers of your sole executive body are transferred to a management company/ manager)

Full name /
Date of birth /
Place of birth /
Citizenship /
Permanent address (registration address) /
Temporary address /
Details of the ID (name, series (if any) and number, date of issue, name of the issuing authority, issuing authority code (if any)) /
Taxpayer Identification Number /
Contact information (such as phone number, fax number, email address, mailing address (if any) /
Migration card data (for foreign citizens and stateless persons) (card number, start date and expiration date of the period of stay) /
Details of the document confirming the right of a foreign citizen or stateless person to stay (reside) in the Russian Federation (series (if any) and number of the document, start date and expiration date of residence (stay)) /

16.1. Details of the management company (if the powers of your sole executive body are transferred to a management company):

Corporate Russian name (full and (or) short) in transliteration
Corporate name (full and (or) short)) in foreign languages (if any)
Legal status
State Registration Details
Primary State Registration Number (OGRN) – for a resident
Registration Number issued at the place of its incorporation and registration – for a non-resident
State registration date of a legal entity
Record number of accreditation of a branch, representative office of a legal entity in the State Register of Accredited Branches, Representative Offices of Foreign Legal Entities (the ARN)
Entry date of the ARN of a branch, representative office of a legal entity in the State Register of Accredited Branches, Representative Offices of Foreign Legal Entities
Registration number (numbers) (if any) assigned to a foreign unincorporated organization in a country/territory of its registration upon its registration
Date of registration (incorporation) of a foreign unincorporated organization
Place of state registration (residence) (in accordance with foundation documents (articles of association))
Corporate address (legal entity address within the legal entity location specified in the Unified State Register of Legal Entities (for a legal entity registered in the Russian Federation)/ address in a country of its registration (for a foreign legal entity))
Taxpayer Identification Number (TIN) – for a resident
Taxpayer Identification Number (TIN) or Foreign Entity Code (KIO) issued before 24.12.2010, or TIN issued after 24.12.2010 – for a non-resident
Code under the Russian Classifier of Administrative and Territorial Entities (OKATO) (if any)
Code (codes) (if any) of a foreign unincorporated organization in a country/ territory of its registration as a tax payer (or its analogy) for a foreign unincorporated organization:
Code of the legal entity under the Russian Classifier of Enterprises and Organizations (OKPO) (if any)
Information about the license for activities subject to licensing (type, number, date of issue of the license, issuing body; expiry date; list of the licensed activities)
Banking Identification Code (BIK) – for resident credit institutions
Contact information (such as phone number, fax number, email address, mailing address (if any)
Сenter of main interest – for a foreign unincorporated organization
With regard to management company acting as a trust or other foreign unincorporated organization with a similar structure or function:
Trust (owned) property holdings
Information on founders (last name, name, middle name (if any) (name) and residential address (registered address))
Information on trustee (trust manager) (last name, name, middle name (if any) (name) and residential address (registered address))
Details of a document (name, date of issue, expiry date, number) confirming the powers of the customer’s representative

Details of your management company’s governance bodies (if the powers of your sole executive body are transferred to a management company) (structure and membership of the corporate’s governance bodies, except for shareholders (stakeholders) of the corporate holding less than one percent of the corporate’s shares/ stakes; structure and membership of the foreign unincorporated organization’s governance bodies):

Governance body
/
Membership
AGM
Board of Directors (Supervisory Council)
Director (General Director, president, etc.)
Management Board (Directorate)
Other (Specify)

Details of shareholders (stakeholders) of your management company (if the powers of your sole executive body are transferred to a management company) holding one percent or more of the shares (stakes) of another corporate representative:

Name of the shareholder (stakeholder)

/

Percent of the shares (stakes)

/

TIN (if any) \ Date of birth

/

Permanent (temporary) address

16.2. Details of the manager – an individual entrepreneur (if the powers of your sole executive body are transferred to a manager – an individual entrepreneur):

Full name
/
Date of birth
/
Place of birth
/
Citizenship
/
Permanent address
/
Temporary address
/
Permanent (registration) address specified in the Unified State Register of Individual Entrepreneurs
/
Details of the ID (name, series (if any) and number, date of issue, name of the issuing authority, issuing authority code (if any)) /
Taxpayer Identification Number /
Contact information (such as phone number, fax number, email address, mailing address (if any) /
Migration card data (for foreign citizens and stateless persons) (card number, start date and expiration date of the period of stay) /
Details of the document confirming the right of a foreign citizen or stateless person to stay (reside) in the Russian Federation (series (if any) and number of the document, start date and expiration date of residence (stay)) /
Primary State Registration Number of Individual Entrepreneur (OGRNIP) /
State registration date
/
State registration place
/
Information about the license for activities subject to licensing (type, number, date of issue of the license, issuing body; expiry date; list of the licensed activities) /
Details of a document (name, date of issue, expiry date, number) confirming the powers of the customer’s representative /

17. Details of your governance bodies (structure and membership of the corporate’s governance bodies, except for shareholders (stakeholders) of the corporate holding less than one percent of the corporate’s shares/ stakes; structure and membership of the foreign unincorporated organization’s governance bodies). Please mark þ the governance body(-ies) which are present at the corporate address specified in paragraph 6 of the Questionnaire:

Governance body / Membership
AGM
Board of Directors (Supervisory Council)
CEO
Management Board (Directorate)
Other persons entitled to act on behalf of your company without proxy

18. Details of shareholders (stakeholders) holding one percent or more of the shares (stakes) in your company:

Name of the shareholder (stakeholder)
/

Percent of the shares (stakes)

/
TIN (if any) \ Date of birth
/
Permanent (temporary) address
/
Types of activity of the shareholder (stakeholder) – a corporate, individual entrepreneur

19. Your company is a stand-alone division (a branch, a representative office)?

YES NO

If YES, give details of your stand-alone division (a branch, a representative office):

Name
Location
CEO full name
Servicing banks
Code under the Russian Classifier of Administrative and Territorial Entities (OKATO) (if any)
Code of the legal entity under the Russian Classifier of Enterprises and Organizations (OKPO) (if any)
Contact information (such as phone number, fax number, email address, mailing address (if any)

20. Details of the person authorized to open an account for your company (you stand-alone division (a branch, a representative office))[2]:

Full name
/
Date of birth
/

Place of birth

/

Citizenship

/

Permanent address

/

Temporary address

/
Details of the ID (name, series (if any) and number, date of issue, name of the issuing authority, issuing authority code (if any)) /
Taxpayer Identification Number /
Contact information (such as phone number, fax number, email address, mailing address (if any) /
Migration card data (for foreign citizens and stateless persons) (card number, start date and expiration date of the period of stay) /
Details of the document confirming the right of a foreign citizen or stateless person to stay (reside) in the Russian Federation (series (if any) and number of the document, start date and expiration date of residence (stay)) /
Details of a document (name, date of issue, expiry date, number) confirming the powers of the customer’s representative /

21. Details of the person entitled to manage your company’s (your stand-alone division’s (a branch, a representative office) account (deposit))[3]:

Full name

/

Date of birth

/

Place of birth

/

Citizenship

/

Permanent address

/

Temporary address

/
Details of the ID (name, series (if any) and number, date of issue, name of the issuing authority, issuing authority code (if any)) /
Taxpayer Identification Number /
Contact information (such as phone number, fax number, email address, mailing address (if any) /
Migration card data (for foreign citizens and stateless persons) (card number, start date and expiration date of the period of stay) /
Details of the document confirming the right of a foreign citizen or stateless person to stay (reside) in the Russian Federation (series (if any) and number of the document, start date and expiration date of residence (stay)) /
Details of a document (name, date of issue, expiry date, number) confirming the powers of the customer’s representative /

21.1.

22. Details of a beneficiary owner (an individual who finally directly or indirectly (through third persons, including a corporate, several corporates, or a group of related corporates) owns (has a dominant participation in) more than 25 percent in your company’s capital) or directly or indirectly controls your company’s activities, and can affect decision-making in your company) [4]

(It is possible not to provide information about the beneficiary owner to the Bank if one of the following reasons is marked by the þ symbol:

the ownership structure and (or) organizational structure of your organization - non-resident does not presume the presence of a beneficiary owner;

no presence[5] of individuals, who ultimately directly or indirectly own (have a dominant participation of more than 25 percent in your company’s capital) and directly or indirectly control your organization’s activities;

the organization is not obliged to disclose information about its beneficiary owners in accordance with article 6.1 of Federal Law No.115-FZ “On Anti-Money Laundering and Counteracting Terrorism Financing” dated 07.08.2001 because it is:

a state authority body of the Russian Federation;

a state authority body of an entity of the Russian Federation;

a local self-governance body;

a state authority body of a foreign state;

the Central Bank of Russia;

an institution of a state authority body, another state body, a local self-governance body;

a state non-budget fund;

a state corporation;

an organization where the Russian Federation, entities of the Russian Federation or municipal entities own more than 50 percent of shares in capital;

an international organization;