Information regarding Beneficial Owner Verification

Please find a short summary about the Verification of the Beneficial Owner information below
and further detailed information in the respective category on the listed page number:

I. Requested Documents based on place of registration of the Entities ......................................................... 1

A. If your legal entity is registered in the EEA or equivalent third countries (excluding offshore
countries – see Annex 1) ................................................................................................................................................ 1
B. If your legal entity is NOT registered in the EEA1 or equivalent third countries² or in an offshore
country................................................................................................................................................................................ 2
C. In addition in case your legal entity is a Trust / Foundation or for a Trust / Foundation in the
ownership structure ......................................................................................................................................................... 2
D. In addition, in case you are acting on behalf of a third party .............................................................. 2
II. Form of the provided documents ........................................................................................................................... 2
III. Annex I ........................................................................................................................................................................ 4

I. Requested Documents based on place of registration of the Entities

A. If your legal entity is registered in the EEA 1 or equivalent third countries 2 (excluding
offshore countries – see Annex 1)
Additionally to the Know-Your-Customer (KYC)-Information form of RBI please provide:

• Country specific and customary documentation for the disclosure of beneficial owners of
each legal entity for the whole ownership structure (e.g. company registry excerpts)
• Additional for Financial Institutions: Information provided on webpages from governmental
bodies respectively Central Banks (for Russia also company website)
• Additional for Financial Institutions: Information provided on the SWIFT KYC Registry (or
similar platforms if approved by Compliance)
OR
• a written confirmation with regard to the mentioned Beneficial Owner and the whole
announced ownership structure by qualified third parties according FMA “Circular on
Identification and Verification of Identity for Credit Institutions 3”:
1. an external auditor OR
2. a notary public OR
3. a reliable bank 4 OR
4. a lawyer
All situated in the EEA or an equivalent third country

If this is not applicable please see below further requirements:

1
European Economic Area
2
FMA Notification on Third Countries Equivalence with Requirements for the Fight against
Money Laundering and Terrorist Financing:
http://www.fma.gv.at/typo3conf/ext/dam_download/secure.php?u=0&file=7503&t=1411625673&hash=f601668ac2f3c9d7dad336f49e9ebdae
3
http://www.fma.gv.at/typo3conf/ext/dam_download/secure.php?u=0&file=5964&t=1411469744&hash=4a70d8b2103e147f7e14ec1ecc4a3691
4
Banking Institutions registered in an EEA country or equivalent third country

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 B. If your legal entity is NOT registered in the EEA1 or equivalent third countries² or in an
offshore country 5

Additionally to the Know-Your-Customer (KYC)-Information form of RBI please provide:

• Country specific and customary documentation for the disclosure of beneficial owners of
each legal entity for the whole ownership structure, such as
 company registry excerpts,
 extracts of the share register or a certificates of shareholders. In countries where
an official governmental authority issues the Certificate of Shareholders only such
document is acceptable.
 a Certificate of Incumbency of each entity of the whole ownership structure
 Additional for Financial Institutions: Information provided on webpages from
governmental bodies respectively Central Banks (for Russia also company
website)
 Additional for Financial Institutions: Information provided on the SWIFT KYC Registry
(or similar platforms if approved by Compliance)

C. In addition in case your legal entity is a Trust / Foundation or for a Trust / Foundation in
the ownership structure

Additionally to the Know-Your-Customer (KYC)-Information form of RBI please provide:

• a copy of the deed of foundation and the supplementary deed of foundation (if
applicable) which states the trustees, trustors and beneficiaries or any other country
specific and customer documentation used to disclose the above mentioned parties

D. In addition, in case you are acting on behalf of a third party

If you are acting on behalf of a third party please attach further:

• The trust agreement which states the trustor and the trustee, signed by both the trustor
and the trustee OR
• an alternative documentation of the trust agreement

AND

• a copy of an official photo identification document of the trustor

II. Form of the provided documents

Please send all documents described above in the form mentioned below:

All documents from an EEA country 6 or equivalent third countries 7 can be delivered in the
following form:

5
Please see Annex 1
6
European Economic Area
7
FMA Notification on Third Countries Equivalence with Requirements for the Fight against
Money Laundering and Terrorist Financing:
http://www.fma.gv.at/typo3conf/ext/dam_download/secure.php?u=0&file=7503&t=1411625673&hash=f601668ac2f3c9d7dad336f49e9ebdae

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 a) issued by an official governmental authority => copy or scan
b) issued by a non-governmental authority => notarized copy notarized scan

Documents from a non EEA country 8 or non equivalent third countries 9 shall kindly be
delivered in the following form:
a) issued by an official governmental authority
=> apostilled copy or apostilled scan
b) issued by a non-governmental authority
=> notarized and apostilled copy or notarized and apostilled scan
c) all original documents (with notarization and Apostille) can also be presented to an
employee of a local RBI Group entity, which confirms the originality of the presented
documents to RBI AG

If the respective legal entity is registered in a country which is not a Contracting State to the
Apostille Convention of the Hague Conference on Private International Law
(http://www.hcch.net/index_en.php?act=conventions.status&cid=41), please provide:
a. document issued by an official authority: a copy with a legalization from the
respective Ministry of Foreign Affairs or the Austrian Embassy in the respective
country

b. document issued by a non-governmental authority: a notarized copy with a

legalization from the respective Ministry of Foreign Affairs or the Austrian
Embassy in the respective country

8
European Economic Area
9
FMA Notification on Third Countries Equivalence with Requirements for the Fight against
Money Laundering and Terrorist Financing:
http://www.fma.gv.at/typo3conf/ext/dam_download/secure.php?u=0&file=7503&t=1411625673&hash=f601668ac2f3c9d7dad336f49e9ebdae

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III. Annex I

Offshore Countries

Andorra Jersey St. Maarten/St. Martin

Anquilla Labuan St. Vincent & Grenadines
Aruba Lebanon Turks and Caicos
Bahamas Liechtenstein US Virgin Islands
Barbados Macau Vanuatu
Belize Marshall Islands Western Samoa
Bermudas Mauritius
Bonaire Monaco
British Virgin Islands Montserrat
Cayman Islands New Zealand
Cook Islands Niue
Costa Rica Palau
Curacao Panama
Cyprus Philippines
Dominica Saba
Gibraltar Seychelles
Guernsey St. Eustatius
Isle of Man St. Kitts and Nevis