Group Onboarding Checklist Form (Page 2 of 2) in pdf

Tax Information



 W8 BEN E – If Not a US Entity, Confirming FATCA Status

W9 required if US Entity

 Certification in relevant non-individual/corporate Customer Information Form that all tax and exchange control

reporting requirements imposed by any applicable jurisdiction will be complied with in respect to all accounts held

with Clarien. Clarien may request evidence of declaration of accounts

Financial Information

 Annual Report or latest financial statements and auditors reports, or business plan or appropriate

 In the case of Funds, copy of the prospectus / offering memorandum

Corporate Documents

 Certified copy of Certificate of Incorporation

 Certified copy of any change of name if applicable

 Certified copy of the Memorandum of Association / Article of Association / Bye Laws

 Certified copy of the Register of Shareholders disclosing ultimate beneficial ownership

 Certificate of Incumbency detailing all directors and officers of the Company, signed and dated by the Company

Secretary, with Company seal affixed

Certified copy of the Certificate of Good Standings (for companies incorporated for longer than one year)



atisfactory evidence of Good Standing (Bermuda companies) - e.g.

copy of Receipt from ROC of annual filings& fees/ or

copy of cheque and copy of annual filing

Corporate Documents (additional requirements for Financial Institutions)

 Certified copy/evidence of Licence issued by recognized authority of FATF Country

 Evidence of Financial Institution’s AML Programme:

o Regulated Financial Institutions from Recognised FATF Compliant Countries:



AML Comfort Letter, confirming the company’s AML Policies and Procedures; or



Completed Wolfsberg Anti-Money Laundering Questionnaire

o Financial Institutions from non-FATF Compliant Countries:



Completed Wolfsberg Anti-Money Laundering Questionnaire; and



Copy of the Company’s AML Policies and Procedures

Banking Services

 Completed Account Application Form

 Disclosure of Source of Initial & Future Deposits

 Intended Purpose of Account(s)

If utilizing Investment or Brokerage Services, additional documentation required per the relevant checklist:



Discretionary – Advisory Services - New Account Checklist (Clarien Investments Limited)



Brokerage Services – New Account Checklist (Clarien Investments Limited)



Brokerage Services – New Account Checklist (Clarien Brokerage Limited)

 All documents submitted must be originals or original certified copies. Copies should be notarized if submitted from outside Bermuda

 Clarien may request additional information and verification

Page 2 of 2

V1.4 16.03.30. GC

Group Onboarding Checklist Form Page 2

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