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Saxo Bank Client Application Form Corporate Clients

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Saxo Bank Client Application Form Corporate Clients SAXO BANK CLIENT APPLICATION FORM CORPORATE CLIENTS INSTRUCTIONS FOR COMPLETION Before completing the form, please make sure you have read and understood all information regarding your Saxo Bank trading account, including the General Business Terms (including the Risk Disclosure Statement), the Business Terms for Securities Trading, the Business Terms for Custody Management, the Business Terms for International Transfer of Funds as well as the Conflict of Interest Policy and the Best Execution Policy (which are available on Saxo Bank’s website). To comply with anti-money laundering regulations Saxo Bank is required by law to obtain the following documentation. Saxo Bank also reserves the right to request further documentation at any time during the approval process. To obtain the most up to date requirements for your country please contact us at +45 39 77 40 07 or please visit Account FAQs on www.saxobank.com. A CORPORATE DOCUMENTATION B INDIVIDUAL DOCUMENTATION • Transcript from local Commerce or Certificate of Proof of identity Incorporation Types of acceptable documents: • Valid Passport (Identification & signature page required) • Valid Driver’s License • Signed Articles of Association • Valid National Identity Card Identity documents must be current and valid, issued • Documentation of who can sign on behalf of the by official government authority and include: corporate entity (authorized signatories) • Full name • Unique personal identification number • Official Proof of Identity (as defined under B) for all • Date and place of birth authorized signatories • Clear visible picture which identifies the person • Signature • Official Proof of Identity and Proof of Residential Address (as defined under B) for all Beneficial Proof of residential address Owners listed in part 2 This document must be valid and include the current residential address of the holder and be issued by an official government authority. • Supporting documentation of the ownership structure Types of acceptable documents: (further defined in part 2, A and B) • Valid National Identity Card • Valid Government issued insurance or medical card • Tax Statement (issued within the last 6 months) Please return all pages of the completed form with the above mention documentation directly to Saxo Bank by: E-mail: Scan the form together with the documentation and e-mail it to [email protected]. Alternatively you may send the form by regular mail together with the documentation to: Saxo Bank | Philip Heymans Allé 15 | DK 2900 Hellerup | Denmark Att. Corporate & Institutional Onboarding For any questions related to the completion of this form or required documents, please contact us on +45 39 77 40 07 or please visit Account FAQs on www.saxobank.com. 012016 1 / 15 SAXO BANK CLIENT APPLICATION FORM | CORPORATE CLIENTS Please complete all information as accurately as possible in block capital letters with a black or blue pen. PART 1 CORPORATE DETAILS Appointing Introducing Broker (if relevant): Registered name of the corporate entity: Corporate registration number: Current registered address: City/Zip code: State/Province: Country: Postal address (if different): City/Zip code: State/Province: Country: Prefix included, example: +44 (020) 1234 5678. Primary phone number: Secondary phone number (optional): Account holder’s email: Chairman/president: Managing director/Vice president: DECLARATION FOR TAX PURPOSES Only complete this section if the entity is tax liable to more/other countries than the country of the registered address stated above. Please complete the following table indicating (i) the countries, where the entity is tax reliable, (ii) the Tax Identification Number (TIN) for each country indicated or iii) if the country to which the entity is tax liable does not issue a TIN number. Country of tax reliability TIN No TIN available (x) Authorised signatories: 012016 2 / 15 SAXO BANK CLIENT APPLICATION FORM | CORPORATE CLIENTS Authorised Dealers The following employees of the above-mentioned company are hereby authorised to execute trades on our behalf. Please note that User ID will be provided to each Dealer by Saxo Bank. First Time Password Individual’s Full Name (Min 8 characters – MUST E-mail Address Phone Number contain letters and numbers) VAT No. (Only mandatory for companies registered in the EU): Tick the box if you are not VAT eligible Note: The VAT number supplied must be verifiable through the EU Commission sitehttp://ec.europa.eu/taxation_customs/vies/vatRequest. html. If you have an EU VAT number which is not verifiable please contact your local authorities. Please inform Saxo Bank A/S to update your EU VAT number once the VAT number can be verified. Saxo Bank A/S is obliged to apply the standard Danish VAT rate of 25% liable services until a verifiable VAT number has been submitted. Legal Entity Identifier - LEI (only mandatory for companies registered in the EEA): If you are LEI eligible and a LEI code has not been supplied, tick this box to acknowledge that: (1) You understand that trading derivative contracts legally requires a LEI code, (2) although you have access via the trading platform, you have no intentions to trade derivative contracts in Saxo Bank, and (3) if your intentions change and you wish to trade derivative contracts, at any point in the future, you will obtain and send a LEI code to Saxo Bank before doing so. Note: LEI is a unique 20-character alphanumeric code required to trade and report derivative contracts within the European Economic Area (EEA), cf. Regulation (EU) nº 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (EMIR). LEI codes are issued by EU endorsed Local Operating Units (LOUs). A list of endorsed LOUs is available at: http://www.leiroc.org/publications/gls/lou_20131003_2.pdf. NACE code (must contain a letter and a 4 digit number, example: A01.64): In order to comply with the reporting requirements of the European Banking Authority (EBA), all clients must provide a NACE code to designate their main economic activity. NACE codes were established with regulation (EC) No 1893/2006 and provide the framework for collecting and presenting statistical data according to economic activity. NACE is comparable to IS IC under UN auspices, and Standard Industrial Classification (SIC) in the United States under the purview of the Bureau of Labor Statistics. A full list of NACE codes can be found here: http://ec.europa.eu/eurostat/ramon/nomenclatures/index.cfm?TargetUrl=LST_NOM_DTL&StrNom=NACE_REV2&StrLanguageCode=E N&IntPcKey=&StrLayoutCode=HIERARCHIC On behalf of the legal entity/corporation: I/We declare that it acts in its own name as specified above and not on behalf of a third party in respect of all matters related to this client relationship and that accordingly all funds to be deposited and traded on the account with Saxo are its own funds. 012016 3 / 15 SAXO BANK CLIENT APPLICATION FORM | CORPORATE CLIENTS PART 2 | OWNER DETAILS Definition of beneficial ownership for corporations and funds/trusts: Corporations Funds/Trusts • Individuals, who ultimately own or control a corporation, • Individuals who, according to the articles of a fund/trust by direct or indirect ownership, or control of more than or otherwise, are entitled to receive 25% or more of the 25% of the shares or voting rights. distribution funds or other assets of a fund or a similar legal arrangement, provided such persons are known. • Individuals who otherwise exercise control over the • The group of persons in whose main interest a fund/trust management of a corporation. or similar legal arrangement has been set up or operates. • Individuals who exercise control over 25% or more of the distribution funds or other assets of a fund/trust or similar legal arrangement or entity. Details on the ultimate beneficial owners If there are no individuals who qualify as ultimate beneficial owner, as defined above, please tick this box . 1. Individual’s name Address Personal ID number (as shown on passport and/or other ID card attached) Percentage of share(s)/voting rights Are these held directly or indirectly ? (please tick one) DECLARATION FOR TAX PURPOSES Only complete this section if you are tax liable to more/other countries than your country of residence as stated above. Please complete the following table indicating (i) the countries, where the entity is tax reliable, (ii) the Tax Identification Number (TIN) for each country indicated or iii) if the country to which the entity is tax liable does not issue a TIN number. Country of tax reliability TIN No TIN available (x) In lack of space, the information can be attached separately. 012016 4 / 15 SAXO BANK CLIENT APPLICATION FORM | CORPORATE CLIENTS 2. Individual’s name Address Personal ID number (as shown on passport and/or other ID card attached) Percentage of share(s)/voting rights Are these held directly or indirectly ? (please tick one) DECLARATION FOR TAX PURPOSES Only complete this section if you are tax liable to more/other countries than your country of residence as stated above. Please complete the following table indicating (i) the countries, where the entity is tax reliable, (ii) the Tax Identification Number (TIN) for each country indicated or iii) if the country to which the entity is tax liable does not issue a TIN number. Country of tax reliability TIN No TIN available (x) 3. Individual’s name Address Personal ID number (as shown on passport and/or other ID card attached) Percentage of share(s)/voting rights Are these held directly or indirectly ? (please tick one) DECLARATION FOR TAX PURPOSES Only complete this section if you are tax liable to more/other countries than your country of residence as stated above. Please complete the following table indicating (i) the countries, where the entity is tax reliable, (ii) the Tax Identification Number (TIN) for each country indicated or iii) if the country to which the entity is tax liable does not issue a TIN number.
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