Know Your Client KYC Form by v1jQ0W3u

VIEWS: 179 PAGES: 17

									                                      Owner Name and Address
                                      Email and Phone Number

                                COMPLIANCE PACKAGE


                                           July 3, 2012

         Insert Name of Bonds and Year(s) Issued




                                           Insert Small Bond Picture




                          STRICTLY CONFIDENTIAL
The information contained in this document is provided solely and exclusively for informational purposes only, and
for personal use upon a specific request made by: Insert Owner Name.




                              Submission Docs.                       Page 1 of 17
                                        Owner Name and Address
                                        Email and Phone Number

                                  PURCHASE OF BONDS

             This is not intended to be, and must not be construed to be, a solicitation of Bonds

Please read carefully:

This is an unofficial response to your request and is for informational purposes only.

By reading beyond this point, you acknowledge that this is a private communication of privileged confidential
information for you only, and you agree to keep it confidential and protect it from disclosure, except as required for
the transaction referred to herein. DO NOT UNDER ANY CIRUMSTANCES SEND THIS OUTLINE, OR ANY
INFORMATION CONCERNING THIS BUSINESS, TO ANYONE! You have requested specific information
outlined below. This material and document regarding the above referenced transaction are provided solely to
serve your interests and purposes, and are not for distribution. By receiving this information sheet you hereby
agree to keep all information received from us strictly confidential, and will not disclose it to any third party.

The following information may change at any time without notice.

After execution of this Compliance Package and receipt by our Compliance
Department it will take up to two banking days for the approval of the
Package and up to a further three banking days to receive an LOI from a
purchaser for the bonds.

                                   CERTAIN APPLICATION REQUIREMENTS

                                   (PLEASE COMPLY WITH ALL REQUESTS)

THE FOLLOWING DOCUMENTS SHOULD BE FILLED IN AND RETURNED AS A PACKAGE. PLEASE DO
NOT RETURN THE DOCUMENTS INDIVIDUALLY! ALL DOCUMENTS MUST BE CLEAR AND ALL
PROCEDURES MUST BE FOLLOWED.

PROOF OF OWNERSHIP: You must prove ownership and provide a front & back copy of one of the
bonds from each Series being sold. The proof of ownership can be in the form of an safekeeping receipt (SKR)
from a secure depository.

ATTESTATION LETTER: This must be completed by your attorney and the highlighted paragraph
deleted if you have not additional bonds to sell. (Not required if an SKR as noted above can be provided.)

CLIENT INFORMATION SHEET: This information must be filled in, in its entirety (two pages), and
the information contained must be accurate and verifiable.

HISTORY OF OWNERSHIP: The information provided in this form must be accurate & verifiable.
                                Submission Docs.                        Page 2 of 17
                                     Owner Name and Address
                                     Email and Phone Number

 AFFIDAVIT OF LEGAL OWNERSHIP: The information on this form is the confirmation to the
purchased of your legal ownership of the Bonds.

INDEMNIFICATION AND ATTESTATIION:                              The information provided in this form must be
accurate and verifiable.

AFFIDAVIT OF NON-SUBMITTAL TO OTHERS: This is to ensure the bank knows that this
file is not being “shopped” in the marketplace and they have an exclusive right to proceed with the transaction.

LETTER OF INTENT TO SELL: This is to be clear that this bond is for sale.

COPY OF PASSPORT: A clean, clear color copy of the Client’s passport must be provided, enlarged to
8.5” x 11”. This is best achieved by making a laser copy of the original passport enlarged 129%. A color –scan
device will do as well (accepted formats: JPEG, TIFF, PDF, DOC).

WARNING!

ANY SUBMITTED APPLICATION WHICH IS NOT ACCOMPANIED BY A FRESH, UP-TO-DATE AFFIDAVIT OF
LEGAL OWNERSHIP WILL BE REJECTED WITH NO FURTHER CONSIDERATION.

ANY SUBMITTED APPLICATION PARTIALLY COMPLETED OR WITH MISSING DATA WILL BE REJECTED
WITH NO FURTHER CONSIDERATION.

ANY APPLICATION SUBMITTED WHICH IS SIGNED BY ANY PARTY OTHER THAN THE
OWNER.SIGNATORY, WILL BE REJECTED WITH NOT FURTHER CONSIDERATION.

POWER OF ATTORNEY, WHETHER LIMITED OR FULL, AND MANDATES ARE NOT ACCEPTED FOR THE
SUBMISSION OF THIS KYC PACKAGE ONLY THE OWNER OF THE INSTRUMENTS OR AS APPROVED BY
BOARD RESOLUTION BY THE COMPANY OR ASSOCIATION.

                                          PROOF OF ASSET:

A COPY OF ALL BONDS IN A4 COLOR FORMAT SHOULD BE ATTACHED.

IT MUST INCLUDE ALLTHE IDENTIFICATION NUMBERS


Please sign here in blue ink
SIGNATURE OF THE BOND OWNER




                              Submission Docs.                      Page 3 of 17
                                           Owner Name and Address
                                           Email and Phone Number

                                 LETTER OF EXCLUSIVITY
Date:   July 3, 2012
To:     Bond Purchaser
Re:     Bond Sale

Dear Sir,

I,      , holder of current Passport Number               , issued in         , owner/authorized signatory for Folio (Serial)
Number(s):        , held in         . I, the undersigned, (hereinafter referred to as the “INVESTOR”), hereby with full,
personal and legal responsibility under penalty of perjury of law, represent, warrant and attest that:

I, the undersigned, have full legal title, rights, interest, control and authority to commit and invest these funds and have
chosen to do so of their own free will and sole decision without any solicitation or influence from the trade administrators.

I, the undersigned, principal party involved in this transaction do not have any other party working with or authorized to work
with these funds allocated for above-mentioned reference code, nor have any other parties been authorized to invest these
funds, nor have other funds from myself or the corporation been placed with other parties for a similar investment. Further I
attest that I have sent Cease & Desist Notices to any other intermediaries or trade groups that have had access to our
paperwork in the past.

I, the undersigned, herewith grant Program Manager, full exclusive right as our sole agent for 31 Days (Thirty-one days)
and/or the period of the contract whichever is later including any proceeds of the investment if re-invested, from the above
date, to enter these funds for me, or the Corporation into the best available investment.

I, the undersigned, understand, and I am fully aware that this transaction will be registered with a major world bank and/or
the Federal Reserve and the submitted private and confidential paperwork will be forwarded for the sole purpose of
establishing necessary dossier due diligence and clearance for this transaction.

I, the undersigned understand and acknowledge that the Program Manager (hereinafter referred to as the “Trade
Coordinator”) will initially base the placement of this transaction on the face value representations and documentation
presented, and that any misrepresentation may be considered criminal bank fraud. I, the undersigned hereby indemnify the
Trade Coordinator against any misrepresentations.

Facsimiles or electronically transmitted documents are deemed as legally binding as delivered originals.

I,      , hereby swear under penalty of perjury, that the information provided herein is accurate and true as of July 3, 2012.


Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:




                                  Submission Docs.                           Page 4 of 17
                                      Owner Name and Address
                                      Email and Phone Number

                                 Client Information Sheet
Directions: This document must be completed in full. If a line item does not pertain then insert the term: “N/A”
(non-applicable).

Client Information:

First Name                   :
Middle Name                  :
Last Name                    :
Gender                       :
Date of Birth                :
Social Security Number       :
Country of Citizenship       :
Passport Number              :
Date of Issue                :
Date of Expiry               :
Issuing Authority            :

Home Address:

City                         :
Street                       :
State                        :
Country                      :
Postal Code                  :
Telephone Number             :
Fax Number                   :
Mobile Number                :
Email Address                :

Corporate Information

Full Name of Corporation     :N/A (if selling as an individual)
Street Address               :N/A (if selling as an individual)
City                         :N/A (if selling as an individual)
State                        :N/A (if selling as an individual)
Country                      :N/A (if selling as an individual)
Postal Code                  :N/A (if selling as an individual)
Telephone Number             :N/A (if selling as an individual)
Fax Number                   :N/A (if selling as an individual)
Mobile Number                :N/A (if selling as an individual)
Email Address                :N/A (if selling as an individual)



                              Submission Docs.                      Page 5 of 17
                                          Owner Name and Address
                                          Email and Phone Number


Bank Information

Bank Name                      : Disclosed at table top meeting (TTM)
Street Address                 : Disclosed at table top meeting (TTM)
City                           : Disclosed at table top meeting (TTM)
State                          : Disclosed at table top meeting (TTM)
Country                        : Disclosed at table top meeting (TTM)
Postal Code                    : Disclosed at table top meeting (TTM)
Account Name                   : Disclosed at table top meeting (TTM)
Account Number                 : Disclosed at table top meeting (TTM)
Routing Number                 : Disclosed at table top meeting (TTM)
SWIFT Code                     : Disclosed at table top meeting (TTM)
Account Signatory (1)          : Disclosed at table top meeting (TTM)
Account Signatory (2)          : Disclosed at table top meeting (TTM)
Bank Officer # 1 Name          : Disclosed at table top meeting (TTM)
Bank Officer # 2 Name          : Disclosed at table top meeting (TTM)
Telephone Number               : Disclosed at table top meeting (TTM)
Fax Number                     : Disclosed at table top meeting (TTM)
Origin of Bonds                : Disclosed at table top meeting (TTM)

Are these Bonds free and clear: Yes        No

Brief description of Corporate Activity: N/A

I,       , hereby swear under penalty of perjury, that the bond(s) belong to me, or that I am the authorized
signatory for the bond(s). The information provided herein is accurate and true as of July 3, 2012.

For and on behalf of:


Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:




                                Submission Docs.                        Page 6 of 17
                                          Owner Name and Address
                                          Email and Phone Number

                              HISTORY OF OWNERSHIP

The following three questions need to be answered by the Client (Owner of the bonds).
Use whatever additional sheet of paper that may be necessary to answer the questions
fully and completely.

Date: July 3, 2012
To:   Bond Purchaser
Re:   Bond Sale

I,        confirm under the risk and penalty of perjury, that the proposed purchase of my bonds which are free and
clear of any liens or encumbrances and have been originated from a legal source. The means by which the bonds
came into my ownership was insert brief history of the bonds:

I further confirm, that the Bond has a number of months or years history in my ownership. Facsimiles of this
document and any other associated documents are as valid as the original. Hard copies shall be delivered if
requested.

I hereby swear under penalty of perjury, that I AM able to sell these bond(s)
and that the bond(s) BELONG TO ME OR THAT I AM THE AUTHORIZED
SIGNATORY FOR THE BOND(S). The information provided herein is
accurate and true.


Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:




                               Submission Docs.                      Page 7 of 17
                                          Owner Name and Address
                                          Email and Phone Number

                          ATTESTATION OF OWNERSHIP

Date: July 3, 2012
To:   Bond Purchaser
Re:   Attestation for Bonds owned by

Dear Sir/Madam: This letter is to certify that the following are true and correct:

I,      , the undersigned, hereby confirm under penalty of perjury and with full legal responsibility that I personally
and physically have in my possession and/or direct control. The Bond(s) listed herein this letter are available for
authentication by appointment or at the commencement of a closing transaction either by the Bank to Bank
method or a Table Top Meeting at mutually agreed Bank Location or by Attorney.

The Bond under my ownership and control is as follows:

Insert a brief description of the package of bonds



Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:




                                Submission Docs.                         Page 8 of 17
                                         Owner Name and Address
                                         Email and Phone Number

                  INDEMNIFICATION AND ATTESTATION

Date: July 3, 2012
To:   Bond Purchaser
Re:   Bond Sale

 I,      , holder of current Passport Number           issued by        hereby affirm, attest and certify under
penalty of perjury that the described Bond(s),     , held in     is authentic, valid and available for immediate
sale. The Bond(s) was lawfully obtained thru business and are free and clear of any and all liens and
encumbrances and I am authorized to offer them for sale.

I also affirm, attest and certify that the proceeds derived from any use of the funds shall be utilized in a legal
manner for either commercial, personal or charitable purposed at my election.

I further acknowledge that the Purchaser, with its Directors, as well as their respective officers, directors, partners,
shareholders, associates, affiliates, employees, partners and assigns, has no direct knowledge that the ownership
is legal or valid at this time and Purchase is relying upon the representations and warranties of the undersigned.

I further affirm, attest and certify that I am not affiliated, associated or employed, either directly or indirectly with
any governmental agency, either officially or unofficially, or under duress. I further affirm, attest and certify that my
actions, either directly or indirectly, with respect to the sale of the bonds are not a part of any governmental
investigation, covert or otherwise.

WHEREAS; The President of the United States of America did sign H.R. 3723 on October 11 th, 1996 thus
protecting all transactions conducted in the Currency of the United States of America by allowing Corporations the
right to declare their Contracts, Clients, Internal Procedures, Information, and the transactions in which they
engage, to be classified as Corporate, or Trade Secrets fully protected under the Economic and Industrial
Espionage Laws of the United States of America and the International Economic Community.

IN AS MUCH, as the names, identities, coordinates and identifying information of persons or entities that are party
to the transaction, or subsequent similar transaction(s), ore learned hereafter, shall be considered
Corporate/Trade Secrets and shall not be disseminated other than as provided for herein, or as allowed under the
law. Any unauthorized disclosure of all transaction(s) parties to, or other material fact of, such transaction(s) shall
subject the violator to criminal prosecution.

IN AS MUCH, as any document passed through the hands, or electronic equipment of any person, Broker,
Intermediary or entity not signatory to this/these transaction(s), or authorized by said signatories, and any material
fact provided to any person, Broker, Intermediary or entity not signatory to this/these transaction(s) allowed herein,
or as required by applicable law, will immediately VOID the transaction and subject the violator to criminal
prosecution.

By signing this document, the undersigned takes full responsibility and hereby indemnifies and holds harmless
Purchaser, as well as, where applicable, his respective officers, directors, partners, shareholders, associates,


                                Submission Docs.                          Page 9 of 17
                                          Owner Name and Address
                                          Email and Phone Number
affiliates, and employees again any and all improprieties or misrepresentations or omissions arising out of my
completion of this document.

The undersigned further undertakes to guarantee that all facts and information, written and/or verbal, which has
been rendered regarding the Bonds, are accurate, correct and true and can be relied upon completely, fully and
totally by the designated recipient.


Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:




                               Submission Docs.                    Page 10 of 17
                                          Owner Name and Address
                                          Email and Phone Number

            AFFIDAVIT OF NON-SUBMITTAL TO OTHERS

Date: July 3, 2012
To:   Bond Purchaser
Re:   Bond Sale


Dear Sir,

I,       the undersigned, hereby confirm, under penalty of perjury and with full personal responsibility that the
Bond Package submitted to you for processing, including but not limited to this Bond, has not and is not currently
submitted to any other source for consideration of my proposed private sale.

I furthermore hereby warrant and represent that, in the event that I have previously submitted our Bond Package
to any other source for application for the “sale of the Bonds”, for the procurement of the aforementioned and
herein desired sale, that we subsequently have issued the required “Cease & Desist Order” to that other source,
canceling all activities thereto.

Facsimile documents, when properly endorsed are hereby declared as originals, and originals may be obtained
upon request.


Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:




                               Submission Docs.                      Page 11 of 17
                                          Owner Name and Address
                                          Email and Phone Number

                           LETTER OF INTENT TO SELL

Date: July 3, 2012
To:   Bond Purchaser
Re:   Bond Sale

Dear Sir,

I,       , the undersigned, hereby confirm under penalty of perjury, my full commitment and agreement to sell the
bonds subject to negotiations of the purchase price and or schedule of payment. The price is to be approved by
the seller upon engagement. Because this transaction is very large, it is important that all aspects are discussed
between the buyer and seller only (not mandates) for security and privacy purposes.




Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:




                               Submission Docs.                      Page 12 of 17
                                          Owner Name and Address
                                          Email and Phone Number

                 ATTESTATION CONFIRMATION LETTER
The Parties whose signatures are affixed below hereby avow, state and represent, under the risk and penalty of
perjury that they are the legal owner and / or Legal Representative for the legal owner of the instruments that are
being contemplated for sale. The undersigned signatory does hereby attest and warrant to the following:

BOND INFORMATION:

       are for sale and the location of the Bond(s) is/are:       .

1.      I,       , the undersigned and, hereby confirm and warrant and represent that I am the true record owner
and holder/authorized signatory of the           Bond described above. I warrant and represent, under penalty of
perjury that this Bond submitted to you for purchase is not currently submitted to any other source for same.
Furthermore, in the event they had previously submitted this Bond, hereinabove described, to any other source for
application for purchase, I warrant that I have issued the required “Cease and Desist Orders” to that other source,
cancelling all activities thereto.

2.      I attest that I have personally in my possession at a secure location the aforementioned bond, which is
currently located in       .

3.      This Bond is available for authentication by table top meeting (TTM) only in the presence of the buyer and I
further confirm that I,     , have the legal right and authority to sell this bonds.

Hold Harmless: I,          , confirm that these instruments are free and clear and unencumbered and that they are
not linked to any banking fraud, terrorist activity or fraudulent activity of any kind. Furthermore, I hold you and your
Associates, Representatives and Facilitators harmless from any adverse or harmful participation in this
transaction. This transaction is being accomplished according to that which is agreed upon between the Buyer and
the Seller only.

By affixing my signature hereto, I hereby agree, understand, attest and warrant that my conduct and activities in
regard to this transaction are now and will remain compliant with the facts and statements contained within this
attestation. Should it be determined that I,     , the owner/signatory, have falsely misrepresented my position I
may be subject to criminal prosecution.


Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:




                                Submission Docs.                        Page 13 of 17
           Owner Name and Address
           Email and Phone Number

COPY OF PASSPORT OF BOND OWNER




     Submission Docs.        Page 14 of 17
      Owner Name and Address
      Email and Phone Number

COPY OF BOND - (FRONT)




Submission Docs.        Page 15 of 17
      Owner Name and Address
      Email and Phone Number

COPY OF BOND - (BACK)




Submission Docs.        Page 16 of 17
                      Owner Name and Address
                      Email and Phone Number

Picture of Bond & Passport on Current Newspaper
        (Bond folio number and newspaper date must be clearly visible)




               Submission Docs.                  Page 17 of 17

								
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