CLIENT COMPLIANCE FORMAT

Tutorial by philemon

All > CONTRACT SAMPLES > CLIENT COMPLIANCE WRITING

1 like

Please login to like this article.

1111111111111111111CLIENT COMPLIANCE APPLICATION

Insert Client Letterhead Here

1. PROGRAM CONFIRMATION

I ______________________________________(Insert First and Last Name) residing at address:______

_____________________________________________City____________________ State___________

Country:____________________________________________________________________________

hereby confirm the following:

A. Program Confirmation

I would like to apply for enrolment and acceptance into the following selected program:

[X] Owned Instrument with a value of $ 18,000,000.00 (Eighteen Millions US$)

The Instrument is a [ X ] BG / [ ] SBLC / [ ] MTN / [ ] LTN

The Instrument Currency is [ ] Euro / [ X] USD / [ ] GBP / [ ] Other ______________Specify

The Instrument Issuing Banks Name is:_____________________________ Bank Country:____________

I, (INSERT YOUR NAME), hereby declare with full personal and corporate responsibility under penalty of perjury that the information given here is true and correct, genuine and accurate.

By: (INSERT YOUR NAME)

Signed____________________________________________ Date_____/_____/_____

Title_________________________________ Passport Number ___________________

Insert Client Letterhead Here

2. ELIGABILITY DECLARATION

I ______________________________________(Insert First and Last Name) residing at address:______

_____________________________________________City____________________ State___________

Country:____________________________________________________________________________

hereby confirm the following:

Neither I or any person or company I represent is in ANY of the following categories that Secure Platform Funding will NOT provide service to:

Due to FATCA (Foreign Account Tax Compliance Act) we DO NOT provide ANY services to:

USA Passport Holders
USA Corporations
Clients that Reside in the USA
Businesses with Head Offices in the USA
Clients utilizing USA Bank Accounts for any part of their transaction with us.

We DO NOT provide ANY services to Passport holders or Businesses from the following countries:

Afghanistan
Libya
North Korea
Sudan
Syria
Yemen

I, (INSERT YOUR NAME), hereby declare with full personal and corporate responsibility under penalty of perjury that the information given here is true and correct, genuine and accurate and I am not in any of the categories or groups listed above.

By: (INSERT YOUR NAME)

Signed____________________________________________ Date_____/_____/_____

Title_________________________________ Passport Number ___________________

Insert Client Letterhead Here

3. CLIENT INFORMATION SHEET

In accordance with Articles 2 through 5 of the Due Diligence Convention and the Federal Banking Commission Circular of December 1998, and under the US Patriot Act of 2002, as amended in February 2003 concerning the prevention of money laundering and 305 of the Swiss Criminal Code and Anti Money Laundering Act, the following information may be supplied to banks and/or other financial institutions for purposes of verification of identity and activities of the Client described below, and the nature and origin of the funds which are to be utilized. The foregoing is subject to agreement by all parties to whom this information is provided that they are obligated to respect the privacy rights of the Client and all individuals described herein, as well as the generally accepted professional standards relating to the maintenance of confidential information, and to take all appropriate precautions to protect the confidentiality of the information contained herein, This legal obligation shall remain in full force indefinitely without restriction.

Corporate

Full Name of Institution :

Registration Number :

Date of Registration :

Domicile /Jurisdiction :

Postal Address :

Registration Address :

Physical Address :

(if different from Registration Address)

Business Telephone Number :

Business Facsimile Number :

E-mail Address :

Website :

Corporate Officer 1 and Title :

Corporate Officer 2 and Title :

Business Trading Type / Description :

Insert Client Letterhead Here

Details of Signatory to Contract ? Corporate & Individual

First Name :

Last Name :

Date and Place of Birth :

Nationality :

Passport Number :

Date of Issue of the Passport :

Expiry Date of the Passport :

Title in the Corporation :

Mobile Phone Number :

Home Address :

Home Telephone Number :

Home Facsimile Number :

E-mail Address :

Legal Advisor Name :

Legal Advisor Address :

Legal Advisor Telephone Number :

Legal Advisor Facsimile Number :

Do you speak English? :

If no, what language? :

If English is not listed, please provide the name and co-ordinates of a person you designate to translate from English to your preferred language.

Translator Name :

Translator Address :

Translator Telephone Number :

Translator Facsimile Number :

Translator E-mail Address :

Details of the Bank Account ? From Where your Instrument is held/issued

Bank Name :

Bank Address :

Bank Swift Code :

Account Name :

Account Number :

Account Signatory Name and Title :

Bank Officer Name and Title :

Bank Officer Telephone Number :

Bank Officer Facsimile Number :

Bank Officer E-mail Address :

Insert Client Letterhead Here

4. DECLARATION OF NON SOLICITATION AND FUNDS OWNERSHIP

I, (INSERT YOUR NAME) warrant and attest, with full personal and corporate responsibility that as the beneficial owner; I have full legal title and authority with no governing restrictions over the herein described Bank Instrument.

We hereby grant THE TRANSACTING PRINCIPALS and/or Secure Platform Funding full permission and authority to verify, confirm, and reconfirm said collateral and/or assets on a bank-to-bank basis and conduct standard background checks of the collateral and/or assets, and the corporate entity owning such.

I warrant and attest that I have not authorized or offered to any other party, consultant, broker or investor the placement of the collateral and/or assets defined herein nor have I shopped the collateral and/or assets to any other financial broker, consultant or company in the last 8 weeks.

I certify and attest that at no time has your organization or any agent and / or appointee on your behalf made any offer or solicitation.

I, (INSERT YOUR NAME) attest and warrant with full responsibility under the penalty of perjury that:

a) The available Bank Instrument listed in this Application is from good, clean, cleared sources, free and clear of security interests or similar interests of any kind or nature whatsoever.

b) I or the company I act for are the full owner or beneficiary of the Bank Instrument.

c) The Bank Instrument has been legitimately earned and obtained from non-criminal & non terrorist origins.

d) The Bank Instrument is free and clear of any liens or encumbrances and the Bank Instrument is under my control, immediately available and freely transferable without consent of any third party.

e) The Bank Instrument are legally earned, taxed, and include no independent third-party interests.

f) The Bank Instrument owner and beneficiary are not a party to a law suit or pending adverse legal action, further, there are no pending contracts existing, or about to exist, that could affect the said Bank Instrument.

g) All information supplied in the documentation submitted with this Application and the Bank Instrument involved, are not in violation of the Patriot Act of October 26, 2001, and amendments thereto, with its related financial crimes counterparts however interpreted, defined and enacted, whether within the United States or any other international jurisdiction.

I, (INSERT YOUR NAME), as Account Holder and duly Authorized Signatory, do hereby confirm that I have requested of you and your organization, specific confidential information and documentation on behalf of myself regarding currently available Private Financial Opportunities to serve only my interest, education, and not for further distribution.

I hereby agree that all information received from you is in direct response to my request, and is not in any way considered or intended to be a solicitation of any sort, or any type of offering, and for my general knowledge only. I hereby affirm under penalty of perjury, that I have requested this information from you and your organization of my choice and free will and further, and that you have not solicited me in any way.

I hereby represent that I am not an informant, nor am I associated with any government agency of the United States of America, or any other country, such as the Secret Service, Internal Revenue Service, Federal Bureau of Investigation, Central Intelligence Agency, Securities and Exchange Commission, Banking Commission, Interpol, any countries Financial Market Authority, nor any agency whose purpose is to gather information regarding such transactions or offerings.

I understand that any contemplated transaction is strictly one of a private nature, and is in no way relying upon, or relating to, the United States Securities Act of 1933, as amended, or related regulations, and does not involve the sale of public securities.

Further, I hereby declare that you have disclosed that you are not a licensed security trader, attorney, bank officer, certified public accountant or financial planner. Any information, work or service conducted hereunder is that of a private individual and that this is a project funding transaction that is exempt from the Securities Act and not intended for the general public but Private Use only.

I acknowledge that submission of this application is no guarantee of acceptance, that no reason for being declined needs to be given, nor do I have a right to appeal any decision. I agree that regardless of the outcome with my application I will not to make any negative public or private statement either in writing or verbally to any other party, website, media company or person.

The electronic or facsimile transmission of these documents shall be considered a binding and enforceable instrument, treated as original copy. Original may be obtained upon request.

I, (INSERT YOUR NAME), hereby declare with full personal and corporate responsibility under penalty of perjury that the information given within this application true and correct, genuine and accurate, that I have had the opportunity to consult appropriate professional accounting and legal advice and that I have read and voluntarily agree to all statements in this documentation without reservation or hesitation.

By: (INSERT YOUR NAME)

Signed____________________________________________ Date_____/_____/_____

Title_________________________________ Passport Number ___________________

Insert Client Letterhead Here

5. BOARD OF DIRECTORS CORPORATE RESOLUTION

A special meeting of the Board of Directors of (Company Name) (hereinafter referred to as ?Corporation?) was duly held in accordance with the Articles of Association/By Laws of the Corporation on the ___/___/___

Present at the meeting were the following Directors: ____________________________

______________________________________________________________________

The meeting of the Directors undertook the following Corporate Resolution, which has been recorded in the Minute of the Book of the Corporation.

It was unanimously resolved to utilize the (BG, SBLC, MTN, LTN) Bank Instrument with a value of ___________________________________________ on deposit at (Bank Name) for an investment, monetization, sale, trading or private financial opportunity.

Additionally it was unanimously resolved, that Authorized Persons Name of the Corporation who is the authorized signatory of the (BG, SBLC, MTN, LTN) Bank Instrument, is authorized to use the full companies corporate authority, to enter into instrument monetization, sale, trading and fee agreements as necessary, to make selections as to which investment, monetization, sale, trading or private financial opportunity will best suit the placement of these funds/assets so as to assure the anticipated financial returns and to receive and distribute all profits from the investment, monetization, sale, trading or private financial opportunity.

The necessary authority and powers required to undertake these tasks and responsibilities are hereby granted to:

Name :__________________________________________________

Passport No. :__________________________________________________

Country of Origin :__________________________________________________

It is therefore, unanimously resolved that the appointed officer above shall have the authority to negotiate all details and sign the final contract with the officer representing the investment, monetization, sale, trading or private financial opportunity and associated authorities or bank officers.

There being no further business, the meeting was declared adjourned, and in witness thereof, the directors signed below on the date first written above.

Signed and sealed this date of ___/____/____

Signature:__________________________ Full Legal Name:_____________________

Title:______________________________ Passport # :_________________________

Passport Issuing Country:_____________________________

Insert Client Letterhead Here

6. PASSPORT

Insert Full Color Photo of your Passport Here

I, (INSERT YOUR NAME), hereby declare with full personal and corporate responsibility under penalty of perjury that the passport above is mine and is true and correct, genuine and accurate.

By: (INSERT YOUR NAME)