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ISDA preliminary requirements:
1)
2)
3)
4)
fax)
5)
6)
7)
New Account Forms (PWM Account) — n/a
Name of Counterparty -
Authorized trading persons (email, phone and fax) —
Primary contact with regards to documentation (email, phone and
2 years of financial statements (audited preferred) -
Ownership Structure and Purpose
Bank Statements (if client does not hold a lot of assets with DB)
Preliminary Background Information:
***Documents should be less than a year old, if possible
1)
Legal Name and Address of account —
2)
Account contact email, telephone number, fax number
3)
Trading Capacity (as Agent or Principal)
4)
Nature of Business -
5)
If trading as Agent/Investment Manager, we will need to know the
Legal Entity Names of the Managed (sub) Accounts —
6)
US Tax ID Number for US Domiciled Accounts -
7)
Corporate Resolution Letter / Certificate of Incorporation /
Certificate of Limited Partnership —
Trading Relationship Authority - Corporate Resolution, etc. If
needed, you may also complete the attached blanket Corporate Resolution.
This document should be printed on your company letter head, fully executed
and returned to us. —
8)
An Investment Management Agreement/Investment Advisory Agreement or
Trading Authorization —
9)
Name of a Senior/Controller Officer (CEO, COO, CFO, Principal) —
10) All legal representatives (List of Directors -
Registrar of Directors/-
Annual Report/3rd Party Auditor/internal Legal Counsel) -
11) Senior Management - 5 Control Person(s) or all if fewer
12) List of all Ultimate Beneficial Owners (25% or more):
a. Full Legal Name -
b. Nationality -
c. Date of Birth -
d. Exact amount of ownership interest -
e. Source of wealth -
For above UBOs with Nationality from Level 3/4 Country, Government
Photo ID e.g. Passport/ Driving License required
Ownership must be documented with Operating Agreements if this lists a
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breakdown with along with a percentage of holdings of the Ultimate
Beneficial Owners. Also may be done through Share Register/ Annual Report/
Reliable 3rd party/ Internal Legal Counsel. **If there are no such
individuals nor entities please provide an email or letterhead with a
statement to that effect. The information must be provided by a senior
manager, internal counsel, compliance officer, etc. -
10)
Settlement Instructions (Full DTC instructions needed for account
opening coming directly from the client) —
11)
Products that Account is interested in trading -
***Please keep in mind depending on the Entity Type of the Account,
additional documentation or due diligence may be required from TMG QA
Confidential
Confidential
Confidential
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