How To Know Your Business

Transcription

1 HSBC Business Account Opening Form Note: Please complete in block letters and tick where applicable Date: For Bank Use Only Customer / Account Number Account Type Current Account Statement Saving Account Multi Currency Statement Saving Corporate Renminbi Saving Account* Others (Please specify) Currency: Currency: Currency: Currency: * For applying Corporate Renminbi Savings Account: Customer must provide a separate Corporate RMB Services Application Form 1. Entity Details (Mandatory) Company Information Registration / Incorporation Document Certificate of Incorporation Number Business Registration Number Others Date of Registration (Day/Month/Year) Country of Registration Registered Name in English Trading As Name(s) in English Same as Registered name Others (please specify): Registered Name in Chinese Entity Type Limited Company Macau SA / SARL Company Partnership Sole Proprietorship Association (NPO/NGO/Charity/Others: ) Listing on Stock Exchange Name of Stock Exchange Type of Issued Shares State or Government Owned Entity (Must be completed if Company is owned directly or indirectly by State or Government over 50%) (Only for Limited Company and applicable for all intermediate layers of the company) Registered Share Bearer Shares Deposited with Custodian Bearer Shares not Deposited with Custodian Name of State or Government Ownership (%) Countries with HSBC Business Account (if any) Were you introduced / recommended to HSBC, referred by: Business Account Opening Form (Apr2015) Page 1/ 15

2 2. Commercial Details (Mandatory) A. Business Information Nature of Business/Industry Nature of Products/Services Offered (e.g. toys/garments) Industry: ( % of Turnover) Industry: ( % of Turnover) Industry: ( % of Turnover) Date Business Commenced (Month/Year) Country where major Business is Carried Out Countries with Physical Presence Years of Experience in business Country where Head office is Located (Countries where your business has physical presence including all subsidiaries, branches and offices) Years Number of Employees In Macau: In HK: In Other Area: Reason(s) why your business has no employees, if applicable Principal Source of Wealth (e.g. activities that generate the business' accumulated capital and ongoing deposits) Principal Source of Wealth of Business Owner Expected Source of Funds (e.g. source of business' initial deposits Country of Source of Funds for Account Opening Start-up Company Investment/Property Holding Company Outsourcing Project-based Business Others (please specify): (Select all that apply) Business Income and Profit Sale of Property / Asset Others (please specify): Investment by Ultimate Beneficial Owner / Partner Intra-group Financing (Only for sole Proprietorship - Select all that apply) Business ownership Personal Savings/Investment Sale of Property / Asset Inheritance Pension Others (please specify): (Select all that apply) Business Income and Profit Sale of Property / Asset Others (please specify): Investment by Ultimate beneficial Owner / Partner Intra-group Financing Key Customer who Accounts for More Than 50% of Total Sales (if any) Registered Name "Trading As" Name (If different from Registered Name) % of Sales Relevant Financial Performance Indicator Annual Business Turnover Asset Size Asset under Management Amount (Currency) Current Year: Projected for Next Year: Country Top 10 Countries of Revenues, Purchases and Assets held Business Account Opening Form (Apr2015) Page 2/ 15

3 2. Commercial Details (Continued) B. Account Transaction Information Reason(s) for setting up Account in Macau Purpose of Opening Account Do you manage funds on behalf of third parties Expected Monthly Inflows Expected Monthly Outflows Expected Seasonal Trends C. Other Business Information (If the company does not have regular business presence e.g. staff/office in Macau) Business Operations Saving / Fixed Deposit Investment Intercompany Settlement Others (please specify): (Only for sole Proprietorship) Currency Amount Transaction Type Cash ( %) International Payments ( %) Others (e.g. cheque / transfer) ( %) Currency Amount Transaction Type Cash ( %) International Payments ( %), please provide details: Others (e.g. cheque / transfer) ( %) Do you or your Group Company do business in any sanctioned country Name of sanctioned Country (e.g. Changes to ownership, company name, parent company, countries of operation, nature of business, products/services) Yes, please provide details Have there been material changes to your business in the last five years 3. Contact Details (Mandatory) Registered Address in Place of Incorporation Postal Code (For overseas Address Only) Same as above Other address: Business Address Postal Code (For overseas Address Only) Same as above Other address: Correspondence address and Statement to be sent to Postal Code (For overseas Address Only) Business Account Opening Form (Apr2015) Page 3/ 15

4 3. Contact Details (Continued) Office Telephone Number Office Fax Number Address Business Website URL (if any) Telephone Number Mobile Number Details of Contact Person(s) (For banking and direct marketing information purposes only.) Business Address (if any) Telephone Number Mobile Number Business Address (if any) Power of Attorney address (if applicable) Previous business address(es) (if resident at current address for less than 3 years, please fill in all previous address(es) for the past 3 years) 4. Bank Services (Mandatory) 1. Please supply us with MOP HKD cheque book(s) Cheque Book Application Account Statement (For Statement Savings and Current Accounts only) 2. Cheque book(s) to be Collected at branch. by me by (name) (ID) Mail to me (follow the correspondence/statement address of the account) Type of Statement Required: Composite Statement (one single statement for all your accounts with the Bank) Regular Statement (separate statement for each account) Account Statement is to be sent and arranged by the Bank, as specified below: Monthly commencing on month end Others (please specify): Language: English Chinese Business Account Opening Form (Apr2015) Page 4/ 15

5 5. Details of Connected Parties (Mandatory) More than 4 Connected Individuals Please also fill in the Supplementary Form(s): More than 1 Connected Parent Company More than 2 Connected Corporate Entities Definition: Beneficial Owner 1. In relation to a corporation (if fulfils any of the following criteria): means an individual who: - owns or controls, directly or indirectly, including through a trust or bearer share holding, not less than 10% of the issued share capital of the corporation or, - is directly or indirectly, entitled to exercise or control the exercise of not less than 10%of the voting rights at general meetings of the corporation or, - exercises ultimate control over the management of the corporation or, - If the corporation is acting on behalf of another person, means the other person. 2. In relation to a partnership (if fulfils any of the following criteria): means an individual who: or - is entitled to or controls, directly or indirectly, not less than 10% share of the capital or profits of the partnership; or - is directly or indirectly, entitled to exercises or control the exercise of not less than 10% of the voting rights in the partnership; - exercises ultimate control over the management of partnership; or - If the partnership is acting on behalf of another person, means the other person 3. In relation to a trust (if fulfils any of the following criteria): means an individual who: - is entitled to a vested interest in not less than 10% of the capital of the trust property, whether the interest is in possession or in the remainder or reversion and whether it is defeasible or not; or - the settlor of the trust; or - a protector or enforcer of the trust; or - an individual who has ultimate control over the trust 4. In relation to a person other than (1)to (3) (if fulfils any of the following criteria): means an individual who: - ultimately owns or controls the person; or - if the person is acting on behalf of another person, mean the other person * Intermediate Owner: Intermediate Owner is an entity or legal arrangement (e.g. Trust, Foundation etc.) that sits between the entity and the Ultimate Beneficial Owner in the ownership structure. ^ Key Controller: Key Controller is an individual appointed to exercise direct control over the entity, by participating in the governance or senior / executive activities of the business. Key Controller typically sets the strategic direction of the entity and exercises control jointly with other directors or senior executives. It can be a corporate entity. Key Controllers include: Chief Executive Officer (CEO) / Managing Director Chief Financial Officer (CFO) / Head of Finance Chief Operating Officer (COO) / Head of Operations Managing Partner Chairman / Deputy Chairman of the Board Chairman of the Audit / Remuneration / Risk Committee Authorised Signatory with sole signing authority Nominee Powers of Attorney # Direct Appointee Direct Appointee is an individual authorised under an executed instrument of the entity to act on its behalf with respect to the banking relationship, and to appoint authorised signatories or delegate authority to others to represent the business in limited circumstances, e.g. the Company secretary. Direct Appointee is typically appointed by the Board of Directors or Key Controllers. It can be a corporate entity. Business Account Opening Form (Apr2015) Page 5/ 15

6 5. Details of Connected Parties (Continued) A. Individuals (I) Full Name in English Full name in Chinese Former Name / Alias Capacity of Connected Party Identification Document Type and Number Date of Birth (Day/Month/Year ) Sole Proprietor Partner Director Authorised Signatory Beneficial Owner (Ownership %) ^Key Controller Macau Permanent Identity Card HK Permanent Identity Card Number: #Direct Appointee Passport Other: Country of Birth Multiple Nationalities Nationality 1 Office Telephone Number Mobile Telephone Number Nationality 2 Nationality 3 Address Address Since Date (Month/Year) Residential Address Previous Address (If the current residential address is less than 3 years) Permanent Address (If different from residential address) Business Account Opening Form (Apr2015) Page 6/ 15

7 5. Details of Connected Parties (Continued) A. Individuals (Continued) (II) Full Name in English Full name in Chinese Former Name / Alias Capacity of Connected Party Identification Document Type and Number Date of Birth (Day/Month/Year ) Sole Proprietor Partner Director Authorised Signatory Beneficial Owner (Ownership %) ^Key Controller Macau Permanent Identity Card HK Permanent Identity Card Number: #Direct Appointee Passport Other: Country of Birth Multiple Nationalities Nationality 1 Office Telephone Number Mobile Telephone Number Nationality 2 Nationality 3 Address Address Since Date (Month/Year) Residential Address Previous Address (If the current residential address is less than 3 years) Permanent Address (If different from residential address) Business Account Opening Form (Apr2015) Page 7/ 15

8 5. Details of Connected Parties (Continued) A. Individuals (Continued) (III) Full Name in English Full name in Chinese Former Name / Alias Capacity of Connected Party Identification Document Type and Number Date of Birth (Day/Month/Year ) Sole Proprietor Partner Director Authorised Signatory Beneficial Owner (Ownership %) ^Key Controller Macau Permanent Identity Card HK Permanent Identity Card Number: #Direct Appointee Passport Other: Country of Birth Multiple Nationalities Nationality 1 Office Telephone Number Mobile Telephone Number Nationality 2 Nationality 3 Address Address Since Date (Month/Year) Residential Address Previous Address (If the current residential address is less than 3 years) Permanent Address (If different from residential address) Business Account Opening Form (Apr2015) Page 8/ 15

9 5. Details of Connected Parties (Continued) A. Individuals (Continued) (IV) Full Name in English Full name in Chinese Former Name / Alias Capacity of Connected Party Identification Document Type and Number Date of Birth (Day/Month/Year ) Sole Proprietor Partner Director Authorised Signatory Beneficial Owner (Ownership %) ^Key Controller Macau Permanent Identity Card HK Permanent Identity Card Number: #Direct Appointee Passport Other: Country of Birth Multiple Nationalities Nationality 1 Office Telephone Number Mobile Telephone Number Nationality 2 Nationality 3 Address Address Since Date (Month/Year) Residential Address Previous Address (If the current residential address is less than 3 years) Permanent Address (If different from residential address) Business Account Opening Form (Apr2015) Page 9/ 15

10 5. Details of Connected Parties (Continued) B. Parent Company (Principal Shareholder) Registered Name in English in Chinese Certificate of Incorporation number: Registration/Incorporation Document Business Registration Certificate number: Certificate of Incumbency: Certificate of Good Standing: Others: Country of Registration Year of Registration Registered Address Listing on Stock Exchange Regulated Financial Institution in a FATF Member Equivalent Country Name of Issuing Authority of Registration / Incorporation Document Name of Stock Exchange Companies Registry of the Macau Special Administrative Region Companies Registry of the Hong Kong Special Administrative Region Registrar of Corporate Affairs of the British Virgin Islands Registrar of International and Foreign Companies of Samoa Registrar of International Business Companies of Seychelles Registrar of Companies for England and Wales State Administration for Industry and Commerce of the Peoples Republic of China Others (please specify): Nature of Business / Industry Countries with HSBC Business Accounts (if any) Represented by (Full Name) Date of Birth (Day/Month/Year ) Identification Document Type and Number Macau Permanent Identity Card HK Permanent Identity Card Number: Passport Other: Nationality Residential Address Permanent Address (If different from residential address) Business Account Opening Form (Apr2015) Page 10/ 15

11 5. Details of Connected Parties (Continued) C. Corporate Entities (I) Registered Name in English in Chinese Capacity of Connected Party Registration/Incorporation Document Director Authorised Signatory Beneficial Owner (Ownership %) ^Key Controller #Direct Appointee Certificate of Incorporation number: Business Registration Certificate number: Certificate of Incumbency: Certificate of Good Standing: Others: Country of Registration Year of Registration Registered Address Listing on Stock Exchange Regulated Financial Institution in a FATF Member Equivalent Country Represented by (Full Name) Name of Stock Exchange (Only for Intermediate Owner) Date of Birth (Day/Month/Year ) Identification Document Type and Number Macau Permanent Identity Card HK Permanent Identity Card Number: Passport Other: Nationality Residential Address Permanent Address (If different from residential address) Business Account Opening Form (Apr2015) Page 11/ 15

12 5. Details of Connected Parties (Continued) C. Corporate Entities (Continued) (II) Registered Name in English in Chinese Capacity of Connected Party Registration/Incorporation Document Director Authorised Signatory Beneficial Owner (Ownership %) ^Key Controller #Direct Appointee Certificate of Incorporation number: Business Registration Certificate number: Certificate of Incumbency: Certificate of Good Standing: Others: Country of Registration Year of Registration Registered Address Listing on Stock Exchange Name of Stock Exchange Regulated Financial Institution in a FATF Member Equivalent Country Represented by (Full Name) (Only for Intermediate Owner) Date of Birth (Day/Month/Year ) Identification Document Type and Number Macau Permanent Identity Card HK Permanent Identity Card Number: Passport Other: Nationality Residential Address Permanent Address (If different from residential address) Business Account Opening Form (Apr2015) Page 12/ 15

13 Declaration 1. I/We confirm that the information given in this form is correct and complete, and authorize The Hongkong and Shanghai Banking Corporation Limited, acting through its Macau Branch, (the "Bank") to confirm this from any source the Bank may choose. I/We agree that such information will be used for this application and other purposes that the Bank deems appropriate, including the the purposes set out in the General Terms and Conditions (For Personal Sole Account, Joint Account and Business Account Holders). 2. I/We have read, understood and agree to be bound by the General Terms and Conditions (For Personal Sole Account, Joint Account and Business Account Holders) and Renminbi Savings Account Rules (For Personal Renminbi Savings Account, Corporate Renminbi Savings Account) if the application is in respect of a Renminbi Corporate Savings Account (collectively the "Terms") and acknowledge receipt of a copy of the Terms. I/We confirm that I/We have been given the opportunity to ask questions about the terms and conditions and have received satisfactory explanations from the Bank where applicable. I/We understand and agree: (i) the Terms cover and apply to a wide range of services and accounts provided under the account; (ii) the Bank may at any time at the Bank's sole discretion vary the Terms with prior notice using any method, including by way of display of such notice in the Bank;s premises; and (iii) that the services provided to, and each account opened by, me/us from time to time, under the account will be subject to the Terms as may be varied and supplemented from time to time. 3. For Limited Company I/we waive the Bank's duties of bank secrecy regarding the information sharing under the terms and agree (where applicable) to the potential tax withholding thereunder. Where I/we have provided personal data of any other third party, I/we hereby declare that I/we have obtained all corresponding consents, agreements and waivers as referred to in this clause from the relevant data subjects. I/We agree I/we will indemnify and hold the Bank harmless from all costs, penalties, damages and losses incurred as a result of this warranty and declaration being untrue and any other breach of this warranty and declaration. 4. I/We understand that the bank may request me/us to provide updated/additional information from time to time before and after the account is opened. On the basis of regulatory/legislation and related requirement, the bank may request documents such as Business Plan, Business Proof (e.g. invoice/sales contract ) and Bank Reference Letter etc. Failure to do so may result in the Bank s inability to provide the requested banking service. 5. For Corporate Renminbi Savings Account customers ONLY (but without prejudice to the above clauses) i) I/We understand the Corporate Renminbi Savings Account can only be used for conducting trade settlement transactions, or engaging in designated merchants or conducting such other transactions as allowed by the relevant authorities. ii) I/We understand if I/we now or shall open a Renminbi Time Deposits Account, the Renminbi Time Deposits Account must be linked to my/our Corporate Renminbi Savings Account. I/We also understand and agree that deposits to and withdrawal from my/our Renminbi Time Deposits Account can only be made by transfers from and to the said Corporate Renminbi Savings Account (instead of in cash or in any other manner) unless the Bank shall specify otherwise. 6. For Sole Proprietorship or Partnership I/We am/are not a bankrupt or discharged bankrupt/insolvent or in liquidation. I/we have no intention to declare bankruptcy or commence voluntary winding-up and I/we am/are not aware of any bankruptcy/winding-up proceedings started against me/us. In case of a partnership, I/each of us hereby undertake to notify you in writing of any change in the persons comprising the business and partnership immediately upon such change taking effect. I/We hereby confirm that I/we am/are not a resident of the United States of America ( US ), Canada ( CN ) and /or South Korea ( KR ), whether for the US, CN and/or KR securities or tax laws or for any other purposes. I/We also confirm that I/we am/are not acting as agent on behalf of any US, CN, and/or KR resident/citizen. I/We confirm that my/our registered, correspondent and/or business address(es) is/are not in the US, CN and /or KR. I/We undertake to immediately notify the Bank should I/we become or be deemed to be resident of US, CN and/or KR in any future time. I/We undertake to supply the Bank with certified copies of any replacement or supporting documents which I/we have provided to the Bank for the purposes of opening an account with the Bank immediately upon occurrence of any changes thereto. 7. For Limited Company We confirm that the company has not been, or is not in the process of being, dissolved, struck off, wound-up or terminated.we hereby confirm that the Company is not a company incorporated in the United States of America ( US ), Canada ( CN ) and/or South Korea ( KR ) and its registered, correspondent and/or business address(es) is/are not in the US, CN and/or KR. We confirm that all persons authorized to give instructions in relation to the Company s account(s) held with the Bank are not resident in the US and/or CN whether for tax, securities laws of the US and/or CN or any other purposes. We undertake to notify the Bank immediately if any such person(s) of the Company becomes or is deemed to be resident of the US and/or CN at any future time. We also confirm that we are not acting as agent on behalf of any US, CN and/or KR resident/citizen. We undertake to supply the Bank with certified copies of any replacement or supporting documents which we have provided to the Bank for the purposes of opening an account with the Bank immediately upon occurrence of any changes thereto. Business Account Opening Form (Apr2015) Page 13/ 15

14 Signature(s) X Signature and /or Chop Full Name of Signatory(ies) X Signature and /or Chop Full Name of Signatory(ies) X Signature and /or Chop Full Name of Signatory(ies) X Signature and /or Chop Full Name of Signatory(ies) X Signature and /or Chop Full Name of Signatory(ies) X Signature and /or Chop Full Name of Signatory(ies) ***This form should be signed in accordance with the Mandate Remark: Please refer to Account Opening Checklist and Macau Commercial Customer Tariffs for initial deposit and tariffs details: *Schedule Service All Accounts Renminbi Corporate Savings Account Terms and Conditions that Apply General Terms and Conditions (For Personal Sole Account, Joint Account and Business Account Holders) Renminbi Savings Account Rules (For Personal Renminbi Savings Account, Corporate Renminbi Savings Account) Business Account Opening Form (Apr2015) Page 14/ 15

15 For Bank Use Only Face-to-face Interview Branch/Department Chop and Authorised Signature Conducted Face-to-face Meeting Date: t Conducted t Applicable for Additional Account Opening KYC Approach - Risk Level Low rmal High SCC KYC Completion Date: (dd/mm/yy) Other Customer Information Business Account Opening Form (Apr2015) Page 15/ 15