Career  |   Branch  |   CMB Sites
U.S.A. Patriot Certification
 

[OMB Control Number 1505-0184]

 

The information contained in this Certification is sought pursuant to Sections 5318(j) and 5318(k) of Title 31 of the United States Code, as added by sections 313 and 319(b) of the USA PATRIOT Act of 2001 (Public Law 107-56).

 

This Certification should be completed by any foreign bank that maintains a correspondent account with any U.S. bank or U.S. broker-dealer in securities (a covered financial institution as defined in 31 C.F.R. 103.175(f)). An entity that is not a foreign bank is not required to complete this Certification.

 

A foreign bank is a bank organized under foreign law and located outside of the United States (see definition at 31 C.F.R. 103.11(o)). A bank includes offices, branches, and agencies of commercial banks or trust companies, private banks, national banks, thrift institutions, credit unions, and other organizations chartered under banking laws and supervised by banking supervisors of any state (see definition at 31 C.F.R. 103.11(c)).*

 

A Correspondent Account for a foreign bank is any account to receive deposits from, make payments or other disbursements on behalf of a foreign bank, or handle other financial transactions related to the foreign bank.

 

Special instruction for foreign branches of U.S. banks: A branch or office of a U.S. bank outside the United States is a foreign bank. Such a branch or office is not required to complete this Certification with respect to Correspondent Accounts with U.S. branches and offices of the same U.S. bank.

 

Special instruction for covering multiple branches on a single Certification: A foreign bank may complete one Certification for its branches and offices outside the United States. The Certification must list all of the branches and offices that are covered and must include the information required in Part C for each branch or office that maintains a Correspondent Account with a Covered Financial Institution. Use attachment sheets as necessary.

 

A.  The undersigned financial institution, China Merchants Bank Co., Ltd. (“Foreign Bank”) hereby certifies as follows:

 

_________________________

* A “foreign bank” does not include any foreign central bank or monetary authority that functions as a central bank, or any international financial institution or regional development bank formed by treaty or international agreement.

 

B.   Correspondent Accounts Covered by this Certification: Check one box.

Ö  This Certification applies to all accounts established for Foreign Bank by Covered Financial Institutions.

•    This Certification applies to Correspondent Accounts established by ___________________________ (name of Covered Financial Institution(s)) for Foreign Bank.

 

C.     Physical Presence/Regulated Affiliate Status: Check one box and complete the blanks.

Ö   Foreign Bank maintains a physical presence in any country. That means:

 

·         Foreign Bank has a place of business at the following street address:

China Merchants Bank Tower, No. 7088 Shennan Boulevard, Futian District, Guangdong, Shenzhen 518040, where Foreign Bank employs one or more individuals on a full-time basis and  maintains operating records related to its banking activities.

·        The above address is in the People’s Republic of China (insert country), where Foreign Bank is authorized to conduct banking activities.

·        Foreign Bank is subject to inspection by the China Banking Regulatory Commission (“CBRC”), (insert Banking Authority), the banking authority that licensed Foreign Bank to conduct banking activities.

•   Foreign Bank does not have a physical presence in any country, but Foreign Bank is a regulated affiliate. That means:

·         Foreign Bank is an affiliate of a depository institution, credit union, or a foreign bank that maintains a physical presence at the following street address:

__________________________________, where it employs one or more persons on a full-time basis and maintains operating records related to its banking activities.

·         The above address is in ______________________________ (insert country), where the depository institution, credit union, or foreign bank is authorized to conduct banking activities.

·         Foreign Bank is subject to supervision by ____________________, (insert Banking Authority), the same banking authority that regulates the depository institution, credit union, or foreign bank.

•       Foreign Bank does not have a physical presence in a country and is not a regulated affiliate.

D.      Indirect Use of Correspondent Accounts: Check box to certify.

Ö   No Correspondent Account maintained by a Covered Financial Institution may be used to indirectly provide banking services to certain foreign banks. Foreign Bank hereby certifies that it does not use any Correspondent Account with a Covered Financial Institution to indirectly provide banking services to any foreign bank that does not maintain a physical presence in any country and that is not a regulated affiliate.

E.         Ownership Information: Check box 1 or 2 below, if applicable.

Ö       1.  Form FR Y-7 is on file. Foreign Bank has filed with the Federal Reserve Board a current Form FR Y-7 and has disclosed its ownership information on Item 4 of Form FR Y-7.

Ö    2.  Foreign Bank’s shares are publicly traded. Publicly traded means that the shares are traded on an exchange or an organized over-the-counter market that is regulated by a foreign securities authority as defined in section 3(a)(50) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(50)).

If neither box 1 or 2 of Part E is checked, complete item 3 below, if applicable.

•         3. Foreign n Bank has no owner(s) except as set forth below. For purposes of this Certification,  owner means any person who, directly or indirectly, (a) owns, controls, or has power to vote 25 percent or more of any class of voting securities or other voting interests of Foreign Bank; or (b) controls in any manner the election of a majority of the directors (or individuals exercising similar functions) of Foreign Bank. For purposes of this Certification, (i) person means any individual, bank, corporation, partnership, limited liability company or any other legal entity; (ii) voting securities or other voting interests means securities or other interests that entitle the holder to vote for or select directors (or individuals exercising similar functions); and (iii) members of the same family* shall be considered one person.

•          

Name

Address

 

 

 

 

 

 

 

 

F.      Process Agent: complete the following.

The following individual or entity: China Merchants Bank Co., Ltd., New York Branch is a resident of the United States at the following street address:

535 Madison Avenue, 18th Floor, New York, New York 10022 U.S.A., and is authorized to accept service of legal process on behalf of Foreign Bank from the

 

__________________________

* The same family means parents, spouses, children, siblings, uncles, aunts, grandparents, grandchildren, first cousins, stepchildren, stepsiblings, parents-in-law and spouses of any of the foregoing. In determining the ownership interests of the same family, any voting interest of any family member shall be taken into account.

Secretary of the Treasury or the Attorney General of the United States pursuant to Section 5318(k) of title 31, United States Code.

G.      General

Foreign Bank hereby agrees to notify in writing each Covered Financial Institution at which it maintains any Correspondent Account of any change in facts or circumstances reported in this Certification. Notification shall be given within 30 calendar days of such change.

Foreign Bank understands that each Covered Financial Institution at which it maintains a Correspondent Account may provide a copy of this Certification to the Secretary of the Treasury and the Attorney General of the United States. Foreign Bank further understands that the statements contained in this Certification may be transmitted to one or more departments or agencies of the United States of America for the purpose of fulfilling such departments’ and agencies’ governmental functions.

I,  Jinqing Xia (name of signatory), certify that I have read and understand this Certification, that the statements made in this Certification are complete and correct, and that I am authorized to execute this Certification on behalf of Foreign Bank.

China Merchants Bank Co., Ltd.

[Name of Foreign Bank}


_____________________________

[Signature]

Jinqing Xia__________________

[Printed Name]

[Title]

General Manager, Financial Institutions Department

Executed on this 22th day of January , 2016.

 

Name:  ________________________________

 

Title:   _______________________________

For:    _______________________________

[Name of Covered Financial Institution]

 

Date: _______________________

Branch Certifications (1)

To include Branch Certifications with the certification of the parent, please include the following information for each Branch. Indicate either that the Branch maintains a Physical Presence, the country indicated, OR that the Branch is a regulated affiliate, OR neither.

 

Name of Branch

China Merchants Bank, Shenzhen Branch

Street Address (Not a Postal Box)

2 Shennan Road Central

Shenzhen, 518001

Country

CHINA

Banking Authority with Jurisdiction

CBRC Shenzhen Office

Shenzhen Central Sub-branch,

Guangzhou Branch, PBoC

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Hong Kong Branch

Street Address (Not a Postal Box)

21/F, Bank of America Tower

12 Harcourt Road

Central Hong Kong

Country

HONG KONG, PEOPLE’S REPUBLIC OF CHINA (“PRC”)

Banking Authority with Jurisdiction

Hong Kong Monetary Authority

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Shanghai Branch

Street Address (Not a Postal Box)

161 Lujiazui Road East

Pudong, Shanghai 200120

Country

CHINA

Banking Authority with Jurisdiction

CBRC Shanghai Office

PBoC Shanghai Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Wuhan Branch

Street Address (Not a Postal Box)

518 Jianshe Avenue

Hankou, Wuhan 430022

Country

CHINA

Banking Authority with Jurisdiction

CBRC Hubei Office

PBoC Wuhan Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Branch Certifications (2)

Name of Branch

China Merchants Bank, Beijing Branch

Street Address (Not a Postal Box)

156 Fuxingmen Nei Dajie

Beijing 100031

Country

CHINA

Banking Authority with Jurisdiction

CBRC Beijing Office

Business Management Department of the

People’s Bank of China

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Shenyang Branch

Street Address (Not a Postal Box)

12 Shiyiwei Road

Heping District, Shenyang 110003

Country

CHINA

Banking Authority with Jurisdiction

CBRC Liaoning Office

PBoC Shenyang Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Guangzhou Branch

Street Address (Not a Postal Box)

138, Tiyu Road East,

Tianhe District, Guangzhou 510620

Country

CHINA

Banking Authority with Jurisdiction

CBRC Guangdong Office

PBoC Guangzhou Office

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Chengdu Branch

Street Address (Not a Postal Box)

248, Shuncheng Street

Qingyang District, Chengdu 610016

Country

CHINA

Banking Authority with Jurisdiction

CBRC Sichuan Office

PBoC Chengdu Office

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Branch Certifications (3)

Name of Branch

China Merchants Bank, Lanzhou Branch

Street Address (Not a Postal Box)

9 Qingyang Road

Chengguan District, Lanzhou 730030

Country

CHINA

Banking Authority with Jurisdiction

CBRC Gansu Office

Lanzhou Central Sub-branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Xian Branch

Street Address (Not a Postal Box)

107 Heping Road

Xian 710001

Country

CHINA

Banking Authority with Jurisdiction

CBRC Shanxi(陕西)Office

PBoC Xian Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Nanjing Branch

Street Address (Not a Postal Box)

1 Hanzhong Road

Nanjing 210005

Country

CHINA

Banking Authority with Jurisdiction

CBRC Jiangsu Office

PBOC Nanjing Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Wuxi Branch

Street Address (Not a Postal Box)

128 Renmin Road Central

Wuxi 214002

Country

CHINA

Banking Authority with Jurisdiction

CBRC Wuxi Office

Wuxi Central Sub-branch, Nanjing Branch, PBoC

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

Branch Certifications (4)

Name of Branch

China Merchants Bank, Changzhou Branch

Street Address (Not a Postal Box)

125 Heping Road South

Changzhou 213003

Country

CHINA

Banking Authority with Jurisdiction

CBRC Changzhou Office

Changzhou Central Sub-branch, Nanjing Branch, PBoC

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Yangzhou Branch

Street Address (Not a Postal Box)

12 Wenchang Road West

Yangzhou 225009

Country

CHINA

Banking Authority with Jurisdiction

CBRC Yangzhou Office

Yangzhou Central Sub-branch, Nanjing Branch, PBoC

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Suzhou Branch

Street Address (Not a Postal Box)

128 Sanxiang Road

Suzhou 215004

Country

CHINA

Banking Authority with Jurisdiction

CBRC Suzhou Office

Suzhou Central Sub-branch

Nanjing Branch, PBoC

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Nantong Branch

Street Address (Not a Postal Box)

Huachen Building, No. 111 Gongnong Road

Nantong 226001

Country

CHINA

Banking Authority with Jurisdiction

CBRC Nantong Office

Nantong Central Sub-branch, Nanjing Branch, PBoC

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Branch Certifications (5)

Name of Branch

China Merchants Bank, Chongqing Branch

Street Address (Not a Postal Box)

2 Linjiangzhi Road,

Yuzhong District, Chongqing 400010

Country

CHINA

Banking Authority with Jurisdiction

CBRC Chongqing Office

Chongqing Business

Management Department of the People’s Bank of China

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Dalian Branch

Street Address (Not a Postal Box)

17 Renmin Road

Zhongshan District, Dalian 116001

Country

CHINA

Banking Authority with Jurisdiction

CBRC Dalian Office

Dalian Central Sub-branch

Shenyang Branch, PBoC

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Hangzhou Branch

Street Address (Not a Postal Box)

23 Hangda Road

Hangzhou 310007

Country

CHINA

Banking Authority with Jurisdiction

CBRC Zhejiang Office

Hangzhou Central Sub-branch, PBoC Shanghai Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Ningbo Branch

Street Address (Not a Postal Box)

938 Baizhang Road East

Ningbo 315041

Country

CHINA

Banking Authority with Jurisdiction

CBRC Ningbo Office

Ningbo Central Sub-branch of

PBoC Shanghai Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

 

Branch Certifications (6)

Name of Branch

China Merchants Bank, Wenzhou Branch

Street Address (Not a Postal Box)

Jinglong Building

Chezhan Avenue, Wenzhou 325000

Country

CHINA

Banking Authority with Jurisdiction

CBRC Wenzhou Office

Hangzhou Central Sub-branch, PBoC Shanghai Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Shaoxing Branch

Street Address (Not a Postal Box)

Jindun Building, 60 Shengli Road East

Shaoxing 312000

Country

CHINA

Banking Authority with Jurisdiction

CBRC Shaoxing Office

Hangzhou Central Sub-branch, PBoC Shanghai Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Jinhua Branch

Street Address (Not a Postal Box)

45 Shuangxi Road West

Jinhua 321017

Country

CHINA

Banking Authority with Jurisdiction

CBRC Jinhua Branch

 Hangzhou Central Sub-branch, PBoC Shanghai Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Taizhou Branch

Street Address (Not a Postal Box)

535 Shifu Road

Taizhou 318000

Country

CHINA

Banking Authority with Jurisdiction

CBRC Taizhou Branch

Hangzhou Central Sub-branch, PBoC Shanghai Branch

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Branch Certifications (7)

Name of Branch

China Merchants Bank, Nanchang Branch

Street Address (Not a Postal Box)

162 Bayi Avenue

Nanchang 330003

Country

CHINA

Banking Authority with Jurisdiction

CBRC Nanchang Office

Nanchang Central Sub-branch, PBoC

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither    

 

Name of Branch

China Merchants Bank, Changsha Branch

Street Address (Not a Postal Box)

24 Cai’e Road Central

Furong District, Changsha 410005

Country

CHINA

Banking Authority with Jurisdiction

CBRC Hunan Office

Changsha Central Sub-branch, PBoC

Check one box only (see instructions above)

X Physical Presence               Regulated Affiliate                       Neither