AML CATEGORY |
AML CHECKS |
INDIVIDUAL |
• Certified passport/photo ID • Certified proof of address(eg Utility bill, licence) • Subscription document/ application form • Banking details on application form • Completed FATCA/ CRS Form (if applicable) • Sophisticated Investor letter (if applicable, Refer Annexure A) |
PRIVATE/NOMINEE COMPANY |
• Certified copy of the Certificate of Incorporation • Certified copies of identification documents for one director, all authorised signatories • Subscription document/ application form • Banking details on application form • Completed FATCA/ CRS Form • Sophisticated Investor letter (if applicable, Refer Annexure A) |
PRIVATE/NOMINEE COMPANY (REGULATED) |
• Documentary evidence of regulated status • Certified copies of identification documents for one director, all authorised signatories (as per investor type required documentation) • AML comfort letter on company letterhead if acting in a nominee capacity • Subscription document/ application form • Banking details on application form • Completed FATCA/ CRS Form • Sophisticated Investor letter (if applicable, Refer Annexure A) |
LISTED COMPANY |
• Documentary evidence of listing • AML letter on company letterhead if acting in a nominee capacity • Subscription document/ application form • Banking details on application form • Completed FATCA/ CRS Form • Sophisticated Investor letter (if applicable) |
PARTNERSHIP |
• Certified copy of partnership agreement • Certified copies of identification documents for all partners owning over 25% (as per investor type required documentation) • Subscription document/ application form • Banking details on application form • Completed FATCA/ CRS Form • Sophisticated Investor letter (if applicable, Refer Annexure A) |
TRUST/FOUNDATION |
• Certified copy of trust deed • Certified copies of identification documents for trustee(s) (as per investor type required documentation) • Subscription document/ application form • Banking details on application form • Completed FATCA/ CRS Form • Sophisticated Investor letter (if applicable, Refer Annexure A) |
FUND/CHARITY |
• Certified Authorised Signatory List and properly authorised mandate of persons completing the form to act on behalf of the Investor. • Documentary evidence of regulated status of IM otherwise provide all documentation required as per IM investor type • AML letter on company letterhead from Fund Administrator • Subscription document/ application form • Banking details on application form • Sophisticated Investor letter (if applicable, Refer Annexure A)
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Certified copy means a document that has been certified as a true copy of an original document.
Certified extract means an extract that has been certified as a true copy of some of the information contained in a complete original document by one of the persons described in the sub-paragraphs below.
The certifier should sign the copy (printing his/her name underneath) and clearly indicate his/her position or capacity, and include a contact address and phone number. The certifier must indicate that the document is a true copy of the original document.
People who can certify documents or extracts are:
• A person who, under a law in force in a State or Territory, is currently licensed or registered to practice the following occupations:
o Chiropractor;
o Dentist;
o Legal practitioner;
o Medical practitioner;
o Nurse;
o Optometrist;
o Patent/Trademarks attorney;
o Pharmacist;
o Physiotherapist;
o Psychologist; and
o Veterinary surgeon.
• a lawyer - a person who is enrolled on the roll of the Supreme Court of a State or Territory, or High Court of Australia, as a legal practitioner (however described);
• a person listed in Part 2 of Schedule 2 of the Statutory Declarations Regulations 1993, which includes but is not limited to:
o a judge of a court;
o a magistrate;
o a chief executive officer of a Commonwealth court;
o a registrar or deputy registrar of a court;
o a Justice of the Peace;
o a notary public (for the purposes of the Statutory Declaration Regulations 1993);
o a police officer;
o a postal agent - an agent of the Australian Postal Corporation who is in charge of an office supplying postal services to the public;
o the post office - a permanent employee of The Australian Postal Corporation with 2 or more years of continuous service who is employed in an office supplying postal services to the public;
o an Australian consular officer or an Australian diplomatic officer (within the meaning of the Consular Fees Act 1955);
o an officer at a bank, building society, credit union or finance company with 2 or more continuous years of service with one or more financial institutions (for the purposes of the Statutory Declaration Regulations 1993);
o a member of the Institute of Chartered Accountants in Australia, the Australian Society of Certified Practising Accountants or the National Institute of Accountants; and
o a teacher employed on a full-time basis at a school or tertiary education institution.
• an officer or authorised representative of a holder of an Australian financial services licence, having 2 or more continuous years of service with one or more licensees.