美国爱国者法案USAPA.docx

1、美国爱国者法案USAPAInstructions for completing the certificationAppendix A Certification Regarding Correspondent Accounts For Foreign Banks Must be completed if the original Certification provided was a different version of the Certification enclosed in this packet。 If you have a global certification （one

2、certification for all accounts your institution maintains at any U。S. covered financial institution) and maintain this certification on your website or have posted your Certification with Bankers Almanac, you need only provide us with the link.1.Section Ba.The first box allows you to fill out one ce

3、rtification for all accounts your institution maintains at any U.S。 covered financial institution。 ORb.The second box requires that you identify a specific U。S. covered financial institution and only that institution can rely on the certification.2.Section C Physical Presence you must include the fu

4、ll physical address （no P。O. Boxes)， country and Banking Authority for each location you wish to cover with the Certification。 Completing multiple pages with Section C or using the attached location/branch listing can accomplish this。3.Section D Indirect Use of Correspondent Accounts this box must b

5、e checked as confirmation/certification that you will not use any accounts with us to directly or indirectly provide financial services to a shell bank。4.Section E Ownership Information you must choose one of the boxes indicated. If neither 1 nor 2 apply, you must check box 3。 If none of the owners

6、meet the definition as indicated in this section， please mark as N/A or nil.5.Section F Process Agent you must indicate a U.S. person or entity designated to accept legal service in the U.S. on your institutions behalf。6.Section G General please read， complete and sign as indicated on the form Pleas

7、e review the completed Certification prior to sending. The Certification must be fully completed in order for us to accept and approve. All necessary boxes must be checked and a U.S. Process Agent must be designated on all Certifications。 We strongly recommend that you provide us with a single certi

8、fication that covers all the U。S. Covered Financial Institutions in the JPMorgan Chase family. This means providing us with an Appendix A that has the first box under Section B marked。APPENDIX A TO SUBPART I OF PART 103 CERTIFICATION REGARDING CORRESPONDENT ACCOUNTSFOR FOREIGN BANKSOMB Control Numbe

9、r 15050184The information contained in this Certification is sought pursuant to Sections 5318(j) and 5318(k) of Title 31 of the United States Code, as added by sections 313 and 319（b) of the USA PATRIOT Act of 2001 (Public Law 10756).This Certification should be completed by any foreign bank that ma

10、intains a correspondent account with any U。S。 bank or U.S. broker-dealer in securities (a covered financial institution as defined in 31 C.F。R. 103.175(f）)。 An entity that is not a foreign bank is not required to complete this Certification.A foreign bank is a bank organized under foreign law and lo

11、cated outside of the United States (see definition at 31 C。F。R. 103.11（o)）。 A bank includes offices, branches, and agencies of commercial banks or trust companies, private banks, national banks, thrift institutions, credit unions, and other organizations chartered under banking laws and supervised b

12、y banking supervisors of any state （see definition at 31 C。F.R。 103.11（c）。*A Correspondent Account for a foreign bank is any account to receive deposits from， make payments or other disbursements on behalf of a foreign bank, or handle other financial transactions related to the foreign bank。Special

13、instruction for foreign branches of U。S。 banks: A branch or office of a U.S. bank outside the United States is a foreign bank。 Such a branch or office is not required to complete this Certification with respect to Correspondent Accounts with U。S. branches and offices of the same U.S. bank.Special in

14、struction for covering multiple branches on a single Certification: A foreign bank may complete one Certification for its branches and offices outside the United States. The Certification must list all of the branches and offices that are covered and must include the information required in Part C f

15、or each branch or office that maintains a Correspondent Account with a Covered Financial Institution. Use attachment sheets as necessary.A.The undersigned financial institution, _ BANK OF NINGXIA_(“Foreign Bank”) hereby certifies as follows:B.Correspondent Accounts Covered by this Certification: Che

16、ck one box.This Certification applies to all accounts established for Foreign Bank by Covered Financial Institutions。This Certification applies to Correspondent Accounts established by _ for Foreign Bank。C.Physical Presence / Regulated Affiliated Status: Check one box and complete the blanks.Foreign

17、 Bank maintains a physical presence in any country。 That means：Foreign Bank has a place of business at the following street address: NO。 157 BEIJING ZHONGLU YINCHUAN NINGXIA CHINA, where Foreign Bank employs one or more individuals on a full-time basis and maintains operating records related to its

18、banking activities。The above address is in _CHINA_ (insert country）, where Foreign Bank is authorized to conduct banking activities。Foreign Bank is subject to inspection by CHINA BANKING REGULATORY COMMISSION_， （insert Banking Authority）， the banking authority that licensed Foreign Bank to conduct b

19、anking activities。Foreign Bank does not have a physical presence in any country， but Foreign Bank is a regulated affiliate. That means：Foreign Bank is an affiliate of a depository institution， credit union， or a foreign bank that maintains a physical presence at the following street address: _， wher

20、e it employs one or more persons on a full-time basis and maintains operating records related to its banking activities.The above address is in _ (insert country)， where the depository institution, credit union, or foreign bank is authorized to conduct banking activities.Foreign bank is subject to s

21、upervision by _ （insert Banking Authority）， the same banking authority that regulates the depository institution, credit union， or foreign bank。Foreign Bank does not have a physical presence in a country and is not a regulated affiliated。D.Indirect Use of Correspondent Accounts: Check box to certify

22、.No Correspondent Account maintained by a Covered Financial Institution may be used to indirectly provide banking services to certain foreign banks。 Foreign Bank hereby certifies that it does not use any Correspondent Account with a Covered Financial Institution to indirectly provide banking service

23、s to any foreign bank that does not maintain a physical presence in any country and that is not a regulated affiliate。E.Ownership Information: Check box 1 or 2 below， if applicable。1.Form FR Y7 is on file. Foreign Bank has filed with the Federal Reserve Board a current Form FR Y-7 and has disclosed

24、its ownership information on Item 4 of Form FR Y7.2.Foreign Banks shares are publicly traded。 Publicly traded means that the shares are traded on an exchange or an organized overthe-counter market that is regulated by a foreign securities authority as defined in section 3(a）（50) of the Securities Ex

25、change Act of 1934 （15 U.S.C。 78c（a）（50).If neither box 1or 2 of Part E is checked， complete item 3 below， if applicable.3.Foreign Bank has no owner(s） except as set forth below. For purposes of this Certification, owner means any person who， directly or indirectly， (a） owns， controls, or has the po

26、wer to vote 25 percent or more of any class of voting securities or other voting interests of Foreign Bank or （b） controls in any manner the election of a majority of the directors (or individuals exercising similar functions） of Foreign Bank. For purposes of this Certification, （i) person means any

27、 individual, bank， corporation， partnership, limited liability company or any other legal entity; (ii） voting securities or other voting interests means securities or other interests that entitle the holder to vote for or select directors （or individuals exercising similar functions); and (iii) memb

28、ers of the same family* shall be considered one person.NameAddressThere is no owner who directly and indirectly owns， controls and has the power to vote 25 percent or moreF.Process Agent： Complete the following:The following individual or entity: _CORPORATION SERVICE COMPANY_ is a resident of the Un

29、ited States at the following street address: 2711 CENTERVILLE ROAD WILMINGTON，DE 19808_ and is authorized to accept service of legal process on behalf of Foreign Bank from the Secretary of the Treasury of the Attorney General of the United States pursuant to Section 5318(k) of title 31， United State

30、s Code.G.GeneralForeign Bank hereby agrees to notify in writing each Covered Financial Institution at which it maintains any Correspondent Account of any change in facts or circumstances reported in this Certification. Notification shall be given within 30 calendar days of such change。Foreign Bank u

31、nderstands that each Covered Financial Institution at which it maintains a Correspondent Account may provide a copy of this Certification to the Secretary of the Treasury and the Attorney General of the United States。 Foreign Bank further understands that the statements contained in this Certification may be transmitted to one or more Departments or agencies of the United States of America for the purpose of fulfilling such departments and agencies governmental functions。I， _