KYC CHECKLIST FOR INDIVIDUAL CLIENTS/COMPANIES

The tables below set out the documentation that is required by us in order to begin to act for you. If you have any
concerns or difficulties providing the documents listed below, please contact us and we will work with you to
identify alternatives. These documents are required prior to us acting for you. We may also require updated
documentation during any ongoing relationship with you in order to ensure our files remain current.

Documents that are not in English must be accompanied by a certified translation.

TABLE A – Individuals
In addition to the attached profile form which must be completed in full by all individuals, the following should
be provided

Requirement Notes / Guidelines

1 Passport – copy of page showing holder’s Original to be presented at our offices or notarized or
photo and signature certified copy *

2 Second form of valid official identification Original to be presented at our offices or notarized or
document issued by a public authority, such certified copy *.
as a driving license or residency permit

3 Proof of address – such as a utility bill or To be dated within the last 3 months. Electronic copies are
bank account statement acceptable and do not need to be notarized or certified.

4 Reference letter from client’s bank Letter to confirm relationship and that client is operating a
bank account at that bank. See also point six.

5 Character reference letter This should be from a respected professional such as a

lawyer, accountant or bank manager. See also point six.

6 Information confirming source of funds
involved in the specific transaction
Confirmation from a third party as to the origin of the
money or assets that are being used for the specific
transaction or business activity.
This information may be included in one of the above
letters referenced in 4 or 5.

TABLE B - Companies

Requirement Notes / Guidelines

1 Certificate of Incorporation Original to be presented at our offices or notarized or

certified copy *

2 Memorandum and Articles of Association Original to be presented at our offices or notarized or

or Association of Incorporation certified copy *
 3 Register of Directors and Officers Provide KYC documentation as listed above for each
individual

4 Register of Members Provide KYC documentation as listed above for each

individual

5 Register of Shareholders Provide KYC documentation as listed above for each

individual

6 Register of Mortgages (if applicable)

7 Structure / organizational chart in case of Dated less than three months and signed by the entity’s
multiple layers Company Secretary or in line with the authorized signatory
list.

*Requirements for copies of identity documentation

When required, documents should be notarized by a Notary Public or certified by a Lawyer. The following
wording (or similar) should be used

• That the document concerned is a true copy of the original and [in the case of a passport or other photo ID,
that the photograph is a true likeness of the holder];
• Date of certification;
• The name, address and telephone number of the certifier; and
• Either the date of expiry of the certifier’s commission or that it is indefinite.