SET FINAL


                         ON COMPANY/INVESTOR’S LETTERHEAD

Date: xxxxxx

To: The Program Manager

From:  (NAME) Owner of Funds/Authorized Signatory                               

Re: Private Placement

Transaction code: (Please create and insert a code)

Sir.

I am sending this submission package to you as I would like to engage in a private transaction for the following as described below. I understand that I must submit a complete package before my request will be processed.  I agree to follow the procedures that are outlined below and understand that changes to the procedures and the documents attached herein are not allowed and will result to an immediate disqualification.  This submission package includes the following attachments and all of it is complete.

  • Letter of Intent (LOI)
  • Client Information Sheet
  • Passport copy in color   
  • Attestation, NC/ND, Non Solicitation, Signatory Control
  • Proof of Funds
  • History of Funds  
  • Exclusive Right to Contract   
  • Corporate Resolution (If necessary)
  • Authorization to Verify and Authenticate Funds

 

I will provide any additional information if requested. 

I am submitting this Submission Package under penalty of perjury and agree that I have submitted this package under my own Free Will and without any Solicitation of any kind. 

Thank you,

 

____________________
(Wet Signature)

NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

 

 

ON COMPANY/INVESTOR’S LETTERHEAD

LETTER OF INTENT

Date: xxxxxx

To: The Program Manager

From:  (NAME) Owner of Funds/Authorized Signatory

RE: PRIVATE PLACEMENT – LETTER OF INTENT

Transaction code: (Please create and insert a code)

With Full Authority and responsibility, we are submitting this Letter Of our Intent to enter into an Agreement with a Transaction Manager to generate moderate to higher returns, Utilizing Private Banking.
We understand that only upon an invitation and approval will additional information and related agreements be forwarded.  A copy of our most recent tear sheet/bank statement from the (BANK NAME) confirming availability of funds is enclosed herewith.  These funds are of good, clean, non-criminal origin, free of liens, encumbrances and available immediately for transfer, if necessary. 
It is understood and agreed this letter is non-binding and that participation is by "Invitation Only". We also affirm that this Letter of Intent is not the result of any Solicitation of any form from your behalf and we solemnly and sincerely swear that we will maintain the Confidentiality of all matters pertaining to all information disclosed to Principals, Partners, and Clients that I may become aware of, regardless of whether the information was available through the performance of my business or occasionally and/or inadvertently obtained.  If approved for entry, please, forward any Agreements and Instructions.
I would like to participate in a Private Placement Program with USD/EUR

Yours truly,

__________________________
(Wet Signature)

NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

 

 

ON COMPANY/INVESTOR’S LETTERHEAD

CLIENT INFORMATION SHEET

Date: xxxxxx

To: The Program Manager

From:  (NAME) Owner of Funds/Authorized Signatory

RE: PRIVATE PLACEMENT – CLIENT INFORMATION SHEET

Transaction code: (Please create and insert a code)

In accordance with the Patriot Act of October 26, 2001, and amendments thereto; Articles 2 and 5 of the Due Diligence and Federal Banking Commission Circular of December 1999 and its amended articles, concerning the prevention of money laundering, and Article 305 of the Swiss Criminal Code, the following information may be supplied to banks and to financial institutions for purposes of verification and identification regarding these matters.

All parties are obligated to respect professional secrecy and take all appropriate precautions to protect the confidentiality of the information it holds in respect of their activities per the NC/ND agreement. This legal obligation shall remain in effect at all times.

The below information is needed for each Signatory Control

                                                             Date of Information

1.Client Information

Client Name:

 

Nationality:           

 

Passport number:     

 

Date of Issue: 

 

Expiration Date:

 

Issued by:

 

Date and Place of Birth:

 

Home Address
(please provide if not same as business)

 

Street:

 

City:

 

State:

 

Postal Code:

 

Home Telephone No:

 

Cellular No.:

 

Home Fax No.:

 

Email (copy 1):

 

Email (copy 2):

 

 

 

2. Business Information Please provide a current Certificate of Good Standing from the State/Country where the Corporation/Business Entity was Incorporated/Formed.

Business Name:

 

TIN/EIN:

 

Registration Office:

 

Registered Address:

 

Street:

 

City:

 

State:

 

Postal Code:

 

Business Telephone No.:

 

Business Fax No.:

 

Business Email (copy 1):

 

Business Email (copy 2):

 

3.                                    Legal Advisor/Mandate (if none please state)

Name:

 

Company Name:

 

Company Address

 

Street:

 

City:

 

State:

 

Postal Code:

 

Company Phone No.:

 

Company Fax No.:

 

Email (copy 1):

 

Email (copy 2):

 

4.                                                 Principal Funds Information

Amount of Funds:

 

Currency (3 digit ID):

 

Date Funds were transferred into Account:

 

Bank where Funds are on deposit:

 

Bank Address:

 

Bank Officer Name:

 

Main Phone Number:

 

Direct Phone Number:

 

Fax Number:

 

Bank Officer’s Email Address:

 

Account Name:

 

Account Number:

 

Bank SWIFT/ABA No.:

 

IBAN Number:

 

Account Signatory:            

 

Are Funds free and clear without liens and third party interests:  

YES: ___  NO: ____

Origin of funds:

 

Brief Overview of Activity:

 

What is your primary language?      

 

Are you fluent in English?

 

Certification

  • There are no affiliates of Applicant who will benefit from this transaction, nor any interrelated parties that could affect the outcome of this contemplated transaction.
  • Applicant hereby declares that the undersigned is the Authorized Signatory or owner of the Funds, or the duly appointed representative with full Signatory power on the bank account to transfer, assign, pledge or reserve the cash upon terms satisfactory to Applicant, further that vested with fully authority to execute all documents and agreements relating to the same. (Please provide Corporate Resolution signed and sealed)

 

  • Applicant hereby grants permission to contact all parties and institutions named within this document including the Authorization to Verify Funds at Applicant’s Bank.

I hereby swear, under penalty of perjury, the information given hereon is accurate and true.

 

 

 

_____________________
(Wet Signature)

NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

 

ON COMPANY/INVESTOR’S LETTERHEAD

 

IDENTIFICATION

Please provide a color copy enlarged (140%) or A4 size. Picture must be clear and not dark. Enlarge and lighten. Color scan the passport into your computer at a high resolution in the JPEG format and insert.

PLEASE SEE ATTACHED PASSPORT COPY

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ON COMPANY/INVESTOR’S LETTERHEAD

 

ATTESTATION – NON CIRCUMVENTION – NON DISCLOSURE – NON SOLICITATION
SIGNATORY CONTROL

Date:  xxxxxx

To: The Program Manager

From:  (NAME) Owner of Funds/Authorized Signatory

Re: PRIVATE PLACEMENT - NON SOLICITATION AND REQUEST FOR INFORMATION

 Transaction code: (Please create and insert a code)

I, (NAME) as Trustee and/or Owner of the Funds, do hereby affirm that I have requested specific Confidential Information and Documentation from your organization regarding Private Placement Investment Programs for my interest and purposes. I solemnly and sincerely swear that I will maintain the confidentiality of all matters pertaining to any/all individuals, principals, employees, partners, and clients that I may become aware of, regardless of whether the information was available through the performance of my business or occasionally and/or inadvertently obtained.
I hereby declare that I am fully aware that the information received or to be received from you is in direct response to my request and it is not considered or intended to be a solicitation or offering of any kind. It is intended solely for my general knowledge. I further attest that I requested this information of my own free will and accord.
I affirm that the Funds on deposit to be placed with the program for the purposes herein referenced will be done so at our specific request and authorization.
It is agreed that an E-Mail and/or Facsimile Copy of this Letter, or any Associated Documents to this Transaction, are to be considered as valid and as legally acceptable as the Original.
Signed this  xx day of xxxxxxxxxxxxxxx, 2013.

 


_____________________
(Wet Signature)

NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

 

ON COMPANY/INVESTOR’S LETTERHEAD

 

PROOF OF FUNDS

Documents required:
     Cash
Copy of Bank Guarantee, Standby Letter of Credit, MTN….
        (If using a Bank Guarantee, MTN…. We require both sides of the Document)
o     Up-to-date Bank Statement  and an
o     Official letter from the bank where the Funds are lodged, signed by two (2) Bank Officers stating they are ready willing and able to issue a MT 760 or upload to Euroclear, when requested to do so .

All documents should be dated within 5 business days.

PLEASE SEE ATTACHED BANK LETTER & BANK STATEMENT
ON COMPANY/INVESTOR’S LETTERHEAD

 

HISTORY OF FUNDS

Date: xxxxxxx

To: The Program Manager

From:  (NAME) Owner of Funds/Authorized Signatory  

Re: BANK ACCOUNT NUMBER:  (ADD NUMBER)

Transaction code: (Please create and insert a code)

Dear Sir,
I, (NAME), under penalty of perjury make the following statements about the above                 referenced Account for a contemplated Private Banking Transaction.

1.    How, when and by whom the Funds/Asset were generated?

2.    If Funds/Asset have been assigned, why, when and to whom?

3.    Who is the current owner of the Funds/Asset?
4.    Length of time that the Funds/Asset have been in the current account (If less than three (3) years please state previous accounts)?
a.   
5.    Who is the Signatory on the account?
a.   
6.    Additional statements about the Funds/Asset.
a.    Authentic, genuine, confirmed and an operative instrument if asset is an instrument
b.    Clean, Cleared from non-criminal, non-terrorist origin and non-anti social purpose and free and clear of any liens and/or encumbrances
 

                Under full responsibility and penalty of perjury, I make the above statements for the Funds/Asset that I wish to use in the contemplated transaction. 

 

_______________________________
(Wet Signature)

NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

 

 

ON COMPANY/INVESTOR’S LETTERHEAD

 

EXCLUSIVE RIGHT TO CONTRACT

Date:  xxxxxxxx

To: The Program Manager

From:  (NAME) Owner of Funds/Authorized Signatory

 Re: PRIVATE PLACEMENT - EXCLUSIVE RIGHT TO CONTRACT

Transaction code: (Please create and insert a code)

I, (NAME) hereby swear under penalty of perjury that all other parties that have received this information have received a Cease & Desist Order letter and that they will no longer work to complete the transaction that has been brought forward to their principal.

We hereby authorize you to communicate with your appointed licensed trader, if applicable, or with any other involved parties on our behalf and to bring the transaction to a completion.

 

Transaction details:

 

Amount for trade:

 

Held in bank:

 

Account name:

 

Bank account number:

 

Bank Officer:

 

Swift code:

 

 

I hereby confirm that I have the Funds currently available under my control to block for this transaction and that they are not encumbered in any way.

Thanking You,
Yours Faithfully,

 

 

_________________________________
(Wet Signature)

NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

ON COMPANY/INVESTOR’S LETTERHEAD

 

CORPORATE RESOLUTION

Date:  xxxxxx

To: The Program Manager

From:  (NAME) Owner of Funds/Authorized Signatory

Re: PRIVATE PLACEMENT PROGRAM AND BUY/SELL PLATFORM – CORPORATE RESOLUTION

Transaction code: (Please create and insert a code)

 

Reference: A. Minutes of the Directors meeting held on <DATE>
B. Articles of Incorporation of the Corporation
A Meeting of the Board of Directors of (COMPANY NAME) was held in accordance with the Articles of Incorporation.

All of the directors of (COMPANY NAME) below listed were in attendance, in person or by telephone conference.  General discussion was then held concerning the issue, and all aspects of the same, were fully explained in detail to the satisfaction of the board members. (2 or 3 directors is enough)

DIRECTOR no.1 Name/Title:
Passport No.:

DIRECTOR no.2 Name/Title:
Passport No.:

DIRECTOR no.3 Name/Title:
Passport No.:

Present at the meeting was the Secretary of the Board of Directors (NAME and PASSPORT NO.)
The Meeting of the Board of Directors undertook the following Corporate Resolution which has been recorded as "Reference A" in the Minutes of the Corporation Meeting Book. It has been Unanimously Resolved and Approved that (NAME), THE (POSITION of THE APPOINTEE)   of (BUSINESS NAME); be duly appointed, to serve as Trustee and the Sole Authorized Signatory of the Company, and…

To Utilize Funds on Deposit in the amount of, X HUNDRED and XX MILLION USD/EUROS (Name and Address of the Bank )  ACCOUNT NUMBER  (add number ) , to enter into this transaction or transactions involving a Private Placement transaction and/or the Buy/Sell of Bank Debentures and other Bank Instruments.

Additionally, the (Trustee’s name and position of the appointee) and, Sole Authorized Signatory, as Trustee of the Funds, is hereby authorized to instruct, arrange, monitor, execute, manage and sign all paperwork, agreements, contracts, open any required bank accounts and be the Signatory on said accounts and any and all documentation as may be necessary with third parties, pertinent to transactions involving the Buy/Sell of Bank Instruments, U.S. Treasuries, and/or a Private Placement transaction.

(Trustee’s name and position of the appointee) and, Sole Authorized Signatory, as Trustee of the Funds, is hereby authorized to hereby authorized to pay/distribute on behalf of the Company any and all transaction related fees and entitlements to any banks, trading entities, program managers, facilitators, lawyers and other involved persons and companies of his choice, as he/she may deem appropriate and at his/her absolute discretion, on behalf of the Company.

That (Trustee’s name and position of the appointee) and sole authorized Signatory of the company, is hereby authorized to certify that the foregoing resolutions and provisions thereof are in conformity with the charter, bylaws and articles of incorporation of the Company, and that the foregoing resolution and the authority thereby conveyed shall remain in full force and effect until the purposes set forth herein are accomplished.

It is further certified that the foregoing resolutions have never been modified or amended and are now in full force and effect and that the above named (Trustee’s name) has been duly elected and appointed to hold office, is presently holding office, and is empowered to act for and on behalf of the Company, and that this fax or email copy of the Board Resolution shall be of equal value and effect to the original, and shall be accepted as such by everyone, for all purposes, everywhere.

The above motions and resolutions were duly made, seconded and unanimously passed and carried out at the completion of this meeting. In witness whereof, I have hereunto set our hand and seal of the company in our own free will and act, in certification of the above resolutions and provisions on this ___, 2013.

The necessary authority and powers required to undertake these tasks and responsibilities are hereby granted to (Trustee’s name) holder of Passport Number xxxxxxx , issued by xxxxxxxxxxx.

It is therefore resolved that the appointed officer shall have the authority to negotiate all details and sign the final contract with the Joint Venture Partner, Trade Contract, and Bank Officers.

There being no further business, the meeting was declared closed, and in witness thereof, the directors signed below on the date first written above.

 

 

____________________
(Wet Signature director no.1)


NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

____________________
(Wet Signature director no.2)


NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

____________________
(Wet Signature director no.3)


NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

 

_________________                                                              CORPORATE SEAL      +      NOTARY SERVICE
(Wet Signature)


NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX

 

 

 

 

 

 

 

 

 

ON COMPANY/INVESTOR’S LETTERHEAD

 

AUTHORIZATION TO VERIFY & AUTHENTICATE FUNDS/ASSETS

NOTE: OWNER OF THE FUNDS MUST ALSO SEND A COPY OF THIS LETTER TO HIS/HER BANK OFFICER TO ALLOW FOR BANK-TO-BANK COMMUNICATION
.

Date:  xxxxxx

To: The Program Manager

From:  (NAME) Owner of Funds/Authorized Signatory

Re: PRIVATE PLACEMENT - AUTHORIZATION TO VERIFY & AUTHENTICATE FUNDS/ASSETS

Transaction code: (Please create and insert a code)

I, (name), Investor, holder of Passport No. xxxxxxxxx, issued (Date) by (Country), expiration date xxxxxxxx, with full responsibility and under penalty of perjury and duly authorized, DO HEREBY AUTHORIZE YOUR BANK, OR, BANK OFFICER OR PROGRAM MANAGER, TO OBTAIN VERIFICATION OF OUR CLEARED AND OF NON-CRIMINAL ORIGIN FUNDS/ASSETS CURRENTLY HELD ON DEPOSIT AT (NAME AND ADDRESS OF BANK), ON A BANK TO BANK BASIS, UPON PROVIDING ME WITH DUE AND TIMELY NOTICE OF THE COORDINATES OF THE INQUIRING PARTY(IES).

BANK NAME:                   

 

BANK ADDRESS:             

 

BANK OFFICER:                               

 

POSITION:                         

 

TELEPHONE:                     

 

NAME OF ACCOUNT:   

 

ACCOUNT NUMBER:    

 

SIGNATORY OF ACCOUNT:

 

BANK SECURITY CODE:

 

S.W.I.F.T. CODE:

 

 

 

_____________________________
(Wet Signature)

NAME:   XXXX        

TITLE  XXXXXXXXX

(COMPANY NAME): XXXXXXXXX

Passport No:   XXXXXXXX   

Country: XXXXXXXXX