CERTIFICATION REGARDING CORRESPONDENT ACCOUNTS FOR FOREIGN BANKS [OMB CONTROL NUMBER ]

Transcription

1 CERTIFICATION REGARDING CORRESPONDENT ACCOUNTS FOR FOREIGN BANKS [OMB CONTROL NUMBER ] The 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 ). This Certification should be completed by any foreign bank that maintains a correspondent account with any U.S. bank or U.S. broker-dealer in securities (a covered financial institution as defined in 31 CFR (e)). 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 located outside of the United States (see definition at 31 CFR (u)). 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 by banking supervisors of any state (see definition at 31 CFR (d)). 1 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 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 instruction 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 for each branch or office that maintains a Correspondent Account with a Covered Financial Institution. Use attachment sheets as necessary. A. The undersigned financial institution, Hang Seng Bank () Limited ( Foreign Bank ) hereby certifies as follows: B. Correspondent Accounts Covered by this Certification: Check one box. This Certification applies to all accounts established for Foreign Bank by Covered Financial Institutions. 1 A foreign bank does not include any foreign central bank or monetary authority that functions as a central bank, or any international financial institution or regional development bank formed by treaty or international agreement.

2 This Certification applies to Correspondent Accounts established by (name of Covered Financial Institution(s)) for Foreign Bank. C. Physical Presence/Regulated Affiliate Status: Check one box and complete the blanks. Foreign Bank maintains a physical presence in any country. That means: Foreign Bank has a place of business at the following street address: 34/F &36/F, Hang Seng Bank Tower, 1000 Lujiazui Ring Road, &27F Stock Exchange Building, 528 Pudong South Road, Pudong,, (200120),where Foreign Bank employs one or more individuals on a full-time basis and maintains operating records related to its banking activities. The above address is in the People s Republic of, where Foreign Bank is authorized to conduct banking activities. Foreign Bank is subject to inspection by _ Banking _, the banking authority that licensed Foreign Bank to conduct banking 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:, where 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 supervision by, (insert Banking Authority), the same banking authority that regulates the depository institutions, credit union, or foreign bank. Foreign Bank does not have a physical presence in a country and is not a regulated affiliate. D. Indirect Use of Correspondent Accounts: Check box to certify. No Correspondent Account maintained by a Covered Financial Institution may be used to indirectly provide banking services to certain foreign banks. Foreign Banks hereby certifies that it does not use any Correspondent Account with a Covered Financial Institution to indirectly provide banking services 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 Y-7 is on file. Foreign Bank has filed with the Federal Reserve Board a

3 current Form FR Y-7 and has disclosed its ownership information on Item 4 of Form FR Y Foreign Bank s shares are publicly traded. Publicly traded means that the shares are traded on an exchange or an organized over-the-counter market that is regulated by a foreign securities authority as defined in section 3(a)(50) of the Securities Exchange Exchange Act of 1934 (15 U.S.C. 78c(a)(50)). If neither box 1 or 2 of Part E are 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 power 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 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) members of the same family 2 shall be considered one person. Name Immediate parent: Hang Seng Bank Limited Indirect owner and ultimate parent: HSBC Holdings Plc Address 83 Des Voeux Road Central, Hong Kong 8 Canada Square, London, E14 5HQ F. Process Agent: complete the following. G. General The following individual or entity: HSBC Bank USA, National Association is a resident of the United States at the following street address: 95 Washington Street, 1 SE, Buffalo, New York, 14203, USA and is authorized to accept service of legal process on behalf of Foreign Bank from the Secretary of the Treasury or the Attorney General of the United States pursuant to Section 5318(k) of title 31, United States Code. Foreign 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. 2 The same family means parents, spouses, children, siblings, uncles, aunts, grandparents, grandchildren, first cousins, stepchildren, stepsiblings, parents-in-law and spouses of any of the foregoing. In determining the ownership interests of the same family, any voting interest of any family member shall be taken into account.

4 Foreign Bank understands 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, _ Andes HO, certify that I have read and understand this Certification, that the statements made in this Certification are complete and correct, and that I am authorized to execute this Certification on behalf of Foreign Bank. _Hang Seng Bank () Limited_ [Name of Foreign Bank} [Signature] _ Andes HO [Printed Name] _ Chief Operating Officer [Title] Executed on this day of, Received and reviewed by: Name: Title: For: [Name of Covered Financial Institution] Date:

5 Foreign Certification Form This form lists all branches and offices of Hang Seng Bank () Limited covered in this Certification and include information required for Part C for each branch that maintains a Correspondent Account with a covered financial institution. Name of Physical Presence Regulated Affiliate Street Address (not a postal box) Beijing X Yes Unit 8, G/F, Office Lobby, Kerry Center, 1 Guang Hua Road, Chao Yang District, Beijing Beijing Zhong Guan Cun Subbranch Beijing Jiuxianqiao Beijing Gongti North Road Beijing Kerry Center Subbranch Caohejing Subbranch Pilot Free Trade Zone Subbranch X Yes Room 103, Block A, CEC Plaza, NO.3 Dan Ling Street, Haidian District, Beijing X Yes Unit 159 of G/F,No.18 Jiuxianqiao Road, Chao Yang District, Beijing X Yes Units of L105, L205, Block One, Regent Land, 66 Gongti North Road, Dong Cheng District, Beijing X Yes Unit 3 Office Lobby, Beijing Kerry Center, 1 Guang Hua Road, Chao Yang District, Beijing X Yes Unit 101 G/F & 35/F, Hang Seng Bank Tower,1000 Lujiazui Ring Road, Pudong, X Yes Room 702A-702B, Block B, New Caohejing International Business Center, 391 Gui Ping Road, X Yes Room No. 5, 20/F, Oriental International Cultural and Trade Center, 2 Maji Road, Country Banking Authority/Regula tor Banking Banking Banking Banking Banking Banking Banking Banking An Fu Road Subbranch X Yes 156 An Fu Road, Xuhui District, Banking

6 Xujiahui Subbranch Gubei Subbranch Big Thumb Subbranch Jing An Xintiandi Subbranch Hongqiao Subbranch Zhaojiabang Road Subbranch CITIC Plaza Tao Jin Road Jiangnan West Road Subbranch Tianhe North Road Subbranch X Yes 575 Cao Xi Bei Road, Xuhui District, X Yes No. 2 & No. 6 Shui Cheng Nan Road, Changning District, X Yes G/F, 1050 Ying Chun Road, Pudong, X Yes 1F-2F, 60 & 66 Shi Men No.1 Road, Jing An District, X Yes Unit J, The Richgate, 222 Ma Dang Road, Huangpu District, X Yes Room 107 & 108, G/F, No.107 Zunyi Road, Changning Distrcit, X Yes Shop H, G/F, No.238 Zhaojiabang Road, Xuhui District, X Yes Unit 1 of G/F & 25/F, King Board Building, No.18 Huacheng Road, Zhujiang New Town, Tianhe District, X Yes No of G/F shopping Arcade, No 250 of 2/F, No 1103,1105 of 11/F, CITIC Plaza, 233 Tianhe North Road, Tianhe District, X Yes Shop 103, G/F, Li Jing Road, 52 Tao Jin Road, Yuexiu District, X Yes G/F, No.122 Jiangnan West Road, Haizhu District, X Yes Room 1, No.579 Tianhe North Road, Tianhe District, Banking Banking Banking Banking Banking Banking Banking Banking Banking Banking Banking Banking Wu X Yes Room 105 & 106, No.25 Banking

7 Yang Xin Cheng Subbranch Dongshan Subbranch Foshan Subbranch Zhongshan Shunde Subbranch Zhuhai Subbranch Jiangmen Subbranch Dongguan Dongguan Chang An Subbranch Qian Hai Courtyard, Si You Xin Ma Lu, Yue Xiu District, X Yes Unit , G/F, No. 33 Nonglin Road, Yuexiu District, X Yes G/F 50 North Nanhai Avenue, Guicheng, Nanhai Districr, Foshan City, Guangdong Province X Yes G/F, No.82 Zhongshan 4th Road, East District, Zhongshan City, Guangdong Province X Yes Units 123, 125, 126, Ming Ri Hua Fu, Xingui Road, Fuyou Community Committee, Daliang Street Office, Sunde District, Foshan, Guangdong Province X Yes No.8 G/F, Unit 1 & 2, BL2 No.51 Middle Lover s Road, Jida District, Zhuhai City, Guangdong Province X Yes Unit 101, No.22-2 Guangkou Road 1, Pengjiang District, Jiangmen X Yes Shop No.107 of G/F and Unit 201 of 2/F, Kingdom Plaza, Dong Cheng Zhong Road, Dong Cheng District, Dongguan City, Guangdong X Yes Shop 1283, Wanda Plaza, No.1 Dongmen Middle Road, Chang An Town, Dongguan City, Guangdong X Yes Unit 104 1/F, 8/F Block 2, Kerry Plaza, No.1 Zhong Xin Si Road, Futian CBD, X Yes Unit 101 of G/F, Block A, Hengyue centre No.19 Dengliang Road, Nanshan District, Banking Banking Banking Banking Banking Banking Banking Banking Banking Banking

8 Nanshan Coastal City Futian East Pacific Garden Luohu Subbranch Nanshan Overseas Chinses Town Huizhou Subbranch Shantou Subbranch X Yes Unit , G/F, Coastal City, Nanshan District, X Yes Shop G17 & G17A, G/F, No.4 Fuluju, East Pacific Garden Phase 2, Xiangxuan Road, Futian District, X Yes Unit , Kerry Center, Renminnan Road, Luohu District, X Yes Units -101A & -101B,G/F, Hubin Garden, Overseas Chinses Town, Nanshan District, X Yes Unit 06-10, Guangyao Chenzi, No.14 Jiangbei Xiao Qu, Huizhou Avenue (Jiangbei Section), Huicheng District, Huizhou, Guangdong Province X Yes Unit 103/203,104/204,105/205, BL2, He Xin Star-lake City No.179 Jinsha Road, Longhu District, Shantou, Guangdong Tianjin X Yes 16/F, Unit 1601, The Exchange Tower 2, No.189 Nanjing Road, Heping District, Tianjin Tianjin Binhai Tianjin Jinmen Nanjing X Yes Unit 1501 & 1506, Tower C3, TEDA MSD, No.79 First Avenue, TEDA, Tianjin X Yes Plus 3, No.156 Zhangzizhong Road, Heping District, Tianjin X Yes Unit A,E,F,12F, Asia Pacific Tower, 2 Hanzhong Road, Gulou District, Nanjing Banking Banking Banking Banking Banking Banking Banking Banking Banking Banking Nanjing X Yes Shop 103, G/F, No.198 Banking

9 Zhongshan East Road Subbranch Hangzhou Zhongshan East Road, Baixia District, Nanjing X Yes G/F and Room H&G of 16/F, Richful International Trade Plaza, Qingchun Road, Hangzhou Ningbo X Yes G/F, Du Shi Ren He Building, No.77&81 Yao Hang Street, Haishu District, Ningbo Fuzhou X Yes Unit 09 of G/F & Units of 2/F, Yu Quan Garden Office Building, 139 Gu Tian Road, Gulou District, Fuzhou Fuzhou Gulou X Yes Shop 01, No.89 of G/F Landmark Plaza, Wusi Road, Wenquan Street, Gulou District, Fuzhou Xiamen X Yes 1/F Fortune Center, No.100 Lu Jiang Road, Xiamen Kunming Chengdu X Yes Units , 24F, East Wing of the MASTER, No.1 Chongren Street, Wuhua District, Kunming X Yes Unit 1 9 & 10, 28/F, Tower 1, International Finance Square, No.1, Section 3, Hongxing Road, Jinjiang District, Chengdu Banking Banking Banking Banking Banking Banking Banking