美国爱国者法案USAPA

INSTRUCTIONSFORCOMPLETINGTHECERTIFICATIONAppendixA–CertificationRegardingCorrespondentAccountsForForeignBanks–MustbecompletediftheoriginalCertificationprovidedwasadifferentversionoftheCertificationenclosedinthispacket.Ifyouhaveaglobalcertification(onecertificationforallaccountsyourinstitutionmaintainsatanyU.S.coveredfinancialinstitution)andmaintainthiscertificationonyourwebsiteorhavepostedyourCertificationwithBankersAlmanac,youneedonlyprovideuswiththelink.1.SectionBa.ThefirstboxallowsyoutofilloutonecertificationforallaccountsyourinstitutionmaintainsatanyU.S.coveredfinancialinstitution.ORb.ThesecondboxrequiresthatyouidentifyaspecificU.S.coveredfinancialinstitutionandonlythatinstitutioncanrelyonthecertification.2.SectionC–PhysicalPresence–youmustincludethefullphysicaladdress(noP.O.Boxes),countryandBankingAuthorityforeachPage2locationyouwishtocoverwiththeCertification.CompletingmultiplepageswithSectionCorusingtheattachedlocation/branchlistingcanaccomplishthis.3.SectionD–IndirectUseofCorrespondentAccounts–thisboxmustbecheckedasconfirmation/certificationthatyouwillnotuseanyaccountswithustodirectlyorindirectlyprovidefinancialservicestoashellbank.4.SectionE–OwnershipInformation–youmustchooseoneoftheboxesindicated.Ifneither1nor2apply,youmustcheckbox3.Ifnoneoftheownersmeetthedefinitionasindicatedinthissection,pleasemarkasN/Aornil.5.SectionF–ProcessAgent–youmustindicateaU.S.personorentitydesignatedtoacceptlegalserviceintheU.S.onyourinstitution’sbehalf.6.SectionG–General–pleaseread,completeandsignasindicatedontheformPage3PleasereviewthecompletedCertificationpriortosending.TheCertificationmustbefullycompletedinorderforustoacceptandapprove.AllnecessaryboxesmustbecheckedandaU.S.ProcessAgentmustbedesignatedonallCertifications.WestronglyrecommendthatyouprovideuswithasinglecertificationthatcoversalltheU.S.CoveredFinancialInstitutionsintheJPMorganChasefamily.ThismeansprovidinguswithanAppendixAthathasthefirstboxunderSectionBmarked.APPENDIXATOSUBPARTIOFPART103–CERTIFICATIONREGARDINGCORRESPONDENTACCOUNTSFORFOREIGNBANKS[OMBCONTROLNUMBER1505-0184]TheinformationcontainedinthisCertificationissoughtpursuanttoSections5318(j)Page4and5318(k)ofTitle31oftheUnitedStatesCode,asaddedbysections313and319(b)oftheUSAPATRIOTActof2001(PublicLaw107-56).ThisCertificationshouldbecompletedbyanyforeignbankthatmaintainsacorrespondentaccountwithanyU.S.bankorU.S.broker-dealerinsecurities(acoveredfinancialinstitutionasdefinedin31C.F.R.103.175(f)).AnentitythatisnotaforeignbankisnotrequiredtocompletethisCertification.AforeignbankisabankorganizedunderforeignlawandlocatedoutsideoftheUnitedStates(seedefinitionat31C.F.R.103.11(o)).Abankincludesoffices,branches,andagenciesofcommercialbanksortrustcompanies,privatebanks,nationalbanks,thriftinstitutions,creditunions,andotherorganizationscharteredunderbankinglawsandsupervisedbyPage5bankingsupervisorsofanystate(seedefinitionat31C.F.R.103.11(c)).*ACorrespondentAccountforaforeignbankisanyaccounttoreceivedepositsfrom,makepaymentsorotherdisbursementsonbehalfofaforeignbank,orhandleotherfinancialtransactionsrelatedtotheforeignbank.SpecialinstructionforforeignbranchesofU.S.banks:AbranchorofficeofaU.S.bankoutsidetheUnitedStatesisaforeignbank.SuchabranchorofficeisnotrequiredtocompletethisCertificationwithrespecttoCorrespondentAccountswithU.S.branchesandofficesofthesameU.S.bank.*A“foreignbank”doesnotincludeanyforeigncentralbankormonetaryauthoritythatfunctionsasacentralbank,oranyinternationalfinancialinstitutionorregionaldevelopmentbankformedbytreatyorinternationalagreement.Page6SpecialinstructionforcoveringmultiplebranchesonasingleCertification:AforeignbankmaycompleteoneCertificationforitsbranchesandofficesoutsidetheUnitedStates.TheCertificationmustlistallofthebranchesandofficesthatarecoveredandmustincludetheinformationrequiredinPartCforeachbranchorofficethatmaintainsaCorrespondentAccountwithaCoveredFinancialInstitution.Useattachmentsheetsasnecessary.A.Theundersignedfinancialinstitution,_BANKOFNINGXIA__(“ForeignBank”)herebycertifiesasfollows:B.CorrespondentAccountsCoveredbythisCertification:Checkonebox.ThisCertificationappliestoallaccountsestablishedforForeignBankbyCoveredFinancialInstitutions.√Page7ThisCertificationappliestoCorrespondentAccountsestablishedby_______________forForeignBank.C.PhysicalPresence/RegulatedAffiliatedStatus:Checkoneboxandcompletetheblanks.ForeignBankmaintainsaphysicalpresenceinanycountry.Thatmeans:ForeignBankhasaplaceofbusinessatthefollowingstreetaddress:NO.157BEIJINGZHONGLUYINCHUANNINGXIACHINA,whereForeignBankemploysoneormoreindividualsonafull-timebasisandmaintainsoperatingrecordsrelatedtoitsbankingactivities.Theaboveaddressisin_CHINA________________________(insertcountry),whereForeignBankisauthorizedtoconductbankingactivities.ForeignBankissubjecttoinspectionbyCHINABANKINGREGULATORYCOMMISSION_______________________,(insertBankingAuthority),thebankingauthoritythatlicensedForeign√Page9Banktoconductbankingactivities.ForeignBankdoesnothaveaphysicalpresenceinanycountry,butForeignBankisaregulatedaffiliate.Thatmeans:ForeignBankisanaffiliateofadepositoryinstitution,creditunion,oraforeignbankthatmaintainsaphysicalpresenceatthefollowingstreetaddress:_________________________________,whereitemploysoneormorepersonsonafull-timebasisandmaintainsoperatingrecordsrelatedtoitsbankingactivities.Theaboveaddressisin____________________________________(insertcountry),wherethedepositoryinstitution,creditunion,orforeignbankisauthorizedtoconductbankingactivities.Foreignbankissubjecttosupervisionby________________________(insertBankingAuthority),thesamebankingPage10authoritythatregulatesthedepositoryinstitution,creditunion,orforeignbank.ForeignBankdoesnothaveaphysicalpresenceinacountryandisnotaregulatedaffiliated.D.IndirectUseofCorrespondentAccounts:Checkboxtocertify.NoCorrespondentAccountmaintainedbyaCoveredFinancialInstitutionmaybeusedtoindirectlyprovidebankingservicestocertainforeignbanks.ForeignBankherebycertifiesthatitdoesnotuseanyCorrespondentAccountwithaCoveredFinancialInstitutiontoindirectlyprovidebankingservicestoanyforeignbankthatdoesnotmaintainaphysicalpresenceinanycountryandthatisnotaregulatedaffiliate.√Page11E.OwnershipInformation:Checkbox1or2below,ifapplicable.1.FormFRY-7isonfile.ForeignBankhasfiledwiththeFederalReserveBoardacurrentFormFRY-7andhasdiscloseditsownershipinformationonItem4ofFormFRY-7.2.ForeignBank’ssharesarepubliclytraded.Publiclytradedmeansthatthesharesaretradedonanexchangeoranorganizedover-the-countermarketthatisregulatedbyaforeignsecuritiesauthorityasdefinedinsection3(a)(50)oftheSecuritiesExchangeActof1934(15U.S.C.78c(a)(50)).Page12Ifneitherbox1or2ofPartEischecked,completeitem3below,ifapplicable.3.ForeignBankhasnoowner(s)exceptassetforthbelow.ForpurposesofthisCertification,ownermeansanypersonwho,directlyorindirectly,(a)owns,controls,orhasthepowertovote25percentormoreofanyclassofvotingsecuritiesorothervotinginterestsofForeignBankor(b)controlsinanymannertheelectionofamajorityofthedirectors(orindividualsexercisingsimilarfunctions)ofForeignBank.ForpurposesofthisCertification,(i)personmeansanyindividual,bank,corporation,partnership,limitedliabilitycompanyoranyotherlegalentity;(ii)votingsecuritiesorothervotinginterestsmeanssecuritiesorotherintereststhatentitletheholdertovotefororselectdirectors(orindividualsexercisingsimilar√Page13functions);and(iii)membersofthesamefamily*shallbeconsideredoneperson.NameAddressThereisnoownerwhodirectlyandindirectlyowns,controlsandhasthepowertovote25percentormoreF.ProcessAgent:Completethefollowing:Thefollowingindividualorentity:_*Thesamefamilymeansparents,spouses,children,siblings,uncles,aunts,grandparents,grandchildren,firstcousins,stepchildren,stepsiblings,parents-in-lawandspousesofanyoftheforegoing.Indeterminingtheownershipinterestsofthesamefamily,anyvotinginterestofanyfamilymembershallbetakenintoaccount.Page14CORPORATIONSERVICECOMPANY____________________________________isaresidentoftheUnitedStatesatthefollowingstreetaddress:2711CENTERVILLEROADWILMINGTON,DE19808___________________________________andisauthorizedtoacceptserviceoflegalprocessonbehalfofForeignBankfromtheSecretaryoftheTreasuryoftheAttorneyGeneraloftheUnitedStatespursuanttoSection5318(k)oftitle31,UnitedStatesCode.Page15G.GeneralForeignBankherebyagreestonotifyinwritingeachCoveredFinancialInstitutionatwhichitmaintainsanyCorrespondentAccountofanychangeinfactsorcircumstancesreportedinthisCertification.Notificationshallbegivenwithin30calendardaysofsuchchange.ForeignBankunderstandsthateachCoveredFinancialInstitutionatwhichitmaintainsaCorrespondentAccountmayprovideacopyofthisCertificationtotheSecretaryoftheTreasuryandtheAttorneyGeneraloftheUnitedStates.ForeignBankfurtherunderstandsthatthestatementscontainedinthisCertificationmaybetransmittedtooneormoreDepartmentsoragenciesoftheUnitedStatesofAmericaforPage16thepurposeoffulfillingsuchdepartments’andagencies’governmentalfunctions.I,__ZHANGYUE_________(nameofsignatory),certifythatIhavereadandunderstandthisCertification,thatthestatementsmadeinthisCertificationarecompleteandcorrect,andthatIamauthorizedtoexecutethisCertificationonbehalfofForeignBank.BANKOFNINGXIA_CO,LTD________________________________[NameofForeignBank]___________________________________086-951-5011367________________[Signature][PhoneNumber]ZHANG__YUE___________________086-951-5034082_________________Page17[PrintedName][Fax]GENERALMANAGEROFINTERNATIONALBUSINESSDEPT._____________banknx@163.com________________[Title][E-mailaddress]Executedonthis__SIXTH___dayof_______MAY_______________,2015___.Receivedandreviewedby:Name:_______________________________________Title:_______________________________________For:：Date:______________________________Page18ATTACHMENTTOUSAPATRIOTACTCERTIFICATIONSGLOBALLISTINGOFALLRELATEDAFFILIATES,SUBSIDIARIESANDBRANCHESStreetAddressEntityNameandRelationshiptoEntityIndicatedinSectionA(i.e.affiliate,subsidiaryorbranch)StreetCityStatePostalCodeCountryBankingAuthorityPage19