美国爱国者法案USAPA.docx

美国爱国者法案USAPA.docx

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美国爱国者法案USAPA

Instructionsforcompletingthecertification

AppendixA–CertificationRegardingCorrespondentAccountsForForeignBanks–MustbecompletediftheoriginalCertificationprovidedwasadifferentversionoftheCertificationenclosedinthispacket。

Ifyouhaveaglobalcertification（onecertificationforallaccountsyourinstitutionmaintainsatanyU。

S.coveredfinancialinstitution）andmaintainthiscertificationonyourwebsiteorhavepostedyourCertificationwithBankersAlmanac,youneedonlyprovideuswiththelink.

1.SectionB

a.ThefirstboxallowsyoutofilloutonecertificationforallaccountsyourinstitutionmaintainsatanyU.S。

coveredfinancialinstitution。

OR

b.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，completeandsignasindicatedontheform

PleasereviewthecompletedCertificationpriortosending.TheCertificationmustbefullycompletedinorderforustoacceptandapprove.AllnecessaryboxesmustbecheckedandaU.S.ProcessAgentmustbedesignatedonallCertifications。

WestronglyrecommendthatyouprovideuswithasinglecertificationthatcoversalltheU。

S.CoveredFinancialInstitutionsintheJPMorganChasefamily.ThismeansprovidinguswithanAppendixAthathasthefirstboxunderSectionBmarked。

APPENDIXATOSUBPARTIOFPART103–

CERTIFICATIONREGARDINGCORRESPONDENTACCOUNTS

FORFOREIGNBANKS

[OMBControlNumber1505—0184]

TheinformationcontainedinthisCertificationissoughtpursuanttoSections5318（j）

and5318（k）ofTitle31oftheUnitedStatesCode,asaddedbysections313and319（b）ofthe

USAPATRIOTActof2001（PublicLaw107—56）.

ThisCertificationshouldbecompletedbyanyforeignbankthatmaintainsacorrespondent

accountwithanyU。

S。

bankorU.S.broker-dealerinsecurities（acoveredfinancialinstitution

asdefinedin31C.F。

R.103.175（f））。

Anentitythatisnotaforeignbankisnotrequiredto

completethisCertification.

AforeignbankisabankorganizedunderforeignlawandlocatedoutsideoftheUnitedStates

（seedefinitionat31C。

F。

R.103.11（o））。

Abankincludesoffices,branches,andagenciesof

commercialbanksortrustcompanies,privatebanks,nationalbanks,thriftinstitutions,credit

unions,andotherorganizationscharteredunderbankinglawsandsupervisedbybanking

supervisorsofanystate（seedefinitionat31C。

F.R。

103.11（c））。

*

ACorrespondentAccountforaforeignbankisanyaccounttoreceivedepositsfrom，make

paymentsorotherdisbursementsonbehalfofaforeignbank,orhandleotherfinancial

transactionsrelatedtotheforeignbank。

SpecialinstructionforforeignbranchesofU。

S。

banks:

AbranchorofficeofaU.S.bankoutside

theUnitedStatesisaforeignbank。

Suchabranchorofficeisnotrequiredtocompletethis

CertificationwithrespecttoCorrespondentAccountswithU。

S.branchesandofficesofthesame

U.S.bank.

SpecialinstructionforcoveringmultiplebranchesonasingleCertification:

AforeignbankmaycompleteoneCertificationforitsbranchesandofficesoutsidetheUnitedStates.The

Certificationmustlistallofthebranchesandofficesthatarecoveredandmustincludethe

informationrequiredinPartCforeachbranchorofficethatmaintainsaCorrespondentAccount

withaCoveredFinancialInstitution.Useattachmentsheetsasnecessary.

A.Theundersignedfinancialinstitution,_BANKOFNINGXIA__（“Foreign

Bank”）herebycertifiesasfollows:

B.CorrespondentAccountsCoveredbythisCertification:

Checkonebox.

ThisCertificationappliestoallaccountsestablishedforForeignBankbyCovered

FinancialInstitutions。

ThisCertificationappliestoCorrespondentAccountsestablishedby_______________forForeignBank。

C.PhysicalPresence/RegulatedAffiliatedStatus:

Checkoneboxandcompletetheblanks.

ForeignBankmaintainsaphysicalpresenceinanycountry。

Thatmeans：

∙ForeignBankhasaplaceofbusinessatthefollowingstreetaddress:

NO。

157BEIJINGZHONGLUYINCHUANNINGXIACHINA,where

ForeignBankemploysoneormoreindividualsonafull-timebasisand

maintainsoperatingrecordsrelatedtoitsbankingactivities。

∙Theaboveaddressisin_CHINA________________________（insertcountry）,where

ForeignBankisauthorizedtoconductbankingactivities。

∙ForeignBankissubjecttoinspectionbyCHINABANKINGREGULATORYCOMMISSION_______________________，（insert

BankingAuthority），thebankingauthoritythatlicensedForeignBankto

conductbankingactivities。

ForeignBankdoesnothaveaphysicalpresenceinanycountry，butForeignBank

isaregulatedaffiliate.Thatmeans：

∙ForeignBankisanaffiliateofadepositoryinstitution，creditunion，ora

foreignbankthatmaintainsaphysicalpresenceatthefollowingstreetaddress:

_________________________________，whereitemploysoneormore

personsonafull-timebasisandmaintainsoperatingrecordsrelatedtoits

bankingactivities.

∙Theaboveaddressisin____________________________________（insertcountry），wherethedepositoryinstitution,creditunion,orforeignbankisauthorizedtoconductbankingactivities.

∙Foreignbankissubjecttosupervisionby________________________（insertBankingAuthority），thesamebankingauthoritythatregulatesthedepositoryinstitution,creditunion，orforeignbank。

ForeignBankdoesnothaveaphysicalpresenceinacountryandisnota

regulatedaffiliated。

D.IndirectUseofCorrespondentAccounts:

Checkboxtocertify.

NoCorrespondentAccountmaintainedbyaCoveredFinancialInstitutionmay

beusedtoindirectlyprovidebankingservicestocertainforeignbanks。

ForeignBankherebycertifiesthatitdoesnotuseanyCorrespondentAccount

withaCoveredFinancialInstitutiontoindirectlyprovidebankingservicesto

anyforeignbankthatdoesnotmaintainaphysicalpresenceinanycountryand

thatisnotaregulatedaffiliate。

E.OwnershipInformation:

Checkbox1or2below，ifapplicable。

1.

FormFRY—7isonfile.ForeignBankhasfiledwiththeFederalReserve

BoardacurrentFormFRY-7andhasdiscloseditsownershipinformationon

Item4ofFormFRY—7.

2.

ForeignBank’ssharesarepubliclytraded。

Publiclytradedmeansthatthe

sharesaretradedonanexchangeoranorganizedover—the-countermarketthat

isregulatedbyaforeignsecuritiesauthorityasdefinedinsection3（a）（50）of

theSecuritiesExchangeActof1934（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___________________________________and

isauthorizedtoacceptserviceoflegalprocessonbehalfofForeignBankfromthe

SecretaryoftheTreasuryoftheAttorneyGeneraloftheUnitedStatespursuanttoSection

5318（k）oftitle31，UnitedStatesCode.

G.

General

ForeignBankherebyagreestonotifyinwritingeachCoveredFinancialInstitutionat

whichitmaintainsanyCorrespondentAccountofanychangeinfactsorcircumstances

reportedinthisCertification.Notificationshallbegivenwithin30calendardaysofsuch

change。

ForeignBankunderstandsthateachCoveredFinancialInstitutionatwhichitmaintainsa

CorrespondentAccountmayprovideacopyofthisCertificationtotheSecretaryofthe

TreasuryandtheAttorneyGeneraloftheUnitedStates。

ForeignBankfurther

understandsthatthestatementscontainedinthisCertificationmaybetransmittedtoone

ormoreDepartmentsoragenciesoftheUnitedStatesofAmericaforthepurposeof

fulfillingsuchdepartments’andagencies’governmentalfunctions。

I，_