Non Financial Institutions under CRS. If the Entity is a Non-Financial Institution, please tick one of the below categories: Active Non-Financial Entity – a corporation the stock of which is regularly traded on an established securities market or a corporation which is a related entity of such a corporation ☐ Active Non-Financial Entity – a Government Entity or Central Bank ☐ Active Non-Financial Entity – an International Organisation ☐ Active Non-Financial Entity – other than above (for example a start-up NFE or a non-profit NFE) ☐ Passive Non-Financial Entity - (If this box is ticked, please complete a separate Individual Self-Certification Form for each of your Controlling Persons**) ☐ - Please note that each Controlling Person must complete a Separate Individual Self-Certification form. - If there are no natural person(s) who exercise control of the Entity then the Controlling Person will be the natural person(s) who hold the position of senior managing official of the Entity. For further information on Identification requirements under CRS for Controlling Persons, see the Commentary to Section VIII of the CRS Standard: Council Directive 2003/48/EC of 3 June 2003 (the “EU Savings Directive”), which deals with the taxation of savings income in the form of interest payments, seeks to ensure that an individual who is resident in a member state of the European Union (an “EU Member State”) and who receives savings income from another EU Member State1, is taxed in the EU Member State in which he/she is resident for tax purposes. In this regard the Fund is obliged to establish the identity and residence of such individuals. The Applicant confirms by ticking the box that the Applicant is not resident in an EU Member State and has not verified its identity for the purposes of the Fund money laundering verification requirements by use of an EU passport/official identity ☐
Section 1: This Section 1 is to be completed by an Applicant resident in an EU Member State who is not a natural person (i.e. not an individual, unincorporated body, unincorporated partnership, or any of the foregoing acting as trustee of a trust):
a. Is Applicant a legal person, e.g., an incorporated entity? YES ☐ or NO ☐
b. Are Applicant’s profits taxed under general arrangements for business taxation? YES ☐ or NO ☐
(i) Is Applicant a UCITS or (ii) has Applicant been issued a certificate by Applicant’s EU Member State allowing Applicant to be treated as a UCITS for the purposes of the EU Savings Directive?
Section 2: This Section...
Non Financial Institutions under CRS. If the Entity is a Non Financial Institution, please tick one of the below categories
I. Active Non-Financial Entity – a corporation the stock of which is regularly traded on an established securities market or a corporation which is a related entity of such a corporation
II. Active Non-Financial Entity – a Government Entity or Central Bank
Non Financial Institutions under CRS. If the Entity is a Non Financial Institution, please tick one of the categories below
Non Financial Institutions under CRS. If the Entity is a Non-Financial Institution, please tick one of the below categories: Active Non-Financial Entity – a corporation the stock of which is regularly traded on an established securities market or a corporation which is a related entity of such a corporation ☐ Active Non-Financial Entity – a Government Entity or Central Bank ☐ Active Non-Financial Entity – an International Organisation ☐ Active Non-Financial Entity – other than above (for example a start-up NFE or a non-profit NFE) ☐ Passive Non-Financial Entity - (If this box is ticked, please complete a separate Individual Self-Certification Form for each of your Controlling Persons**) ☐ - Please note that each Controlling Person must complete a Separate Individual Self-Certification form. - If there are no natural person(s) who exercise control of the Entity then the Controlling Person will be the natural person(s) who hold the position of senior managing official of the Entity. For further information on Identification requirements under CRS for Controlling Persons, see the Commentary to Section VIII of the CRS Standard:
Non Financial Institutions under CRS. If the Entity is a Non Financial Institution, please tick one of the below categories
i. Active Non-Financial Entity – a corporation the stock of which is regularly traded on an established securities market or a corporation which is a related entity of such a corporation – Skip to question 7
ii. Active Non-Financial Entity – a Government Entity or Central Bank – Skip to question 7 iii. Active Non-Financial Entity – an International Organisation – Skip to question 7 iv. Active Non-Financial Entity – other than (I)-(III) (for example a start-up NFE or a non-profit NFE) – Skip to question 7 v. Passive Non-Financial Entity – Continue to question 6
