Vienna, 01.01.1900
Know-Your-Customer (KYC) Information for Raiffeisen Bank International AG (RBI)
Dear Sir or Madam,
pursuant to the regulatory requirements of
Þ the 4th EU Anti-Money Laundering Directive
Þ the Financial Markets Anti-Money Laundering Act (FM-GwG)
Þ the Beneficial Owner Registry Act (WiEReG)
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 4th 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.
Kind regards,
Raiffeisen Bank International AG
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Part I:
Basic Information on the legal entity
Customer name (according to company register):
Registered adress and registration country (according to company register):
Street:
Postal Code:
City:
Country
Contact person for KYC (Know your Customer) matters:
Name:
E-Mail:
Telephone number:
Acting for own account or for the account of others/on behalf of a third party
Our company intends to conduct the business relationship with your bank
☐… for my own account (not acting as a trustee).
☐… on the account of others/on behalf of a third party.
In case you intend to conduct your business relationship for the account of others or on behalf of a third party/as a trustee, please disclose all trustors (natural and legal persons):
To fulfill statutory and regulatory requirements in accordance with article 6 para. 1 no. 5 in connection with para. 2 and para. 3 FM-GwG, the customer has to provide relevant documents (documents to verify the existence of the trustor(s); e.g. trust agreement; natural persons: official photo identification or copy of the official photo identification of the trustor(s); legal entities: meaningful supporting documents of the trustor(s)).
Please note that in case of a business relationship for the account of others or on behalf of a third party, the information according to Part II and Part III of this document have to be provided regarding the trustor(s) as well as for the trustee(s).
Name of the trustor(s)(natural persons) / Birth / Citizenship(s) / Country of Residence
Date / City and Country
Name of the trustor(s)
(legal entities) / Address and Country of Registration / Address and Country of Administrative Office
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 Date
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Part II:
Information in relation to:
1. all statutory representatives and
2. other authorized representatives of your legal entity, who are entitled to and actively execute banking business with RBI
ad 1.: All Statutory Representatives (such as executive management, directors and executive board members)Supervisory Board members/non-executive directors are not required.
First Name / Surname / Birth / Citizenship(s) / Country of Residence / Function
Date / City and Country
ad 2.: Other authorized representatives who are entitled to and actively execute banking business with RBI 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 / Citizenship / Country of Residence / Function
Date / City and Country
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Part III:
Ultimate Beneficial Owners (= Natural persons)
Please indicate all beneficial owners according to the definition as stated in Part IV in accordance with Article 2 WiEReG.
Telephone number of the ultimate beneficial owners (optional):
First Name / Surname / Birth / M(ale) / F(emale) / Citizenship (s) / Country of Residence / Kind of beneficial ownership*Date / City and Country
*Please declare the kind of beneficial ownership as follows:
d – Direct beneficial ownership / SBO – Subsidiary beneficial ownershipid – Indirect beneficial ownership / S –Settlor/Trustor/Founder
T – Trustee(s) / P – Protector
Be–Beneficiary(ies) / FC – Member of the foundation council
aC – Beneficial ownership through alternative control
Please fill in either
· the Ownership Structure or
· Attach an organizational chart displaying your ownership structure including the registration country and percentage of each entity up to the UBO, signed by an authorized signatory.
☐ see attached organizational chart dated
Ownership Structure (= all legal entities in the ownership structure of the customer up to the ultimate beneficial owner)
In order to be able to identify any participations (direct or indirect) which have to be added on every layer of the ownership structure, please provide an overview of any participations (including those < 25%) including all trusteeships (pls. compare to explanations in Part IV).
Name of Legal Entity / Legal Form / Address and Country of Registration / Address and Country of Administrative Office / Percentage / Level in Ownership Structure (L1/L2/L3…) / Participation (P), Control (C) and/or Trusteeship (T)12
Part IV:
Information about the “Beneficial Owner“
(According to Article 2 WiEReG, Article 2 no 3 FM-GWG)
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Definition of the beneficial owner according to Article 2 WiEReG as follows:Also refer to Annex 1
· Definition of the beneficial owner of legal entities:
Beneficial owner(s) of legal entities [e.g. Austrian corporations (GmbH, AG), incorporated Austrian associations with legal capacity (OG, KG) and comparable foreign or European corporations (SE, EEIG)] are all natural persons who hold a sufficient direct or indirect participation through shares or voting rights in the company or exercise control over the management of the company.
· Direct beneficial ownership: In case a natural person holds more than 25% of the shares or a participation that exceeds 25% of the company.
· Indirect beneficial ownership: In case a legal person in the meaning of Article 1 WiEReG or comparable foreign or European corporations holds more than 25% of the shares or a participation that exceeds 25% of the company and this legal person is controlled directly or indirectly by a natural person.
· Subsidiary beneficial ownership: In case no direct or indirect beneficial owner can be determined all members of the senior management (e.g. directors, board members) of the company who are natural persons are considered as beneficial owners[1].
Control exists in particular in case a sufficient direct or indirect holding of shares exceeding 50% or a participation exceeding 50% is given.
Alternative Control: Further control exists when the criteria for a “controlling company” according to Article 244 no 2 UGB are met. Also control can exist through trusteeships or similar legal relationships. In addition control is exercised by all natural persons who perform any function as stated below of a foundation / trust / charitable fund at the end of the ownership chain.
In case two or more legal entities, which are controlled directly or indirectly by the same natural person, are overall holding more than 25% of the shares or a participation that exceeds 25% of the company, this natural person is considered as an indirect beneficial owner. A direct participation of a natural person in the company has to be added. In order to be able to identify all possible aggregations an overview of all participations (also below 25%) including all trusteeships in the ownership chain has to be presented.
Beneficial owners of foundations / trusts / charitable fund (acc. To Article 1 BStFG 2015) are all following natural persons:
· Founder / Settlor / Trustor
· Trustees
· Beneficiaries / Class of beneficiaries
· Members of the foundation council / board of the fund
· Every other natural person who exercises control over the foundation / trust / charitable fund in a different way
If your legal entity is listed on a stock exchange (only trusted stock exchanges[2] are accepted), please state the name of this stock exchange and provide the stock exchange identification:
Name of the stock exchange:
Identificationnummer / ISIN:
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.
Part V:
If there are any changes regarding information on beneficial owners, authorized representatives, a possible trusteeship or information about offshore structures in the 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 the Compliance Office of RBI.
With the signature I confirm the following:
I/We confirm that all in this KYC-Letter disclosed information is accurate and true considering the definitions of Part IV of this document.
I/We hereby give our explicit consent that Raiffeisen Bank International AG (RBI) may disclose any data or information in this KYC-Letter to entities being part of Raiffeisen Group (seated in and outside of Austria, being a subsidiary/branch, participation of RBI or any regional Raiffeisen bank) solely for the purpose of fulfilling the KYC-obligations of the customer within Raiffeisen Group.
______
Name of legal entity
______
Signature on behalf of the legal entity Date
______
Name of the signee Name of the signee
Annex I:
Examples for the calculation of Beneficial Owners by shares
Example I: The customer is a legal entity (company)
Level in ownership structure:
Level 1: Company I, Company II, Person V
Level 2: Person I, Person II, Person III, Person IV
UBO:
Person I: Beneficial Ownership through a participation of 100% in Company I (Control), as well as through the participation of Company I in the customer (30%).
Person V: Beneficial Ownership through a direct participation in the customer of 40%.
Irrelevant legal entities/persons in the ownership structure and UBO in this example:
Irrelevant legal entities/persons in the ownership structure: Person II, Person III and Person IV as they hold 25% or less of shares on the first ownership level or because they do not exceed the defined control element (>50%) on the following ownership levels.
Example II: The customer is a legal entity (company)
Level in ownership structure:
Level 1: Company I, Company II, Company IV, Company V, Person VI
Level 2: Company III, Person I, Person III, Person IV, Person V
Level 3: Person II
UBO:
Person I: Beneficial Ownership through the participation of 51% in Company I (Control) and the aggregation of the participation of company I in the customer (11%) and the direct participation of person I in the customer (15%).
Person II: Beneficial Ownership through the participation of 100% in Company III (Control), which holds a participation in company II (54%), which holds a participation of 26% in the customer.
Person V Beneficial Ownership through the participations of 51% in Company IV and Company V (Control) and the aggregation of the participation of Company IV (10%) and Company V(16%) in the customer.
Irrelevant legal entities/persons in the ownership structure and UBO in this example:
Irrelevant legal entities/persons in the ownership structure: Person III, Person IV and Person VI as they hold 25% or less of shares on the first ownership level or because they do not exceed the defined control element (>50%) on the following ownership levels.
Example III: The customer is a legal entity (company)
Level in ownership structure:
Level 1: Company I, Company II, Person VI
Level 2: Foundation, Company III, Person I, Person II
Level 3: Members of the foundation, Person III
UBO:
Members of the foundation: Beneficial Owners are the founder, the members of the foundation council and the beneficiaries as they are all members of a relevant foundation at the end of an ownership structure (first level participation exceeding 25%, second level exceeding 50%).
Person III: Beneficial Ownership through the participation of 100% in Company III (Control), which holds a participation in Company II (54%), which holds a participation of 30% in the customer.
Person IV: Beneficial Ownership through a direct participation in the customer of 40%.
Irrelevant legal entities/persons in the ownership structure and UBO in this example:
Irrelevant legal entities/persons in the ownership structure: Person I and Person II as they hold 25% or less of shares on the first ownership level or because they do not exceed the defined control element (>50%) on the following ownership levels.
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[1] If all shareholders of incorporated Austrian associations with legal capacity (OG, KG) are natural persons only, all managing partners are considered as beneficial owners in case there is no reason to believe that there is (are) a different person(s) exercising direct or indirect control over the company. If no member of a commercial and industrial cooperative (“Erwerbs- und Wirtschaftsgenossenschaft”) holds more than 25% of the share and there is no reason to believe that there is (are) a different person(s) exercising direct or indirect control over the commercial and industrial cooperative, the members of the senior management (e.g. board members) are considered as beneficial owners.
[2] Anerkannte Wertpapierbörsen sind: 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 Brussels, 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 Stockholm, 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, Santiago Electronic Stock Exchange, Santiago Stock Exchange, Sapporo Stock Exchange, Shanghai Stock Exchange, Shezhen Stock Exchange, Sibiu Stock Exchange, Singapore Exchange, Stock Exchange of Singapore, 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