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INSTRUCTIONSFORCOMPLETINGTHECERTIFICATIONAppendixA–CertificationRegardingCorrespondentAccountsForForeignBanks–MustbecompletediftheoriginalCertificationprovidedwasadifferentversionoftheCertificationenclosedinthispacket.Ifyouhaveaglobalcertification(onecertificationforallaccountsyourinstitutionmaintainsatanyU.S.coveredfinancialinstitution)andmaintainthiscertificationonyourwebsiteorhavepostedyourCertificationwithBankersAlmanac,youneedonlyprovideuswiththelink.1.SectionBa.ThefirstboxallowsyoutofilloutonecertificationforallaccountsyourinstitutionmaintainsatanyU.S.coveredfinancialinstitution.ORb.ThesecondboxrequiresthatyouidentifyaspecificU.S.coveredfinancialinstitutionandonlythatinstitutioncanrelyonthecertification.2.SectionC–PhysicalPresence–youmustincludethefullphysicaladdress(noP.O.Boxes),countryandBankingAuthorityforeachlocationyouwishtocoverwiththeCertification.CompletingmultiplepageswithSectionCorusingtheattachedlocation/branchlistingcanaccomplishthis.3.SectionD–IndirectUseofCorrespondentAccounts–thisboxmustbecheckedasconfirmation/certificationthatyouwillnotuseanyaccountswithustodirectlyorindirectlyprovidefinancialservicestoashellbank.4.SectionE–OwnershipInformation–youmustchooseoneoftheboxesindicated.Ifneither1nor2apply,youmustcheckbox3.Ifnoneoftheownersmeetthedefinitionasindicatedinthissection,pleasemarkasN/Aornil.5.SectionF–ProcessAgent–youmustindicateaU.S.personorentitydesignatedtoacceptlegalserviceintheU.S.onyourinstitution’sbehalf.6.SectionG–General–pleaseread,completeandsignasindicatedontheformPleasereviewthecompletedCertificationpriortosending.TheCertificationmustbefullycompletedinorderforustoacceptandapprove.AllnecessaryboxesmustbecheckedandaU.S.ProcessAgentmustbedesignatedonallCertifications.WestronglyrecommendthatyouprovideuswithasinglecertificationthatcoversalltheU.S.CoveredFinancialInstitutionsintheJPMorganChasefamily.ThismeansprovidinguswithanAppendixAthathasthefirstboxunderSectionBmarked.Page2APPENDIXATOSUBPARTIOFPART103–CERTIFICATIONREGARDINGCORRESPONDENTACCOUNTSFORFOREIGNBANKS[OMBCONTROLNUMBER1505-0184]TheinformationcontainedinthisCertificationissoughtpursuanttoSections5318(j)and5318(k)ofTitle31oftheUnitedStatesCode,asaddedbysections313and319(b)oftheUSAPATRIOTActof2001(PublicLaw107-56).ThisCertificationshouldbecompletedbyanyforeignbankthatmaintainsacorrespondentaccountwithanyU.S.bankorU.S.broker-dealerinsecurities(acoveredfinancialinstitutionasdefinedin31C.F.R.103.175(f)).AnentitythatisnotaforeignbankisnotrequiredtocompletethisCertification.AforeignbankisabankorganizedunderforeignlawandlocatedoutsideoftheUnitedStates(seedefinitionat31C.F.R.103.11(o)).Abankincludesoffices,branches,andagenciesofcommercialbanksortrustcompanies,privatebanks,nationalbanks,thriftinstitutions,creditunions,andotherorganizationscharteredunderbankinglawsandsupervisedbybankingsupervisorsofanystate(seedefinitionat31C.F.R.103.11(c)).*ACorrespondentAccountforaforeignbankisanyaccounttoreceivedepositsfrom,makepaymentsorotherdisbursementsonbehalfofaforeignbank,orhandleotherfinancialtransactionsrelatedtotheforeignbank.SpecialinstructionforforeignbranchesofU.S.banks:AbranchorofficeofaU.S.bankoutsidetheUnitedStatesisaforeignbank.SuchabranchorofficeisnotrequiredtocompletethisCertificationwithrespecttoCorrespondentAccountswithU.S.branchesandofficesofthesameU.S.bank.SpecialinstructionforcoveringmultiplebranchesonasingleCertification:AforeignbankmaycompleteoneCertificationforitsbranchesandofficesoutsidetheUnitedStates.TheCertificationmustlistallofthebranchesandofficesthatarecoveredandmustincludetheinformationrequiredinPartCforeachbranchorofficethatmaintainsaCorrespondentAccountwithaCoveredFinancialInstitution.Useattachmentsheetsasnecessary.A.Theundersignedfinancialinstitution,_BANKOFNINGXIA__(“ForeignBank”)herebycertifiesasfollows:B.CorrespondentAccountsCoveredbythisCertification:Checkonebox.ThisCertificationappliestoallaccountsestablishedforForeignBankbyCoveredFinancialInstitutions.ThisCertificationappliestoCorrespondentAccountsestablishedby_______________forForeignBank.*A“foreignbank”doesnotincludeanyforeigncentralbankormonetaryauthoritythatfunctionsasacentralbank,oranyinternationalfinancialinstitutionorregionaldevelopmentbankformedbytreatyorinternationalagreement.√C.PhysicalPresence/RegulatedAffiliatedStatus:Checkoneboxandcompletetheblanks.ForeignBankmaintainsaphysicalpresenceinanycountry.Thatmeans:ForeignBankhasaplaceofbusinessatthefollowingstreetaddress:NO.157BEIJINGZHONGLUYINCHUANNINGXIACHINA,whereForeignBankemploysoneormoreindividualsonafull-timebasisandmaintainsoperatingrecordsrelatedtoitsbankingactivities.Theaboveaddressisin_CHINA________________________(insertcountry),whereForeignBankisauthorizedtoconductbankingactivities.ForeignBankissubjecttoinspectionbyCHINABANKINGREGULATORYCOMMISSION_______________________,(insertBankingAuthority),thebankingauthoritythatlicensedForeignBanktoconductbankingactivities.ForeignBankdoesnothaveaphysicalpresenceinanycountry,butForeignBankisaregulatedaffiliate.Thatmeans:ForeignBankisanaff
本文标题:美国爱国者法案USAPA
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