KYC documents
Please be kindly advised that we will be requesting for additional documents that will be required for us to complete the onboarding process.
Certificate of Incorporation
Regulatory License
Memorandum and Articles of Association
Board resolution authorizing the opening, operating, and closing of an account with any counterparty and appointment of authorized signatories and their signature specimen.
a) Valid ID/Passport copies of Authorized Signatories
b) Address Proof of Authorized Signatories
Ownership and control structure / List of Beneficial Owners holding more than 10%
a) Valid ID/Passport copies of Beneficial Owners holding more than 10%
b) Address Proof of Beneficial Owners holding more than 10%
Board of Directors (Please update in account opening form)
a) Valid ID/Passport copies of Directors
Person(s) having Executive Authority (Please update in account opening form)
a) Valid ID/Passport copies of person(s) having Executive Authority
List of Authorized Traders
Latest Audited Financial Statements
Trade Confirmations Email Distribution List
Standard Settlement Instructions
Agreements & Forms
GTN Asia – Institutional Account Application Form & Annexure A
GTN Asia – Brokerage Services Agreement (For Institutional Clients)
CRS Entity Form
FATCA Form – W8BEN-E (If the client acting as prop only)
FATCA Form – W8IMY (If the client acting on behalf of end clients)
Wolfsberg Group Financial Crime Compliance Questionnaire (For Non Broker-Dealer only)
QI/ ADR Documents (If the client is trading Omnibus in US Markets for their underlying clients)
Wolfsberg Group Financial Crime Compliance Questionnaire (For Broker-Dealer Clients)
GTN Asia – Addendum To Brokerage Services Agreement (For Institutional Clients)
GTN Asia Brokerage Services Agreement (For GTN API Clients)
Notes
All the KYC documents must be certified as a true copy. Copy of the requested document must be supplied in the form of a ‘certified true and exact copy’ or substantially similar wording. Where photo identification is being certified, the certifier must also certify that it ‘bears a true likeness to the individual’. Document must be certified to be a true copy by a suitably qualified person (e.g., a notary public, a lawyer or certified public or professional accountant). The person certifying the copy document must sign, date and officially stamp all the documentation, detailing in what capacity they are acting, and provide their professional reference (e.g. CPA membership number).