Required Documents for Applicant

№

Name of the document

Form and method of provision

Form

Method

1

Applicant Application Form (CSD-AAF) approved by ITS CSD and disclosed on its website

the original

as an Electronic Document signed with a Digital Signature via EDMS

2

Application (File) of the Client-Legal Entity in the form approved by ITS CSD and disclosed on its website

Regardless of whether the Client is a Clearing Participant, this document shall be provided and completed by such Client

the original

as an Electronic Document signed with a Digital Signature via EDMS

3

"Know your customer" Questionnaire in the form approved by ITS CSD and disclosed on its website

the original

as an Electronic Document signed with a Digital Signature via EDMS

4

Registered founding documents of the Applicant with current changes and supplements.

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

5

Document confirming state registration of the Applicant: extract from the trade register of the country of registration of the Applicant or other document confirming legal status of the Applicant in accordance with legislation of the country of their registration.

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

6

Certificate of registration of the Applicant with a tax authority or other document issued by a tax authority in accordance with legislation of the country of registration of the Applicant.

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

7

Document evidencing the election or appointment of the Applicant's sole executive body

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

8

Order on the assumption of office by the sole executive body of the Applicant, indicating the date of commencement of office

This document is required only if the document on line 5 does not specify the term of office (i.e., does not indicate the expiry date of the sole executive body 's authority)

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

9

ID document of the person appointed as the sole executive body of the Applicant

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

10

Power of attorney for the person who signed any of the documents provided or requested (CSD-PoA) approved by ITS CSD and disclosed on its website

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

ID documents of the individual indicated in line 10 of this table

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

12

List of Authorized Signatories (CSD-LAS) approved by ITS CSD and disclosed on its website

The List shall be provided only in cases where the Power of Attorney indicated in line 10 of this table does not contain the signature of the principal.

the original

as an Electronic Document signed with a Digital Signature via EDMS

13

Consent to the personal data processing (CSD-CPDP) approved by ITS CSD and disclosed on its website

The original

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

14

The ownership structure of the Applicant, or extract(s) from the shareholder register of the Applicant and of its shareholders (if applicable).

The ownership structure of the Applicant shall be disclosed down to the individuals who ultimately, directly or indirectly (through third parties), hold an interest exceeding 25 per cent of the Applicant's capital or otherwise control the Applicant. The country of registration or incorporation (or citizenship, in the case of individuals) of foreign legal entities and individuals identified in the ownership structure shall be indicated.

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

15

License

(required only if the information on the issued license has not been published on the website of the official authority)

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

16

Management agreement with the manager in respect of a Fund (or an extract therefrom)

The manager of the Fund should provide documents as indicated in lines 4-14 of this table

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS

17

Standard bank account details (CSD-SBAD)

(if applicable)

the original

as an Electronic Document signed with a Digital Signature via EDMS

18

Wolfsberg Questionnaire (filled in by Applicants that are credit institutions)

the original

as an Electronic Document signed with a Digital Signature via EDMS

19

Documents for identifying the Beneficiaries and Intermediaries in the securities of foreign issuers (in accordance withthe provisions of the Regulations on Information Exchange and the QI/QDD Regulations) (Forms W-8BEN-E, W-8IMY, W-8EXP, W-8ECI)

the original

as an Electronic Document signed with a Digital Signature via EDMS

20

Application(s) (withholding statement(s) for tax withholding at payment of Income approved by ITS CSD and disclosed on its website

the original

as an Electronic Document signed with a Digital Signature via EDMS

21

Details about the Applicant's financial status:

- financial statements shall be provided in accordance with the International Financial Reporting Standards (IFRS). In cases where the Applicant is unable to provide financial statements in compliance with IFRS, such statements shall be accepted in accordance with the national accounting standards of the jurisdiction where the Applicant is registered;

- information on compliance with mandatory financial requirements and other norms and limits set by the competent regulatory authority of the financial market and by the state bodies of the jurisdiction where the Applicant is registered (if applicable)

A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.

This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.

as an Electronic Document signed with a Digital Signature via EDMS