美国爱国者法案USAPA

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.APPENDIXATOSUBPARTIOFPART103–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.C.PhysicalPresence/RegulatedAffiliatedStatus:Checkoneboxandcompletetheblanks.ForeignBankmaintainsaphysicalpresenceinanycountry.Thatmeans:·ForeignBankhasaplaceofbusinessatthefollowingstreetaddress:NO.157BEIJINGZHONGLUYINCHUANNINGXIACHINA,whereForeignBankemploysoneormoreindividualsonafull-timebasisandmaintainsoperatingrecordsrelatedtoitsbankingactivities.·Theaboveaddressisin_CHINA________________________(insertcountry),whereForeignBankisauthorizedtoconductbankingactivities.·ForeignBankissubjecttoinspectionbyCHINABANKINGREGULATORYCOMMISSION_______________________,(insertBankingAuthority),thebankingauthoritythatlicensedForeignBanktoconductbankingactivities.ForeignBankdoesnothaveaphysicalpresenceinanycountry,butForeignBankisaregulatedaffiliate.Thatmeans:·ForeignBankisanaffiliateofadepositoryinstitution,creditunion,oraforeignbankthatmaintainsaphysicalpresenceatthefollowingstreetaddress:_________________________________,whereitemploysoneormorepersonsonafull-timebasisandmaintainsoperatingrecordsrelatedtoitsbankingactivities.·Theaboveaddressisin____________________________________(insertcountry),wherethedepositoryinstitution,creditunion,orforeignbankisauthorizedtoconductbankingactivities.·Foreignbankissubjecttosupervisionby________________________(insertBankingAuthority),thesamebankingauthoritythatregulatesthedepositoryinstitution,creditunion,orforeignbank.ForeignBankdoesnothaveaphysicalpresenceinacountryandisnotaregulatedaffiliated.D.IndirectUseofCorrespondentAccounts:Checkboxtocertify.NoCorrespondentAccountmaintainedbyaCoveredFinancialInstitutionmaybeusedtoindirectlyprovidebankingservicestocertainforeignbanks.ForeignBankherebycertifiesthatitdoesnotuseanyCorrespondentAccountwithaCoveredFinancialInstitutiontoindirectlyprovidebankingservicestoanyforeignbankthatdoesnotmaintainaphysicalpresenceinanycountryandthatisnotaregulatedaffiliate.E.OwnershipInformation:Checkbox1or2below,ifapplicable.1.FormFRY-7isonfile.ForeignBankhasfiledwiththeFederalReserveBoardacurrentFormFRY-7andhasdiscloseditsownershipinformationonItem4ofFormFRY-7.2.ForeignBank’ssharesarepubliclytraded.Publiclytradedmeansthatthesharesaretradedonanexchangeoranorganizedover-the-countermarketthatisregulatedbyaforeignsecuritiesauthorityasdefinedinsection3(a)(50)oftheSecuritiesExchangeActof1934(15U.S.C.78c(a)(50)).Ifneitherbox1or2ofPartEischecked,completeitem3below,ifapplicable.3.ForeignBankhasnoowner(s)exceptassetforthbelow.ForpurposesofthisCertification,ownermeansanypersonwho,directlyorindirectly,(a)owns,controls,orhasthepowertovote25percentormoreofanyclassofvotingsecuritiesorothervotinginterestsofForeignBankor(b)controlsinanymannertheelectionofamajorityofthedirectors(orindividualsexercisingsimilarfunctions)ofForeignBank.ForpurposesofthisCertification,(i)personmeansanyindividual,bank,corporation,partnership,limitedliabilitycompanyoranyotherlegalentity;(ii)votingsecuritiesorothervotinginterestsmeanssecuritiesorotherintereststhatentitletheholdertovotefororselectdirectors(orindividualsexercisingsimilarfunctions);and(iii)membersofthesamefamily*shallbeconsideredoneperson. Name Address Thereisnoownerwhodirectlyandindirectlyowns,controlsandhasthepowertovote25percentormore F.ProcessAgent:Completethefollowing:Thefollowingindividualorentity:_CORPORATIONSERVICECOMPANY____________________________________isaresidentoftheUnitedStatesatthefollowingstreetaddress:2711CENTERVILLEROADWILMINGTON,DE19808___________________________________andisauthorizedtoacceptserviceoflegalprocessonbehalfofForeignBankfromtheSecretaryoftheTreasuryoftheAttorneyGeneraloftheUnitedStatespursuanttoSection5318(k)oftitle31,UnitedStatesCode.G.GeneralForeignBankherebyagreestonotifyinwritingeachCoveredFinancialInstitutionatwhichitmaintainsanyCorrespondentAccountofanychangeinfactsorcircumstancesreportedinthisCertification.Notificationshallbegivenwithin30calendardaysofsuchchange.ForeignBankunderstandsthateachCoveredFinancialInstitutionatwhichitmaintainsaCorrespondentAccountmayprovideacopyofthisCertificationtotheSecretaryoftheTreasuryandtheAttorneyGeneraloftheUnitedStates.ForeignBankfurtherunderstandsthatthestatementscontainedinthisCertificationmaybetransmittedtooneormoreDepartmentsoragenciesoftheUnitedStatesofAmericaforthepurposeoffulfillingsuchdepartments’andagencies’governmentalfunctions.I,__ZHANGYUE_________(nameofsignatory),certifythatIhavereadandunderstandthisCertification,thatthestatementsmadeinthisCertificationarecompleteandcorrect,andthatIamauthorizedtoexecutethisCertificationonbehalfofForeignBank.BANKOFNINGXIA_CO,LTD________________________________[NameofForeignBank]___________________________________086-951-5011367________________[Signature][PhoneNumber]ZHANG__YUE___________________086-951-5034082_________________[PrintedName][Fax]GENERALMANAGEROFINTERNATIONALBUSINESSDEPT._____________banknx@163.com________________[Title][E-mailaddress]Executedonthis__SIXTH___dayof_______MAY_______________,2015___.Receivedandreviewedby:Name:_______________________________________Title:_______________________________________For:：Date:______________________________AttachmenttoUSAPATRIOTActCertificationsGlobalListingofallRelatedAffiliates,SubsidiariesandBranches EntityNameandRelationshiptoEntityIndicatedinSectionA(i.e.affiliate,subsidiaryorbranch) StreetAddress BankingAuthority Street City State PostalCode Country √√√√*A“foreignbank”doesnotincludeanyforeigncentralbankormonetaryauthoritythatfunctionsasacentralbank,oranyinternationalfinancialinstitutionorregionaldevelopmentbankformedbytreatyorinternationalagreement.*Thesamefamilymeansparents,spouses,children,siblings,uncles,aunts,grandparents,grandchildren,firstcousins,stepchildren,stepsiblings,parents-in-lawandspousesofanyoftheforegoing.Indeterminingtheownershipinterestsofthesamefamily,anyvotinginterestofanyfamilymembershallbetakenintoaccount.8Page6