1、INSTRUCTIONSFORCOMPLETINGTHECERTIFICATIONAppendixACertificationRegardingCorrespondentAccountsForForeignBanks-MustbecompletediftheoriginalCertificationprovidedwasadifferentversionoftheCertificationenclosedinthispacket.Ifyouhaveaglobalcertification(onecertificationforallaccountsyourinstitutionmaintain

2、satanyU.S.coveredfinancialinstitution)andmaintainthiscertificationonyourwebsiteorhavepostedyourCertificationwithBankersAlmanac,youneedonlyprovideuswiththelink.SectionBThefirstboxallowsyoutofilloutonecertificationforallaccountsyourinstitutionmaintainsatanyU.S.coveredfinancialinstitution.ORThesecondbo

3、xrequiresthatyouidentifyaspecificU.S.coveredfinancialinstitutionandonlythatinstitutioncanrelyonthecertification.SectionC-PhysicalPresenee-youmustincludethefullphysicaladdress(noP.O.Boxes),countryandBankingAuthorityforeachlocationyouwishtocoverwiththeCertification.CompletingmultiplepageswithSectionCo

4、rusingtheattachedlocation/branchlistingcanaccomplishthis.SectionD-IndirectUseofCorrespondentAccounts-thisboxmustbecheckedasconfirmation/certificationthatyouwillnotuseanyaccountswithustodirectlyorindirectlyprovidefinancialservicestoashellbank.SectionEOwnershipInformation-youmustchooseoneoftheboxesind

5、icated.Ifneither1nor2apply,youmustcheckbox3.Ifnoneoftheownersmeetthedefinitionasindicatedinthissection,pleasemarkasN/Aornil.SectionF-ProcessAgent-sbehalf.SectionG-General-pleaseread,completeandsignasindicatedontheformPleasereviewthecompletedCertificationpriortosending.TheCertificationmustbefullycomp

6、letedinorderforustoacceptandapprove.AllnecessaryboxesmustbecheckedandaU.S.ProcessAgentmustbedesignatedonallCertifications.WestronglyrecommendthatyouprovideuswithasinglecertificationthatcoversalltheU.S.CoveredFinancialInstitutionsintheJPMorganChasefamily.ThismeansprovidinguswithanAppendixAthathasthef

7、irstboxunderSectionBmarked.APPENDIXATOSUBPARTIOFPART103-CERTIFICATIONREGARDINGCORRESPONDENTACCOUNTSFORFOREIGNBANKSOMBCONTROLNUMBER1505-0184TheinformationcontainedinthisCertificationissoughtpursuanttoSections5318(j)and5318(k)ofTitle31oftheUnitedStatesCode,asaddedbysections313and319(b)oftheUSAPATRIOTA

8、ctof2001(PublicLaw107-56).ThisCertificationshouldbecompletedbyanyforeignbankthatmaintainsacorrespondentaccountwithanyU.S.bankorU.S.broker-dealerinsecurities(acoveredfinancialinstitutionasdefinedin31C.F.R.103.175(f).AnentitythatisnotaforeignbankisnotrequiredtocompletethisCertification.Aforeignbankisa

9、bankorganizedunderforeignlawandlocatedoutsideoftheUnitedStates(seedefinitionat31C.F.R.103.11(o).Abankincludesoffices,branches,andagenciesofcommercialbanksortrustcompanies,privatebanks,nationalbanks,thriftinstitutions,creditunions,andotherorganizationscharteredunderbankinglawsandsupervisedbybankingks

10、upervisorsofanystate(seedefinitionat31C.F.R.103.11(c).ACorrespondentAccountforaforeignbankisanyaccounttoreceivedepositsfrom,makepaymentsorotherdisbursementsonbehalfofaforeignbank,orhandleotherfinancialtransactionsrelatedtotheforeignbank.:AbranchorofficeofaU.S.bankoutsidetheUnitedStatesisaforeignbank

11、.SuchabranchorofficeisnotrequiredtocompletethisCertificationwithrespecttoCorrespondentAccountswithU.S.branchesandofficesofthesameU.S.bank.SpecialinstructionforcoveringmultiplebranchesonasingleCertification:AforeignbankmaycompleteoneCertificationforitsbranchesandofficesoutsidetheUnitedStates.TheCerti

12、ficationmustlistallofthebranchesandofficesthatarecoveredandmustincludetheinformationrequiredinPartCforeachbranchorofficethatmaintainsaCorrespondentAccountwithaCoveredFinancialInstitution.Useattachmentsheetsasnecessary.Theundersignedfinancialinstitution,_BANKOFNINGXIA_(ForeignBank”)herebycertifiesasf

13、ollows:CorrespondentAccountsCoveredbythisCertification:Checkonebox.ThisCertificationappliestoallaccountsestablishedforForeignBankbyCoveredFinancialInstitutions.ThisCertificationappliestoCorrespondentAccountsestablishedbyforForeignBank.*A“foreignbank”doesnotincludeanyforeigncentralbankormonetaryautho

14、ritythatfunctionsasacentralbank,oranyinternationalfinancialinstitutionorregionaldevelopmentbankformedbytreatyorinternationalagreement.C.D.PhysicalPresenee/RegulatedAffiliatedStatus:Checkoneboxandcompletetheblanks.ForeignBankmaintainsaphysicalpreseneeinanycountry.Thatmeans:?ForeignBankhasaplaceofbusi

15、nessatthefollowingstreetaddress:no.157beijingZHONGLUYINCHUANNINGXIACHINA,whereForeignBankemploysoneormoreindividualsonafull-timebasisandmaintainsoperatingrecordsrelatedtoitsbankingactivities.?TheaboveaddressisinCHINA(insertcountry),whereForeignBankisauthorizedtoconductbankingactivities.?ForeignBanki

16、ssubjecttoinspectionbyCHINABANKINGREGULATORYCOMMISSION,(insertBankingAuthority),thebankingauthoritythatlicensedForeignBanktoconductbankingactivities.ForeignBankdoesnothaveaphysicalpreseneeinanycountry,butForeignBankisaregulatedaffiliate.Thatmeans:ForeignBankisanaffiliateofadepositoryinstitution,cred

17、itunion,oraforeignbankthatmaintainsaphysicalpreseneeatthefollowingstreetaddress:,whereitemploysoneormorepersonsonafull-timebasisandmaintainsoperatingrecordsrelatedtoitsbankingactivities.Theaboveaddressisin(insertcountry),wherethedepositoryinstitution,creditunion,orforeignbankisauthorizedtoconductban

18、kingactivities.Foreignbankissubjecttosupervisionby(insertBankingAuthority),thesamebankingauthoritythatregulatesthedepositoryinstitution,creditunion,orforeignbank.ForeignBankdoesnothaveaphysicalpreseneeinacountryandisnotaregulatedaffiliated.IndirectUseofCorrespondentAccounts:Checkboxtocertify.QNoCorr

19、espondentAccountmaintainedbyaCoveredFinancialInstitutionmaybeusedtoindirectlyprovidebankingservicestocertainforeignbanks.ForeignBankherebycertifiesthatitdoesnotuseanyCorrespondentAccountwithaCoveredFinancialInstitutiontoindirectlyprovidebankingservicestoanyforeignbankthatdoesnotmaintainaphysicalpres

20、eneeinanycountryandthatisnotaregulatedaffiliate.E.OwnershipInformation:Checkbox1or2below,ifapplicable.1.2.FormFRY-7isonfile.ForeignBankhasfiledwiththeFederalReserveBoardacurrentFormFRY-7andhasdiscloseditsownershipinformationonItem4ofFormFRY-7.ForeignBankssharesarepubliclytraded.Publiclytradedmeansth

21、atthesharesaretradedonanexchangeoranorganizedover-the-countermarketthatisregulatedbyaforeignsecuritiesauthorityasdefinedinsection3(a)(50)oftheSecuritiesExchangeActof1934(15U.S.C.78c(a)(50).Ifneitherbox1or2ofPartEischecked,completeitem3below,ifapplicable.03.ForeignBankhasnoowner(s)exceptassetforthbel

22、ow.ForpurposesofthisCertification,ownermeansanypersonwho,directlyorindirectly,(a)owns,controls,orhasthepowertovote25percentormoreofanyclassofvotingsecuritiesorothervotinginterestsofForeignBankor(b)controlsinanymannertheelectionofamajorityofthedirectors(orindividualsexercisingsimilarfunctions)ofForei

23、gnBank.ForpurposesofthisCertification,(i)personmeansanyindividual,bank,corporation,partnership,limitedliabilitycompanyoranyotherlegalentity;(ii)votingsecuritiesorothervotinginterestsmeanssecuritiesorotherintereststhatentitletheholdertovotefororselectdirectors(orindividualsexercisingkF.F.similarfunct

24、ions);and(iii)membersofthesamefamilyshallbeconsideredoneperson.NameAddressThereisnoownerwhodirectlyandindirectlyowns,controlsandhasthepowertovote25percentormoreProcessAgent:Completethefollowing:Thefollowingindividualorentity:_CORPORATIONSERVICECOMPANYisaresidentoftheUnitedStatesatthefollowingstreeta

25、ddress:2711CENTERVILLEROADWILMINGTONQE19808andisauthorizedtoacceptserviceoflegalprocessonbehalfofForeignBankfromtheSecretaryoftheTreasuryoftheAttorneyGeneraloftheUnitedStatespursuanttoSection5318(k)oftitle31,UnitedStatesCode.*Thesamefamilymeansparents,spouses,children,siblings,uncles,aunts,grandpare

26、nts,grandchildren,firstcousins,stepchildren,stepsiblings,parents-in-lawandspousesofanyoftheforegoing.Indeterminingtheownershipinterestsofthesamefamily,anyvotinginterestofanyfamilymembershallbetakenintoaccount.G.GeneralForeignBankherebyagreestonotifyinwritingeachCoveredFinancialInstitutionatwhichitma

27、intainsanyCorrespondentAccountofanychangeinfactsorcircumstancesreportedinthisCertification.Notificationshallbegivenwithin30calendardaysofsuchchange.ForeignBankunderstandsthateachCoveredFinancialInstitutionatwhichitmaintainsaCorrespondentAccountmayprovideacopyofthisCertificationtotheSecretaryoftheTreasuryandtheAttorneyGeneraloftheUnitedStates.ForeignBankfur