USA Patriot Act Information. To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. For a non-individual person such as a business entity, a charity, a trust or other legal entity the Escrow Agent will ask for documentation to verify its formation and existence as a legal entity. The Escrow Agent may also ask to see financial statements, licenses, identification and authorization documents from individuals claiming authority to represent the entity or other relevant documentation. The Company agrees to provide all such information and documentation as requested by Escrow Agent to ensure compliance with United States federal law.
USA Patriot Act Information. The Company and each other Party shall provide to the Escrow Agent such other information as the Escrow Agent may reasonably require to permit the Escrow Agent to comply with its obligations under the federal USA Patriot Act. The Escrow Agent shall not credit any amount of interest or investment proceeds earned on the Subscription Payments, or make any payment of all or a portion of monies held in the escrow account pursuant to this Agreement, to any person unless and until such person has provided to the Escrow Agent such documents as the Escrow Agent may require to permit the Escrow Agent to comply with its obligations under such Act.
USA Patriot Act Information. Provide to the Agent and Purchasers all documentation and other information about the Note Parties required under applicable “know your customer” and anti-money laundering rules and regulations, including the USA PATRIOT Act, that has been requested by the Agent or any of the Purchasers.
USA Patriot Act Information. The Agent and the Purchasers shall have received, at least five (5) days prior to the Closing Date, all documentation and other information about the Note Parties required under applicable “know your customer” and anti-money laundering rules and regulations, including the USA PATRIOT Act, that has been requested by the Agent and/or the Purchasers at least 10 days prior to the Closing Date.
USA Patriot Act Information. What is the source of funds for this account? ❑ Income from Earnings ❑ Investment Proceeds ❑ Gift ❑ Sale of Business ❑ Inheritance ❑ Other ❑ Pension/IRA/Retirement Savings ❑ Spouse/Parent ❑ Lottery/Gaming ❑ Insurance Proceeds ❑ Legal Settlement Is this account a Private Banking Account as defined under the USA PATRIOT Act? ❑ Yes ❑ No Is this an account for a Foreign Bank as defined under the USA PATRIOT Act? ❑ Yes ❑ No If yes, is the bank a Central Bank? ❑ Yes ❑ No SPECIAL NOTE FOR NON-U.S. ACCOUNTS: With respect to assets custodied by Pershing on your behalf, you acknowledge that income and capital gains or distributions to you from his account may be taxable in your home jurisdiction. You acknowledge to your financial organization and to Pershing that you have taken your own tax advice in this regard. Is this account for a Foreign Financial Institution (e.g. non-U.S. bank; non-U.S. branch of a U.S. bank; broker-dealer; futures merchant; commodities introducing broker; mutual fund; money transmitter or currency exchanger)? ❑ Yes ❑ No If yes, is this a Foreign Bank Account operating under an Offshore Banking License? ❑ Yes ❑ No If yes, is this a Foreign Bank Account operating under a banking license issued by a Non-Cooperative Country or Territory? ❑ Yes ❑ No If yes, is this a Foreign Bank Account operating under a banking license issued by a jurisdiction subject to Section 311 measures? ❑ Yes ❑ No If the answer to any of the three questions above is yes, how many people or entities* own 10 or more of the Bank (if its shares are not publicly traded)? Are you or anyone with an interest in this account either (1) a senior military, governmental, or political official in a non-U.S. country, or (2) closely associated with an immediate family member of such an official? ❑ Yes ❑ No If Yes, identify the name of the official, office held, and country: *If number is greater than zero, a Foreign Bank Beneficial Ownership form must accompany this request. NAW9 Page 1 of 7 FRM-NEW-ACCT-SS-10-09
USA Patriot Act Information. Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account in an effort to help fight funding of terrorism and money laundering. What this means to you: When you request that an XXX be established in your name, we will require that you provide us with certain information before opening your Account. This includes your name, home address, social security number, and date of birth. We may also ask to see your driver's license or other identifying documents. We are required to compare your identity to lists of persons and organizations maintained by any federal agency designated by the Department of the Treasury. If your name appears on any of these lists we must do each of the following: 1) refuse to open your Account; 2) close your Account if it is already open; and 3) notify federal authorities and follow all federal directives. If you attempt to falsify or conceal your identity, we may be required to file a Suspicious Activity Report. We may also use independent sources to verify identifying information. Federal law requires us to retain the identification information for a certain period of time, and may require that we provide this information to federal authorities without notice to you. This notice is in addition to our Privacy Disclosure and may describe potential disclosures of non‐public personal information that were not known to us at the time that the Privacy Disclosure was prepared. With respect to an Automatic Rollover IRA, federal regulators have provided guidance (Notice 2005‐5) stating that we will not be required to implement our Customer Identification Program (“CIP”) until a lost participant of an employer plan first contacts us to assert ownership or exercise control over the Account. Accordingly, CIP compliance is not required at the time an employer or plan administrator establishes an IRA on behalf of a former employee for purposes of a complying with the automatic rollover requirements of § 401(a)(31)(B).
USA Patriot Act Information. The Lenders shall have received, sufficiently in advance of the Closing Date, all documentation and other information that may be required by the Lenders in order to enable compliance with applicable “know your customer” and anti-money laundering rules and regulations, including the United States PATRIOT Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)) including the information described in Section 9.13.
USA Patriot Act Information. Is this a private banking account? Yes No A private banking account is defined as an account (or any combination of accounts) that requires a minimum aggregate deposit of funds or other assets of $1,000,000, is established or maintained for the benefit of one or more non-U.S. persons and is assigned to a bank employee who is a liaison between the financial institution and the non-U.S. person. Is this an account for a foreign bank? Yes* No A foreign bank is defined as an organization that is organized under the laws of a foreign country, engages in the business of banking, is recognized as a bank by the bank supervisory or monetary authority of the country of its principal operations, and receives deposits in the regular course of its business. *Broker/Dealer does not accept foreign bank accounts. If this is a foreign bank account we respectfully request that you seek the services of another broker/dealer. Are you or anyone with an interest in this account either: (1) a senior military, governmental, or political official in a non-U.S. country, or (2) closely associated with an immediate family member of such an official? Yes* No A senior foreign political figure is defined as a current or former senior official in the executive, legislative, administrative, military, or judicial branches of a foreign government, whether or not they are or were elected officials; a senior official of a major foreign political party; and a senior executive of a foreign government-owned commercial enterprise. This definition also includes a corporation, business or other entity formed by or for the benefit of such an individual. * If yes, complete the information below: Name of Official Office Held Country Account Level Legal Address
USA Patriot Act Information. Promptly following the Administrative Agent’s or any Lxxxxx’s request therefor, all documentation and other information that the Administrative Agent or any Lender reasonably requests in order to comply with its on-going obligations under applicable “know your customer” and anti-money laundering rules and regulations, including the USA PATRIOT Act.
USA Patriot Act Information. To help the government fight the funding of terrorism money laundering activities, federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. For a non-individual person such as a business entity, a charity, a trust or other legal entity, the Escrow Agent will ask for documentation to verify its formation and existence as a legal entity. The Escrow Agent may also ask to see financial statements, licenses, identification and authorization documents from individuals claiming authority to represent the entity or other relevant documentation. The parties each agree to provide all such information and documentation as to themselves as requested by Escrow Agent to ensure compliance with federal law.
