Owner Name and Address
Email and Phone Number
COMPLIANCE PACKAGE
January 12, 2019
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND No
Insert Name of Bonds and Year(s) Issued
Insert Small Bond Picture
STRICTLY CONFIDENTIAL
The information contained in this document is provided solely and exclusively for informational purposes only, and for personal use upon a specific request made by: Insert Owner Name.
PURCHASE OF BONDS
This is not intended to be, and must not be construed to be, a solicitation of Bonds
Please read carefully:
This is an unofficial response to your request and is for informational purposes only.
By reading beyond this point, you acknowledge that this is a private communication of privileged confidential information for you only, and you agree to keep it confidential and protect it from disclosure, except as required for the transaction referred to herein. DO NOT UNDER ANY CIRUMSTANCES SEND THIS OUTLINE, OR ANY INFORMATION CONCERNING THIS BUSINESS, TO ANYONE! You have requested specific information outlined below. This material and document regarding the above referenced transaction are provided solely to serve your interests and purposes, and are not for distribution. By receiving this information sheet you hereby agree to keep all information received from us strictly confidential, and will not disclose it to any third party.
The following information may change at any time without notice.
After execution of this Compliance Package and receipt by our Compliance Department it will take up to two banking days for the approval of the Package and up to a further three banking days to receive an LOI from a purchaser for the bonds.
CERTAIN APPLICATION REQUIREMENTS
(PLEASE COMPLY WITH ALL REQUESTS)
THE FOLLOWING DOCUMENTS SHOULD BE FILLED IN AND RETURNED AS A PACKAGE. PLEASE DO NOT RETURN THE DOCUMENTS INDIVIDUALLY! ALL DOCUMENTS MUST BE CLEAR AND ALL PROCEDURES MUST BE FOLLOWED.
PROOF OF OWNERSHIP: You must prove ownership and provide a front & back copy of one of the bonds from each Series being sold. The proof of ownership can be in the form of an safekeeping receipt (SKR) from a secure depository.
ATTESTATION LETTER: This must be completed by your attorney and the highlighted paragraph deleted if you have not additional bonds to sell. (Not required if an SKR as noted above can be provided.)
CLIENT INFORMATION SHEET: This information must be filled in, in its entirety (two pages), and the information contained must be accurate and verifiable.
HISTORY OF OWNERSHIP: The information provided in this form must be accurate verifiable.
AFFIDAVIT OF LEGAL OWNERSHIP: The information on this form is the confirmation to the purchased of your legal ownership of the Bonds.
INDEMNIFICATION AND ATTESTATIION: The information provided in this form must be accurate and verifiable.
AFFIDAVIT OF NON-SUBMITTAL TO OTHERS: This is to ensure the bank knows that this file is not being “shopped” in the marketplace and they have an exclusive right to proceed with the transaction.
LETTER OF INTENT TO SELL: This is to be clear that this bond is for sale.
COPY OF PASSPORT: A clean, clear color copy of the Client’s passport must be provided, enlarged to 8.5” x 11”. This is best achieved by making a laser copy of the original passport enlarged 129%. A color –scan device will do as well (accepted formats: JPEG, TIFF, PDF, DOC).
WARNING!
ANY SUBMITTED APPLICATION WHICH IS NOT ACCOMPANIED BY A FRESH, UP-TO-DATE AFFIDAVIT OF LEGAL OWNERSHIP WILL BE REJECTED WITH NO FURTHER CONSIDERATION.
ANY SUBMITTED APPLICATION PARTIALLY COMPLETED OR WITH MISSING DATA WILL BE REJECTED WITH NO FURTHER CONSIDERATION.
ANY APPLICATION SUBMITTED WHICH IS SIGNED BY ANY PARTY OTHER THAN THE OWNER.SIGNATORY, WILL BE REJECTED WITH NOT FURTHER CONSIDERATION.
POWER OF ATTORNEY, WHETHER LIMITED OR FULL, AND MANDATES ARE NOT ACCEPTED FOR THE SUBMISSION OF THIS KYC PACKAGE ONLY THE OWNER OF THE INSTRUMENTS OR AS APPROVED BY BOARD RESOLUTION BY THE COMPANY OR ASSOCIATION.
PROOF OF ASSET:
A COPY OF ALL BONDS IN A4 COLOR FORMAT SHOULD BE ATTACHED.
IT MUST INCLUDE ALLTHE IDENTIFICATION NUMBERS
Please sign here in blue ink
SIGNATURE OF THE BOND OWNER
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND No LETTER OF EXCLUSIVITY
Date:January 12, 2019
To:Bond Purchaser
Re:Bond Sale
Dear Sir,
I,, holder of current Passport Number , issuedin , owner/authorized signatory forFolio (Serial) Number(s): ,held in . I, the undersigned, (hereinafter referred to as the “INVESTOR”), hereby with full, personal and legal responsibility under penalty of perjury of law, represent, warrant and attest that:
I, the undersigned, have full legal title, rights, interest, control and authority to commit and invest these funds and have chosen to do so of their own free will and sole decision without any solicitation or influence from the trade administrators.
I, the undersigned, principal party involved in this transaction do not have any other party working with or authorized to work with these funds allocated for above-mentioned reference code, nor have any other parties been authorized to invest these funds, nor have other funds from myself or the corporation been placed with other parties for a similar investment. Further I attest that I have sent Cease & Desist Notices to any other intermediaries or trade groups that have had access to our paperwork in the past.
I, the undersigned, herewith grant Program Manager, full exclusive right as our sole agent for 31 Days (Thirty-one days) and/or the period of the contract whichever is later including any proceeds of the investment if re-invested, from the above date, to enter these funds for me, or the Corporation into the best available investment.
I, the undersigned, understand, and I am fully aware that this transaction will be registered with a major world bank and/or the Federal Reserve and the submitted private and confidential paperwork will be forwarded for the sole purpose of establishing necessary dossier due diligence and clearance for this transaction.
I, the undersigned understand and acknowledge that the Program Manager (hereinafter referred to as the “Trade Coordinator”) will initially base the placement of this transaction on the face value representations and documentation presented, and that any misrepresentation may be considered criminal bank fraud. I, the undersigned hereby indemnify the Trade Coordinator against any misrepresentations.
Facsimiles or electronically transmitted documents are deemed as legally binding as delivered originals.
I, , hereby swear under penalty of perjury, that the information provided herein is accurate and true as of January 12, 2019.
Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND No
Client Information Sheet
Directions: This document must be completed in full. If a line item does not pertain then insert the term: “N/A” (non-applicable).
Client Information:
First Name:
Middle Name:
Last Name:
Gender:
Date of Birth:
Social Security Number:
Country of Citizenship:
Passport Number:
Date of Issue:
Date of Expiry:
Issuing Authority:
Home Address:
City:
Street:
State:
Country:
Postal Code:
Telephone Number:
Fax Number:
Mobile Number:
Email Address:
Corporate Information
Full Name of Corporation:N/A (if selling as an individual)
Street Address:N/A (if selling as an individual)
City:N/A (if selling as an individual)
State:N/A (if selling as an individual)
Country:N/A (if selling as an individual)
Postal Code:N/A (if selling as an individual)
Telephone Number:N/A (if selling as an individual)
Fax Number:N/A (if selling as an individual)
Mobile Number:N/A (if selling as an individual)
Email Address:N/A (if selling as an individual)
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND No
Bank Information
Bank Name:Disclosed at table top meeting (TTM)
Street Address: Disclosed at table top meeting (TTM)
City: Disclosed at table top meeting (TTM)
State: Disclosed at table top meeting (TTM)
Country: Disclosed at table top meeting (TTM)
Postal Code: Disclosed at table top meeting (TTM)
Account Name: Disclosed at table top meeting (TTM)
Account Number: Disclosed at table top meeting (TTM)
Routing Number: Disclosed at table top meeting (TTM)
SWIFT Code: Disclosed at table top meeting (TTM)
Account Signatory (1): Disclosed at table top meeting (TTM)
Account Signatory (2):Disclosed at table top meeting (TTM)
Bank Officer # 1 Name: Disclosed at table top meeting (TTM)
Bank Officer # 2 Name: Disclosed at table top meeting (TTM)
Telephone Number:Disclosed at table top meeting (TTM)
Fax Number:Disclosed at table top meeting (TTM)
Origin of Bonds:Disclosed at table top meeting (TTM)
Are these Bonds free and clear: Yes No
Brief description of Corporate Activity: N/A
I, , hereby swear under penalty of perjury, that the bond(s) belong to me, or that I am the authorized signatory for the bond(s). The information provided herein is accurate and true as of January 12, 2019.
For and on behalf of:
Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND No HISTORY OF OWNERSHIP
The following three questions need to be answered by the Client (Owner of the bonds). Use whatever additional sheet of paper that may be necessary to answer the questions fully and completely.
Date:January 12, 2019
To:Bond Purchaser
Re:Bond Sale
I, confirm under the risk and penalty of perjury, that the proposed purchase of my bonds which are free and clear of any liens or encumbrances and have been originated from a legal source. The means by which the bonds came into my ownership was insert brief history of the bonds:
I further confirm, that the Bond has a number of months or yearshistory in my ownership. Facsimiles of this document and any other associated documents are as valid as the original. Hard copies shall be delivered if requested.
I hereby swear under penalty of perjury, that I AM able to sell these bond(s) and that the bond(s)belong to me or that I am the authorized signatory for the bond(s). The information provided herein is accurate and true.
Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND NoATTESTATION OF OWNERSHIP
Date: January 12, 2019
To:Bond Purchaser
Re: Attestation for Bonds owned by
Dear Sir/Madam: This letter is to certify that the following are true and correct:
I,,the undersigned, hereby confirm under penalty of perjury and with full legal responsibility that I personally and physically have in my possession and/or direct control. The Bond(s) listed herein this letter are available for authentication by appointment or at the commencement of a closing transaction either by the Bank to Bank method or a Table Top Meeting at mutually agreed Bank Location or by Attorney.
The Bond under my ownership and control is as follows:
Insert a brief description of the package of bonds
Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND No INDEMNIFICATION AND ATTESTATION
Date:January 12, 2019
To:Bond Purchaser
Re: Bond Sale
I,, holder of current Passport Number issued by hereby affirm, attest and certify under penalty of perjury that the described Bond(s), , held inis authentic, valid and available for immediate sale. The Bond(s) waslawfully obtained thru business andare free and clear of any and all liens and encumbrances and I am authorized to offer them for sale.
I also affirm, attest and certify that the proceeds derived from any use of the funds shall be utilized in a legal manner for either commercial, personal or charitable purposed at my election.
I further acknowledge that the Purchaser, with its Directors, as well as their respective officers, directors, partners, shareholders, associates, affiliates, employees, partners and assigns, has no direct knowledge that the ownership is legal or valid at this time and Purchase is relying upon the representations and warranties of the undersigned.
I further affirm, attest and certify that I am not affiliated, associated or employed, either directly or indirectly with any governmental agency, either officially or unofficially, or under duress. I further affirm, attest and certify that my actions, either directly or indirectly, with respect to the sale of the bonds are not a part of any governmental investigation, covert or otherwise.
WHEREAS; The President of the United States of America did sign H.R. 3723 on October 11th, 1996 thus protecting all transactions conducted in the Currency of the United States of America by allowing Corporations the right to declare their Contracts, Clients, Internal Procedures, Information, and the transactions in which they engage, to be classified as Corporate, or Trade Secrets fully protected under the Economic and Industrial Espionage Laws of the United States of America and the International Economic Community.
IN AS MUCH, as the names, identities, coordinates and identifying information of persons or entities that are party to the transaction, or subsequent similar transaction(s), ore learned hereafter, shall be considered Corporate/Trade Secrets and shall not be disseminated other than as provided for herein, or as allowed under the law.Any unauthorized disclosure of all transaction(s) parties to, or other material fact of, such transaction(s) shall subject the violator to criminal prosecution.
IN AS MUCH, as any document passed through the hands, or electronic equipment of any person, Broker, Intermediary or entity not signatory to this/these transaction(s), or authorized by said signatories, and any material fact provided to any person, Broker, Intermediary or entity not signatory to this/these transaction(s) allowed herein, or as required by applicable law, will immediately VOID the transaction and subject the violator to criminal prosecution.
By signing this document, the undersigned takes full responsibility and hereby indemnifies and holds harmless Purchaser, as well as, where applicable, his respective officers, directors, partners, shareholders, associates, affiliates, and employees again any and all improprieties or misrepresentations or omissions arising out of my completion of this document
The undersigned further undertakes to guarantee that all facts and information, written and/or verbal, which has been rendered regarding the Bonds, are accurate, correct and true and can be relied upon completely, fully and totally by the designated recipient.
Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND No AFFIDAVIT OF NON-SUBMITTAL TO OTHERS
Date:January 12, 2019
To:Bond Purchaser
Re: Bond Sale
Dear Sir,
I, the undersigned, hereby confirm, under penalty of perjury and with full personal responsibility that the Bond Package submitted to you for processing, including but not limited to this Bond, has not and is not currently submitted to any other source for consideration of my proposed private sale.
I furthermore hereby warrant and represent that, in the event that I have previously submitted our Bond Package to any other source for application for the “sale of the Bonds”, for the procurement of the aforementioned and herein desired sale, that we subsequently have issued the required “Cease & Desist Order” to that other source, canceling all activities thereto.
Facsimile documents, when properly endorsed are hereby declared as originals, and originals may be obtained upon request.
Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND No LETTER OF INTENTTO SELL
Date:January 12, 2019
To:Bond Purchaser
Re: Bond Sale
Dear Sir,
I, ,the undersigned, hereby confirm under penalty of perjury, my full commitment and agreement to sell the bonds subject to negotiations of the purchase price and or schedule of payment. The price is to be approved by the seller upon engagement. Because this transaction is very large, it is important that all aspects are discussed between the buyer and seller only (not mandates) for security and privacy purposes.
Signature: Please sign here in blue ink
Name:
Passport Number:
Date of Issue:
Date of Expiry:
Country of Issuance:
TRANSACTION CODE:-- Seller initials – Bond type – SELLER BOND NoATTESTATION CONFIRMATION LETTER
The Parties whose signatures are affixed below hereby avow, state and represent, under the risk and penalty of perjury that they are the legal owner and / or Legal Representative for the legal owner of the instruments that are being contemplated for sale. The undersigned signatory does hereby attest and warrant to the following:
BOND INFORMATION:
are for sale and the location of the Bond(s) is/are: .
1.I, ,the undersigned and, hereby confirm and warrant and represent that I am the true record owner and holder/authorized signatory of the Bond described above. I warrant and represent, under penalty of perjury that this Bond submitted to you for purchase is not currently submitted to any other source for same. Furthermore, in the event they had previously submitted this Bond, hereinabove described, to any other source for application for purchase, I warrant that I have issued the required “Cease and Desist Orders” to that other source, cancelling all activities thereto.
2.I attest that I have personallyin my possession at a secure location the aforementioned bond, which is currently located in .
3.This Bond is available for authentication by table top meeting (TTM) only in the presence of the buyer and I further confirm that I,,have the legal right and authority to sell this bonds.
Hold Harmless:I, ,confirm that these instruments are free and clear and unencumbered and that they are not linked to any banking fraud, terrorist activity or fraudulent activity of any kind. Furthermore, I hold you and your Associates, Representatives and Facilitators harmless from any adverse or harmful participation in this transaction. This transaction is being accomplished according to that which is agreed upon between the Buyer and the Seller only.