FICA VERIFICATION CONTROL FORM - Courtney Capital



CLIENT ON-BOARDING FICA VERIFICATION FORM (SA NON LISTED)Verification requiredDOCUMENTS OBTAINED FROM CLIENT SELECT APPROPRIATE DOCUMENTSINFORMATION TO BE RECORDED / ADDITIONAL DETAILSA non listed company registered before the Companies Act, 71 of 2008 came into effectRegistered name, registration number and registered address? the full CIPC record reflecting the details required and? the Notice of Registered Office and Postal Address (Form CM22)and? the details of the director and other directorships (Form CM27 or CM29)or? memorandum and articles of association (CM4); or the original or certified copy of the most recent Certificate of Incorporation (Form CM1 or CM3 for non-profitable) and (Form CM9) where an SA non listed company’s name has changed, and therefore differs from the CM1(if applicable); and the Notice of Registered Office and Postal Address (Form CM22)*Note: These documents must bear the stamp of the CIPC and must carry the signature of the company secretary/commissioner of oaths of that SA non listed company anywhere on the document.Registered Name and numberClick here to enter text.Registered / Postal Address:Click here to enter text.SA non listed company registered in terms of or converted to align with the Companies Act, 71of 2008 - Profit Companies and Non-Profit CompaniesRegistered name, registration number and registered address? the original or certified copy of the most recent Notice of Incorporation (Form CoR 14.1)and? the original or certified copy of the Registration Certificate (Form CoR 14.3) and? if applicable, the Notice of Change Concerning a Director (Form CoR 39) and? if applicable, the Notice of change of Registered Office (Form CoR 21)*Note: These documents must bear the stamp of the CIPC and must carry the signature of the company secretary/commissioner of oaths.In terms of the Companies Act, 71 of 2008, only public companies and state owned companies are required to appoint a company secretary. In the absence of a company secretary a person who is in senior position and who is a person responsible for the efficient administration of the company, particularly with regard to ensuring compliance with statutory and regulatory requirements and for ensuring that decisions of the Board of Directors are implemented, may sign the documents.Trading Name and AddressDocumentation obtained must be less than 3 months old, unless otherwise indicated.The details of the trading name and trading address of the entity may be verified by comparing an original / certified / identifiable copy of one of the documents listed here that reflects the entity’s trading name and trading address. Where the document reflects a postal address, it will still be acceptable provided the entity’s name, the erf / stand number and township / suburb are reflected on it.?914400-7620 utility bill (less than three months old)or? bank statement (less than three months old) from an institution other than the Nedbank Group, if the entity previously transacted with a bank registered in terms of the Bank’s Act and that bank had confirmed the entity’s particularsor ? lease or rental agreement (less than 12 months old)or ? declaration from the property owner/landlordor? permit to occupy the premisesor? a site rental certificateor?municipal rates and taxes invoice (less than three months old) or? mortgage statement (less than six months old), from an institution other than the Nedbank914400146685 Groupor? Telkom or any other fixed line provider account (less than three months old)or?914400302260 SARS tax return/any other official document issued by SARS on their letterhead (less than 12 months old)or? correspondence from a Body Corporate or Shareblock Association (less than 12 months old) or ? insurance policy document or?short term insurance document (lessthan 12 months old)or? Nedbank bond registration documentation and/or Nedbank valuation certificatesor ?national, provincial or local government document (less than three months old)or ? any court order or? retail credit accounts (including cellular accounts) (less than three months old)When none of the above can be provided record reason and use one of the following: ? legal person shared address declaration form to be completedor? record of visit to client’s trading address form to be completedTrading/Operation Address:Click here to enter text.Head Office Address:Click here to enter text.Telephone Number:Click here to enter text.e-mail:Click here to enter text.Web Address:Click here to enter text.Click here to enter text.Click here to enter text.Associated natural persons to be identified and verified:Manager of SA non listed companyEach natural person authorised to establish a business relationship or each natural person who is authorized to transact on behalf of SA non listed company.Each natural person holding 25% or more of the voting rights at a general meeting of the SA non listed company*Note: the residential address and contact particulars of these natural persons need to be obtained but not verified.SA citizens resident in South Africa?the original SA green bar-coded identity documentorThe following documents may be accepted in such exceptional circumstances as an alternative form of verification:?valid passport?green identity document without a bar-code;Foreign nationals resident in South Africa?the original SA green bar-coded identity documentor?valid foreign passport of such a person*Note: In circumstances where verification is done by comparing the particulars with an original SA green bar coded identity document, no proof of residency needs to be obtained.In circumstances where verification is done by comparing the particulars with a valid foreign passport, proof of residency must be obtained and would be in the form of a residency/work permit.Foreign nationals resident abroad?valid foreign passport of such a personSA citizens resident abroad?the original SA green bar-coded identity documentor?valid foreign passport of such a person*Note: Proof of residency must be obtained and would be in the form of a residency/work permit.Authorised person name, address and contact:Click here to enter text.Click here to enter text.Click here to enter text.Click here to enter text.Click here to enter text.Click here to enter text.Click here to enter text.Click here to enter text.Proof of authority for natural persons purporting to act on behalf of 914400148590the SA non listed company:? the original resolutionor?a certified extract of the minutes proving authorityor?an original letter signed by the company secretary on an official letterheadClick here to enter text.914400294640Proof of shareholding of a legal entity, partnership or trust holding 25% or more of the voting rights at a general meeting of the SA non listed company:?an original letter, confirming the shareholding, signed by the company secretary on an official company letter heador? an original letter from the company auditors confirming the shareholdingor? the audited company financial statements.In terms of the Companies Act, 71 of 2008, only public companies and state owned companies are required to appoint a company secretary. In the absence of a company secretary a person who is in senior position and who is a person responsible for the efficient administration of the company, particularly with regard to ensuring compliance with statutory and regulatory requirements and for ensuring that decisions of the Board of Directors are implemented, may sign the documents.An associated legal entity, partnership or trust holding 25% or more of the voting rights at a general meeting of the SA non listed company registered before/after the Companies Act came into effect or converted to align with the Companies Act needs to be identified and verified in accordance with the identification and verification requirements applicable to that associate. The address and contact particulars of these associated legal entities, partnerships or trusts need to be obtained but not verified.*An associated legal entity, partnership or trust holding 25% or more of the voting rights at a general meeting of the SA non listed company registered before/after the Companies Act came into effect or converted to align with the Companies Act needs to be identified and verified in accordance with the identification and verification requirements applicable to that associate. (FICA only the shareholder entity: registered name, number and address and trading name – individuals/natural persons within a shareholder do not need to be identified and verified in terms of FICA unless the shareholder is a Trust) The address and contact particulars of these associated legal entities, partnerships or trusts need to be obtained but not verified.Notes:All KYC verification documents to be supplied by client, needs to be originals or certified copies of the original. Please note the following guidelines:The document must be certified as a true copy of the original by a person with such authority to sight documents, e.g. a Commissioner of Oaths or Notary Public. The words ‘certified true copy of the original’ must be included. The certified copies of Identity documents / Passports must be a reasonably good copy, such as having complete details and a clear photograph.The FICA Checklist criteria has been verified and approved by Nedbank Capital Compliance to ensure that it is in compliance with the requirements of the FIC Act and Nedbank Group Manual for Anti Money Laundering and the Combating of the Financing of Terrorist and related activities. ................
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