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This form can be used to confirm the content of foreign documents and/or the ownership and control structure of a corporate client and must be issued by a certified external lawyer or accountant in the country where the corporation is incorporated.
The form can be on another letterhead but must follow the same content, leave no room for interpretation and it must be
clearly stated that the certifier is liable in regards to the content. Please note that all relevant documents must be provided
in addition to the Legal Letter.
Further, please also note that Saxo Bank will require this document to be signed and stamped by the certifier with clear
readable contact details and be accompanied by the lawyers/accountants license.
In order to comply with (i) FATF-regulation, (ii) EU directive 2005/60/EC on Anti Money Laundering and (III) the Danish act
no. 389 dated 15 April 2011 on Measures on Prevention of Money Laundering and Financing of Terrorism, Saxo Bank is
obliged to require sufficient documentation regarding the ownership and control structure of its corporate clients, and to
identify and verify the identity of the ultimate beneficial owners of all corporate clients.
1. __________________________________________
2. __________________________________________
3. __________________________________________
4. __________________________________________
5. __________________________________________
Based on the above mentioned documents I hereby confirm the below information about the Corporation/Company, including the
ownership and control structure (as defined below under section 4) as current and accurate.
2.1. That as far as can be ascertained from the above mentioned documents the Registered Address of the Company/
Corporation is __________________________________________________________________________________________
_______________________________________________________________________________________________________
_____________________________________________________________________________________________
_____________________________________________________________________________________________
2.3. The authorized capital of the Company is ____________________________ (total amount of authorized capital)
Note: If different share classes are issued, please list below and confirm the right of each share class:
___________________________________________________________________________________________________
___________________________________________________________________________________________________
___________________________________________________________________________________________________
___________________________________________________________________________________________________
DATE OF APPOINTMENT:
Note: If a company is appointed director, please further list the individuals authorized to sign on behalf of said
company:
___________________________________________________________________________________________________
___________________________________________________________________________________________________
3. According to the signatory rules in the above listed documents the following individuals can sign on behalf of the Company/
Corporation, ____________________________________________________________________________________________
________________________________________________________________________________________________________
________________________________________________________________________________________________________
4. Ownership structure
Saxo Bank A/S must identify (and verify the identity) of the ultimate beneficial owners of all corporate clients (except for
corporations which ownership interests are traded on a regulated market in EU/ECC or on a market member of World
Federation of Exchanges (WFE)). This entails identifying any individual who falls under the following definitions:
1.
Individuals who ultimately own or control the corporation by direct or indirect ownership or control of more than 25%
2.
Individuals who otherwise exercise control over the management of the corporation.
The ultimate beneficial owners for funds/foundations etc. are defined as:
1.
Individuals who according to the articles of the fund etc. or otherwise are entitled to receive 25% or more of the
distribution funds or other assets of a fund or a similar legal arrangement as a fund, assuming these persons are known;
or
The group of persons in whose main interest the fund or similar legal arrangement as a fund has been set up or operates;
2.
or
Individuals who exercise control over 25% or more of the distribution funds or other assets of the fund or similar legal
3.
1.
arrangement or entity.
The current ultimate beneficial owner(s) (i.e. individuals owning/controlling 25% or more of the Corporation/Company
according to the above definition) of the Corporation/Company is/are:
2.
3.
4.
If there are no individuals who qualify as ultimate beneficial owner, as defined above, please tick this box
Note: If any of the shareholders of the Corporation/Company are corporate entities, it must be confirmed who the
individual beneficial owner(s) is/are for that entity and a group chart showing the full corporate structure must be
included with the documentation.
Further, if any trust/pledge agreements exist, please list below and confirm the impact on the ownership- and control
structure:
__________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________
__________________________________________________________________________________________________________________
Date:
_______________________________________________________
_________________________________
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TH E S P ECIALIST IN T R A D I N G A N D I N V E S T M E N T
SAXO BANK l Philip Heymans All 15 l DK 2900 Hellerup l Denmark l Telephone +45 39 77 40 00
Telefax +45 39 77 47 00 l Reuters Dealing Code: SAXO l Web: www.saxobank.com