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Opening an Account
For Legal Entities
I. Identification and Client Information.
Company Name *
Registered Address *
Mailing Address *
Phone Number *
Fax Number
E-mail *
URL
Registration Details
Registration Number *
Country *
Date *
Registering Authority*
Georgian Tax ID (if available)
Broker-dealer Licenses, if any (FSA, NASD, FSA of Georgia, other)
License Number
Type and Class of License
Licensing Authority
As a prospective client of ours, you are: (check those which apply)
a fund a trust a corporate entity (if yes, please describe organizational form) a private enterprise a market counterparty an inter-dealer broker a trading member of a securities exchange, a member of a securities or investment industry SRO, a government agency or public authority other
What is your business activity? *
Do you, or any of your officers or principals, currently have any pending litigation in Georgia, or have you ever had litigation, disputed accounts, or unresolved matters with a Georgian or other broker, investment firm, custodian, stock exchange or investment advisor?
yes no
Please provide details *
Have you, or a firm in which you were a senior officer, ever been convicted of a crime?
yes no
Please describe briefly *
II. Authorizations
Authorized Supervisory Executive(s) of the Company:
Name*
Director Chairman President other
Name
Director Chairman President other
Acting as authorized by (please attach duly executed evidence of authorization): *
ATTACH
Persons authorized to give us trade/transfer orders on behalf of the Company:
Name *
Phone *
E-mail *
Name
Phone
E-mail
Primary Settlement/Back-Office Contact:
Name *
Phone *
E-mail *
Name
Phone
E-mail
III. Settlements and Account Information
Acting as authorized by (please attach duly executed evidence of authorization): *
ATTACH
IV. Required KYC Documentation for Legal Entities (applicable to each entity that we’ll establish account and/or trading relationship with)*
  • 1. Memorandum and Article of Association (in English and notarized)
  • 2. Certificate of Incorporation or extract from country of incorporation Trade Register or other equivalent document verifying of Client legal position and legal address (in English and notarized)
  • 3. Certificate of Directors (or other legal document indicating the names of each Director, notarized); documents confirming the Director’s appointment on this position and his/her power of signatures.
  • 4. Valid passport copy with photo for all directors (notarized or signed by owner)
  • 5. Power of Attorney and/or other documents (for example: Board of Directors’ decision) confirming the authority of Executive Officers and any other Client’s employee authorized to sign documents with Galt & Taggart
  • 6. Information from the bank on availability of current cash account
  • 7. Group Structure of the legal entity and information about shareholders who owns more than 20% (in case of individuals: name and last name; in case of legal entities: name of legal entity and its ID number)
*Documents should be duly notarized and apostilled. ** If client doesn’t have Georgian Taxpayer’s ID, Galt & Taggart is required by Georgian Law to withhold from the client capital gain and other applicable taxes upon completion of transaction

In case of changes in any of the above documents, it is the client’s responsibility to send us updated, notarized and apostilled documents.

In order to complete our due diligence and KYC procedures, in addition to this completed application form and documents required above, we may ask you to also provide:.
  • Information letter with a full description of your Group structure
  • Resolution appointing/electing the executive body of your company
  • Certificate of your company’s registered address
  • Certificate of shareholders
  • Bank Signature Card
  • Powers of Attorney authorizing your signatories
  • Copy of any license held by you
  • Financial statements – annual report and consolidated financial statements with auditors’ report (IAS or US GAAP, if available)
  • Balance sheets and income statements – for last three acc gaounting periods
Please note that in some cases, we may require legalized, apostilled and notarized documents.
SIGN AND SEND
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