KYC questionnaire for legal persons (financial advisory service)

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General information

Please note!

After filling in the know your client questionnaire, please send copies of the following documents to the e-mail address AS Redgate Capital advisory@redgategroup.eu:

a copy of a valid identity document of the client's representative(s) (passport, ID card or other identity document);
registry card and statement of beneficial owners (unless available from the public register free of charge);
in case the right of representation is granted on the basis of a power of attorney, a power of attorney must be submitted and the power of attorney must contain at least 1) the name of the document; 2) information on the issuer of the power of attorney; 3) information on the representative; 4) the date of issue of the power of attorney; 5) the period of validity; 6) the scope of the authorization; 7) the right of sub-authorization or the absence thereof. A power of attorney issued abroad must be notarized and, if necessary, apostilized;
in case the beneficial owner is not a resident of Estonia, a copy of a valid identity document of the respective beneficial owner;
in case the structure of the legal entity includes more than one level of ownership, then the ownership structure.

Name of the legal entity*

Registry code*

LEI code (if available)

Economic activity code (NACE)

LEI code (20-digit alphanumeric code) is a global legal entity identifier that is mandatory for legal entities participating in securities transactions or financial markets. For more information: https: //www.gleif. org.

EU VAT identification number

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Tax residency*

To select multiple countries on a Windows or Mac computer, hold down the Ctrl (Windows) or Cmd (Mac) button and click the names of the respective countries.

Tax residency*

Client has double tax residency (please specify)*

YES
NO

Client has double tax residency (please specify)

The client is a U.S. tax resident*

YES
NO

The client is a U.S. tax resident

Double tax residency*

Tax residency is in general determined, depending on jurisdiction, based on legal person’s 1) place of incorporation, 2) place of central management and control or 3) combination of both. Legal person is an Estonian tax resident if it is established pursuant to Estonian law. European public limited companies (SE) and European associations (SCE) whose registered office is registered in Estonia are also residents. A branch of a foreign company registered in the Business Register is a non-resident in Estonia.

Legal address

Street, house*

County, city*

Country*

Postal code*

Contact address is the same as legal address

YES
NO

Contact address is the same as legal address

Contact address

Street, house (contact address)*

County, city (contact address)*

Country (contact address)*

Postal code (contact address)*

Information about representative authorized to sign

First name(s)*

Surname*

Personal identification code or date of birth*

Role of the representative*

Preferred language*

A representative is a person who has the legal right to represent the company and power to sign documents for the company, in particular a member of the management board. Upon the authorization of a member of the management board, a procurator, an authorized representative, an attorney-at-law etc. may also represent the company.

The representative is or has been a politically exposed person (PEP) within the last 12 months*

YES
NO

The representative is or has been a politically exposed person (PEP) within the last 12 months

Additional information on PEP

Country of residence of the PEP*

Institution where PEP is in the office*

Position of PEP*

Other position*

The representative is or has been family member or close associate of PEP within the last 12 months*

YES
NO

The representative is or has been family member or close associate of PEP within the last 12 months

Additional information about a family member or close associate of PEP

First name of a PEP related to the representative*

Surname of PEP related to the representative*

Personal identification code or date of birth of PEP*

Country of residence of the PEP*

Institution where PEP is in the office*

Position of PEP*

Other position*

Representative's relationship with the PEP*

Add Representative #2

ADD REPRESENTATIVE

Information about additional representative authorized to sign

First name(s)*

Surname*

Personal identification code or date of birth

Role of the representative*

Preferred language*

The representative is or has been a politically exposed person (PEP) within the last 12 months*

YES
NO

The representative is or has been a politically exposed person (PEP) within the last 12 months

Additional information on PEP

Country of residence of the PEP*

Institution where PEP is in the office*

Position of PEP*

Other position*

The representative is or has been family member or close associate of PEP within the last 12 months*

YES
NO

The representative is or has been family member or close associate of PEP within the last 12 months

Additional information about a family member or close associate of PEP

First name of a PEP related to the representative*

Surname of PEP related to the representative*

Personal identification code or date of birth of PEP*

Country of residence of the PEP*

Institution where PEP is in the office*

Position of PEP*

Other position*

Representative's relationship with the PEP*

A politically exposed person (PEP) is a natural person who performs or has performed prominent public functions within last 12 months. At least the following persons are deemed to perform prominent public functions:

head of State or head of government;
minister, deputy minister or assistant minister;
member of a legislative body;
member of a governing body of a political party;
judge of the highest court of a country;
auditor general or a member of the supervisory board or executive board of a central bank;
the Chancellor of Justice;
ambassador, envoy or chargé d’affaires;
high-ranking officer in the armed forces;
member of an administrative, management or supervisory body of a state-owned enterprise;
director, deputy director and member of a management body of an international organisation.

A person who, as per list published by the European Commission, is considered a performer of prominent public functions by a Member State of the European Union, the European Commission or an international organisation accredited on the territory of the European Union is deemed a politically exposed person.

Middle-ranking or junior officials are not considered as politically exposed persons.

Family member of a politically exposed person means their:

spouse or a person considered to be equivalent to a spouse (partner etc.);
parent;
child;
child’s spouse or a person considered to be equivalent to a spouse.

Person known to be close associates of a politically exposed person means a natural person who is:

known to have joint beneficial ownership of a legal person or trust with a politically exposed person;
known to have close business relations with a politically exposed person;
the beneficial owner of a legal person or trust set up in the interests of a politically exposed person.

Information about other contact person

First name(s)

Surname

Personal identification code or date of birth

Role of the person

Preferred language

Contacts and website

Phone (incl. country code)*

E-mail*

Website

Owners or beneficial owners of a legal person

Is the legal entity:

a legal person governed by public law established in Estonia (e.g. the State, the municipality or any other legal person founded in the public interest under the law concerning the legal person in question, e.g. Estonian Health Insurance Fund, Estonian Public Broadcasting, National Library of Estonia);
a company listed on a regulated market, which is subject to disclosure obligations that establish requirements for ensuring sufficient transparency regarding the beneficial owner;
a foundation provided for in the Foundations Act the purpose of whose economic activities is the keeping or accumulating of the property of the beneficiaries or the circle of beneficiaries specified in the articles of association and who has no other economic activities;
an apartment association provided for in the Apartment Ownership and Apartment Associations Act;
a building association provided for in the Building Association Act.

Does the legal person not have to provide the details of the beneficial owners?*

YES
NO

First name(s)*

Surname*

Personal identity code or date of birth*

Direct or indirect ownership share (%)*

Tax residency*

The beneficial owner is a U.S. tax resident*

YES
NO

The beneficial owner IS a U.S. tax resident

Beneficial owner #1 is PEP*

YES
NO

The beneficial owner is or has been a politically exposed person (PEP) within the last 12 months

Additional information on PEP

Country of residence of PEP

Institution where PEP is in the office*

Position of PEP*

Other position*

The beneficial owner is or has been family member or close associate of PEP within the last 12 months*

YES
NO

The beneficial owner is or has been family member or close associate of PEP within the last 12 months

Additional information about a family member or close associate of PEP

First name(s) of a PEP*

Surname of a PEP*

Personal identification code or date of birth of PEP*

Country of residence of PEP*

Institution where PEP is in the office*

Position of PEP*

Other position*

Relationship with the PEP*

Beneficial owner #2

ADD BENEFICIAL OWNER

First name(s)*

Surname*

Personal identity code or date of birth*

Direct or indirect ownership share (%)*

Tax residency*

The beneficial owner is a U.S. tax resident*

YES
NO

The beneficial owner IS a U.S. tax resident

Beneficial owner #2 is PEP?*

YES
NO

The beneficial owner is or has been a politically exposed person (PEP) within the last 12 months

Additional information on PEP

Country of residence of PEP

Institution where PEP is in the office*

Position of PEP*

Other position*

The beneficial owner is or has been family member or close associate of PEP within the last 12 months*

YES
NO

The beneficial owner is or has been family member or close associate of PEP within the last 12 months

Additional information about a family member or close associate of PEP

First name(s) of a PEP*

Surname of a PEP*

Personal identity code or date of birth*

Country of residence of PEP*

Institution where PEP is in the office*

Position of PEP*

Other position*

Relationship with the PEP*

Beneficial owner #3

ADD BENEFICIAL OWNER

First name(s)*

Surname*

Personal identity code or date of birth*

Direct or indirect ownership share (%)*

Tax residency*

The beneficial owner is a U.S. tax resident*

YES
NO

The beneficial owner IS a U.S. tax resident

Beneficial owner #3 is PEP?*

YES
NO

The beneficial owner is or has been a politically exposed person (PEP) within the last 12 months

Additional information on PEP

Country of residence of PEP

Institution where PEP is in the office*

Position of PEP*

Other position*

The beneficial owner is or has been family member or close associate of PEP within the last 12 months*

YES
NO

The beneficial owner is or has been family member or close associate of PEP within the last 12 months

Additional information about a family member or close associate of PEP

First name(s) of a PEP*

Surname of a PEP*

Personal identity code or date of birth*

Country of residence of PEP*

Institution where PEP is in the office*

Position of PEP*

Other position*

Relationship with the PEP*

Beneficial owner #4

ADD BENEFICIAL OWNER

First name(s)*

Surname*

Personal identity code or date of birth*

Direct or indirect ownership share (%)*

Tax residency*

The beneficial owner is a U.S. tax resident*

YES
NO

The beneficial owner IS a U.S. tax resident

Beneficial owner #4 is PEP*

YES
NO

The beneficial owner is or has been a politically exposed person (PEP) within the last 12 months

Additional information on PEP

Country of residence of PEP

Institution where PEP is in the office*

Position of PEP*

Other position*

The beneficial owner is or has been family member or close associate of PEP within the last 12 months*

YES
NO

The beneficial owner is or has been family member or close associate of PEP within the last 12 months

Additional information about a family member or close associate of PEP

First name(s) of a PEP*

Surname of a PEP*

Personal identification code or date of birth of PEP*

Country of residence of PEP*

Institution where PEP is in the office*

Position of PEP*

Other position*

Relationship with the PEP*

Beneficial owner means a natural person:

who, via ownership or other type of control, has the final dominant influence over a natural or legal person, or
in whose interests, for the benefit of whom or in whose name a transaction or operation is made or
whose direct and indirect shareholdings in the company exceeds 25 per cent, including shareholdings in the form of bearer shares or otherwise or
Where, after all possible means of identification have been exhausted, the natural person who holds the position of a senior managing official or when several persons meet the terms, including where there are several senior managing officials, several senior management bodies or where another legal persons holds shares in a company via one or several persons or chains of persons, the person(s) who exercise(s) actual control over the company and make(s) strategic decisions in the company or, upon absence of such persons, perform(s) day-to-day and regular management is (are) considered the beneficial owner(s) or
where the beneficial owner of a company is a trustee, all of the following persons are considered beneficial owners:
- the settlor of the trust or the establisher of the arrangement;
- the trustee;
- the person ensuring and controlling the preservation of property, where such person has been appointed;
- the beneficiary, or where the beneficiary or beneficiaries are yet to be determined, the class of persons in whose main interest such triste or arrangement has been set up or operates;
- any other person who in any way exercises ultimate control over the property of the trust or arrangement.

Direct shareholding means that a natural person personally holds shares in a company.

Indirect shareholding means that a natural person holds shares in a company via one or multiple persons or a chain of persons.

The details of the beneficial owner do not have to be provided! Please note! The exemption does not apply to subsidiaries of companies listed on a regulated market!

Assessment of activity risks

Please indicate which of the following statements apply to the legal entity you represent. A legal entity is:

Low risk indicators

a company listed on a regulated market, which is subject to disclosure obligations that establish requirements for ensuring sufficient transparency regarding the beneficial owner;
a legal person governed by public law established in Estonia (e.g. the State, the municipality or any other legal person founded in the public interest under the law concerning the legal person in question, e.g. Estonian Health Insurance Fund, Estonian Public Broadcasting, National Library of Estonia);
a governmental authority or another authority performing public functions in Estonia or a contracting state of the European Economic Area (e.g. ministries, supervisory authorities);
an institution of the European Union (e.g. the European Council, the European Commission);
a credit institution or financial institution acting on its own behalf

Credit institution means:

a foreign exchange service provider;
a payment service provider within the meaning of the Payment Institutions and E-money Institutions Act of Estonia, except for a payment initiation service provider and an account information service provider;
an e-money institution within the meaning of the Payment Institutions and E-money Institutions Act of Estonia;
an insurance undertaking within the meaning of the Insurance Activities Act of Estonia (hereinafter insurance undertaking) to the extent that it provides services related to life insurance, except for services related to mandatory funded pension insurance contracts within the meaning of the Funded Pensions Act of Estonia;
an insurance broker within the meaning of the Insurance Activities Act of Estonia (hereinafter insurance broker) to the extent that it is engaged in marketing life insurance or provides other instrument-related services;
a (fund) management company, except upon managing a mandatory pension fund within the meaning of the Funded Pensions Act of Estonia, and an investment fund founded as a public limited company within the meaning of the Investment Funds Act of Estonia;
an investment firm within the meaning of the Securities Market Act of Estonia;
a creditor and a credit intermediary within the meaning of the Creditors and Credit Intermediaries Act of Estonia;
a savings and loan association within the meaning of the Savings and Loan Associations Act of Estonia;
a central contact point designated by an e-money institution or a payment service provider;
other financial institution within the meaning of the Credit Institutions Act of Estonia:
the branch of a foreign service provider registered in the Estonian commercial register, which is a person specified above.

Is the client a legal person or a legal arrangement, which is engaged in holding personal assets?*

YES
NO

Is the client a legal person or a legal arrangement, which is engaged in holding personal assets?

Does cash turnover account more than 30 percent of the turnover of a legal person*

YES
NO

Does cash turnover account more than 30 percent of the turnover of a legal person

Is the client a company that has nominee shareholders or bearer shares or a company whose affiliate has nominee shareholders or bearer shares?*

YES
NO

Is the client a company that has nominee shareholders or bearer shares or a company whose affiliate has nominee shareholders or bearer shares?

Kas juriidilise isiku esindaja, omanik, või tegelik kasusaaja on seltsingu, ühisuse või muu juriidilise isiku staatust mitteomava isikute ühenduse esindaja või usaldushaldur või usaldusisik*

YES
NO

Is the legal persons representative, owner or beneficial owner representative or trustee of a civil law partnership, community or another legal arrangement?

Analysis of the substance of the transaction

Purpose of the transaction*

Information on the origin of the funds used in the transaction or business relationship

Amount*

Country*

Source of funds*

Other source of funds*

Tehingu vara

ADD NEW ROW

Amount*

Country*

Source of funds*

Other source of funds*

Tehingu vara

ADD NEW ROW

Amount*

Country*

Source of funds*

Other source of funds*

Tehingu vara

ADD NEW ROW

Amount*

Country*

Source of funds*

Other source of funds*

Banks and other payment service providers used in a transaction or business relationship.

Payment service provider*

Other payment service provider*

Country of residence of payment service provider*

BIC/SWIFT*

Makseteenuse osutaja 2

ADD NEW ROW

Payment service provider*

Other payment service provider*

Country of residence of payment service provider*

BIC/SWIFT*

Makseteenuse osutaja 3

ADD NEW ROW

Payment service provider*

Other payment service provider*

Country of residence of payment service provider*

BIC/SWIFT*

Makseteenuse osutaja 4

ADD NEW ROW

Payment service provider*

Other payment service provider*

Country of residence of payment service provider*

BIC/SWIFT*

Makseteenuse osutaja 5

ADD NEW ROW

Payment service provider*

Other payment service provider*

Country of residence of payment service provider*

BIC/SWIFT*

Client’s confirmations

The information provided in the questionnaire enables AS Redgate Capital to assess in advance the potential money laundering and terrorist financing risks.

I understand and agree that:

Submitting incorrect, inaccurate, or incomplete information may result in additional risk mitigation measures, refusal to provide service and potential legal liability;
The information provided in or in connection with the questionnaire will be used and processed by AS Redgate Capital in accordance with legislation and Terms and conditions of processing personal data;
The client undertakes to inform AS Redgate Capital immediately about the changes in the submitted data;
The provision of the service includes the processing of personal data by AS Redgate Capital and the authorized processors of personal data involved in the provision of services

Additional information on the processing of personal data submitted by the Client and assistance in exercising your rights can be requested from the Data Protection Officer of AS Redgate Capital from the e-mail address: privacy@redgategroup.eu

Consent*

I declare that the information provided by me in the questionnaire is true, accurate and complete and I also confirm that I have read and agree to the above information.*

Consent 2*

I have read the Terms and conditions of processing personal data and I grant Redgate Capital AS the right to process and store the submitted data.*

Estonia
Latvia
Lithuania
Finland
Sweden
Austria
Belgium
Bulgaria
Croatia
Czech Republic
Cyprus
Denmark
France
Germany
Greece
Hungary
Ireland
Italy
Luxembourg
Malta
Netherlands
Poland
Portugal
Romania
Slovakia
Slovenia
Spain
United Kingdom
Afghanistan
Albania
Algeria
American Samoa
Andorra
Angola
Anguilla
Antarctica
Antigua and Barbuda
Argentina
Armenia
Aruba
Australia
Austria
Azerbaijan
Bahamas
Bahrain
Bangladesh
Barbados
Belarus
Belize
Benin
Bermuda
Bhutan
Bolivia
Bonaire, Sint Eustatius and Saba
Bosnia and Herzegovina
Botswana
Bouvet Island
Brazil
British Indian Ocean Territory
Brunei Darussalam
Burkina Faso
Burundi
Cambodia
Cameroon
Canada
Cape Verde
Cayman Islands
Central African Republic
Chad
Chile
China
Christmas Island
Cocos Islands
Colombia
Comoros
Congo, Democratic Republic of the
Congo, Republic of the
Cook Islands
Costa Rica
Croatia
Cuba
Curaçao
Côte d'Ivoire
Denmark
Djibouti
Dominica
Dominican Republic
Ecuador
Egypt
El Salvador
Equatorial Guinea
Eritrea
Eswatini (Swaziland)
Ethiopia
Falkland Islands
Faroe Islands
Fiji
French Guiana
French Polynesia
French Southern Territories
Gabon
Gambia
Georgia
Ghana
Gibraltar
Greenland
Grenada
Guadeloupe
Guam
Guatemala
Guernsey
Guinea
Guinea-Bissau
Guyana
Haiti
Heard and McDonald Islands
Holy See
Honduras
Hong Kong
Hungary
Iceland
India
Indonesia
Iran
Iraq
Ireland
Isle of Man
Israel
Jamaica
Japan
Jersey
Jordan
Kazakhstan
Kenya
Kiribati
Kuwait
Kyrgyzstan
Lao People's Democratic Republic
Lebanon
Lesotho
Liberia
Libya
Liechtenstein
Luxembourg
Macau
Macedonia
Madagascar
Malawi
Malaysia
Maldives
Mali
Malta
Marshall Islands
Martinique
Mauritania
Mauritius
Mayotte
Mexico
Micronesia
Moldova
Monaco
Mongolia
Montenegro
Montserrat
Morocco
Mozambique
Myanmar
Namibia
Nauru
Nepal
New Caledonia
New Zealand
Nicaragua
Niger
Nigeria
Niue
Norfolk Island
North Korea
Northern Mariana Islands
Oman
Pakistan
Palau
Palestine, State of
Panama
Papua New Guinea
Paraguay
Peru
Philippines
Pitcairn
Puerto Rico
Qatar
Russia
Rwanda
Réunion
Saint Barthélemy
Saint Helena
Saint Kitts and Nevis
Saint Lucia
Saint Martin
Saint Pierre and Miquelon
Saint Vincent and the Grenadines
Samoa
San Marino
Sao Tome and Principe
Saudi Arabia
Senegal
Serbia
Seychelles
Sierra Leone
Singapore
Sint Maarten
Slovakia
Slovenia
Solomon Islands
Somalia
South Africa
South Georgia
South Korea
South Sudan
Spain
Sri Lanka
Sudan
Suriname
Svalbard and Jan Mayen Islands
Sweden
Syria
Taiwan
Tajikistan
Tanzania
Thailand
Timor-Leste
Togo
Tokelau
Tonga
Trinidad and Tobago
Tunisia
Turkey
Turkmenistan
Turks and Caicos Islands
Tuvalu
US Minor Outlying Islands
Uganda
Ukraine
United Arab Emirates
United States
Uruguay
Uzbekistan
Vanuatu
Venezuela
Vietnam
Virgin Islands, British
Virgin Islands, U.S.
Wallis and Futuna
Western Sahara
Yemen
Zambia
Zimbabwe
Åland Islands

Know your client questionnaire

General information

Legal address

Contact address

Information about representative authorized to sign

Additional information on PEP

Additional information about a family member or close associate of PEP

Information about additional representative authorized to sign

Additional information on PEP

Additional information about a family member or close associate of PEP

Information about other contact person

Contacts and website

Owners or beneficial owners of a legal person

Additional information on PEP

Additional information about a family member or close associate of PEP

Additional information on PEP

Additional information about a family member or close associate of PEP

Additional information on PEP

Additional information about a family member or close associate of PEP

Additional information on PEP

Additional information about a family member or close associate of PEP

Assessment of activity risks

Analysis of the substance of the transaction

Information on the origin of the funds used in the transaction or business relationship

Banks and other payment service providers used in a transaction or business relationship.

Client’s confirmations