1. SUPPORTING DOCUMENTS RELATING TO THE LEGAL ENTITY, … · 1. SUPPORTING DOCUMENTS RELATING TO THE LEGAL ENTITY, THE LEGAL REPRESENTATIVE(S)/ THE ACCOUNT HOLDER(S) Ref. of doc

CDC – GREENHOUSE GAS REGISTRY – Reviewed Nov 2011 Page 1 on 9

1. SUPPORTING DOCUMENTS RELATING TO THE LEGAL ENTIT Y, THE LEGAL REPRESENTATIVE(S)/

THE ACCOUNT HOLDER(S)

Ref. of doc. Designation of document: purpose, nature, form

Country of

residence

Original, Copy (not

authenticated) or

Certification: Notarised or with A postill

e or Legalised**

Translation into French or English by a sworn translator*

Identity of individual

Current valid National Identity Card or passport1 France EEA

OECD

N

No No.1

Passport whose validity is certified by the embassy of an EU country Other N No Proxies

No.2

Appointment held under Articles of Association (or equivalent) or under the certificate of registration/incorporation (or equivalent), otherwise powers exercised. The individual must supply proof of his/her authority to act on behalf of the legal entity holding the account: the individual should either hold an appointment under the Articles of Association or under the certificate of

France EEA

OECD O, N Yes

1 Identity documents issued in France or by a state which is a member of the EEA or the OECD must:

- be legibly photocopied front and back; the photocopy must be signed by the document holder - show the holder’s full name, date and place of birth, and nationality - show the nature, date and place of issue of the document and the name and position of the person who issued or authenticated it - include a photograph - show an expiry date; documents without an expiry date are not accepted.

Declarations of loss are not accepted. Only National Identity Cards and passports will be accepted. A legible copy showing front and back, and including the holder's civil status, photograph and signature, the passport number and date of expiry must be provided.



Country of

residence

Original, Copy (not

authenticated) or


e or Legalised**


registration/incorporation, or present the necessary letters of authority granted by a person holding such an appointment.

Permanent residence of the individual

No.3

- official identity document if issued within the previous three months, containing the postal address or: any other official document issued by national government, dated within the previous three (3) months, which contains the postal address or: a declaration issued by the local authorities, dated within the previous three (3) months confirming the individual's address of permanent residence or: evidence of domicile, dated within the previous three months (gas/electricity bill, rent receipt, telephone bill)

France EEE

OECD Other

C N, A, L

A, L A, L

No Yes**** Yes**** Yes****

Establishment of the legal entity Certified copy of Articles of Association (registered and up to date with a Tribunal de Commerce in France).

France O,N No

No.4 Certified copy of Articles of Association or equivalent (registered and up-to-date with the appropriate foreign legal organisation or authority)

EEA OECD Other

N, A, L A, L A, L

Yes

List of Directors

No. 15

List of Directors of the legal entity (surname, forename, nationality, postal address, telephone number). Sworn statement, signed original.

France EEA

OECD Other

O Yes

Proof of Existence of legal entity No.5 Kbis extract dated within the previous three months. Original document required. France O No



Country of

residence

Original, Copy (not

authenticated) or


e or Legalised**


Certificate of registration/incorporation together with any other necessary documents, dated within the previous three months providing evidence specifically of i) registered company or business name ii) address of registered office, iii) legal form and registration number and iv) identity of partners/directors.

EEA OECD Other

O, N, A, L Yes

France C No

No.6 Latest annual accounts or financial statements (audited or, failing that, certified by the tax authorities or by the financial director of the legal entity holding the account)

EEA OECD Other

C Yes

Criminal record certification of the individual / t he representatives of the legal entity

An "extrait de casier judiciaire" (bulletin N° 3 2), dated within the previous three months. France O No

No.7

A copy of the criminal record issued by the government for the permanent residence of the Applicant or the Authorised Representative as the case may be, dated within the previous 30 days or evidence satisfactory to the Administrator that they do not have a criminal record (and eventually upon special request an extract from the Criminal records in France, called "extrait de casier judiciaire" (bulletin N° 3 3) : see below procedure to claim it online.)

EEA OECD Other

O Yes

Liability to VAT

No.8 Intra-community VAT number (simple declaration)

France EEA

-

No

2 Online request available here : https://www.cjn.justice.gouv.fr/cjn/b3/eje20c 3 Online request available here : https://www.cjn.justice.gouv.fr/cjn/b3/eje20c



Country of

residence

Original, Copy (not

authenticated) or


e or Legalised**


Otherwise, certificate of non-liability (original or certified copy) France EEA

O, N, A, L Yes

Certificate of VAT liability/non-liability

OECD Other

C Yes

Identification of the actual beneficiary of the bus iness relationship in accordance with articles L.561-5 et seq. and R.561-5 et seq. of the Monetary and Financial Code

No.9

- Where the client is a company, the identity of the natural person or persons who either hold, directly or indirectly, more than 25% of the company’s capital or voting rights, or exercise, by any other means, power of control over the company’s management, administrative or directorial bodies or over the general meeting of its members. Where the client is a collective investment undertaking, the identity of the natural person or persons who either hold, directly or indirectly, more than 25% of the undertaking’s units or shares, or exercise power of control over the administrative or directorial bodies of the collective investment undertaking, or, where applicable, of the management company or portfolio management company representing it.

Where the client is neither a company nor a collective investment undertaking, or where the client is acting pursuant to a trust or other comparable legal arrangement under the law of another country (for example a UK trust), the identity of the natural person or persons who meet one of the following conditions:

1° They are empowered, by a legal document so desig nating them, to become holders of interests representing at least 25% of the assets of the legal entity or of the assets transferred to a trust or other comparable legal arrangement under the law of another country;

France EEA

OECD Other

O Yes



Country of

residence

Original, Copy (not

authenticated) or


e or Legalised**


2° They belong to a class of persons in whose princ ipal interest the legal entity, trust or other comparable legal arrangement under the law of another country has been set up or has operated, where the natural persons who are its beneficiaries have not yet been designated;

3° They are holders of interests representing at le ast 25% of the assets of the legal entity, trust or other comparable legal arrangement under the law of another country; 4° They have the capacity of settler, trustee or be neficiary as set out in French law under Title XIV of Book III of the Civil Code.

No. 10 Once the identity of the beneficial owner is determined, the proofs to be provided are the same as

those required to document the identity of the direct client (documents No.1 to No.8). In the case of a trust or other comparable legal arrangement, the relevant establishing document.

France EEA

OECD Other

C Yes

For natural persons not subject to any regulation and for legal entities whose primary activity is no t directly connected with carbon finance

No. 11 A sworn statement of the reason or reasons for which the applicant wishes to open an account in

the registry. Original required. Free form.

France EEA

OECD Other

O Yes

No. 12 Any item which might demonstrate that the holder has the necessary guarantees to meet the

undertakings which the holder may make. Original required.

France EEA

OECD Other

O Yes

Mobile telephone subscription bill



Country of

residence

Original, Copy (not

authenticated) or


e or Legalised**


No. 13

Mobile telephone bill dated within the previous three months, for the telephone number used to receive SMS notification of the login codes to access the registry.

France EEA

OECD Other

C No

Person or legal entity’s bank details (bank based i n EEA)

No. 14

IBAN or account details for account based within the EEA.

France EEA

OECD Other

O, C No


2. SUPPORTING DOCUMENTS TO BE PROVIDED FOR EACH AUT HORISED REPRESENTATIVE, ADDITIONAL AUTHORISED REPRESENTATIVE OR VIEW ONLY A CCESS

The form of the documents, and the requirement for a certified or sworn translation, differ according to the country of residence or domicile of each authorised person.

Ref. of document Designation of document: purpose, nature, form

Country of

residence

Original, Copy (not

authenticated) or

Certification: Notarised or

with A postille or L egalised**

Translation into

French or English by

a sworn translator*

Identity of the authorised individual Current valid National Identity Card or passport4 France N No

Current valid National Identity Card or passport5 EEE

OECD N No No.1

Passport Other N No Permanent residence of the individual representing the account holder

No.3 - official identity document if issued within the previous three (3) months, containing the postal address or - any other official document issued by national government, dated within the previous three (3) months, which contains the postal address

France EEE

OECD Other

C N, A, L

A, L A, L

No Yes**** Yes**** Yes****

4 Identity documents issued in France or by a state which is a member of the EEA or the OECD must:

- be legibly photocopied front and back; the photocopy must be signed by the document holder - show the holder’s full name, date and place of birth, and nationality - show the nature, date and place of issue of the document and the name and position of the person who issued or authenticated it - include a photograph - show an expiry date; documents without an expiry date are not accepted.

Declarations of loss are not accepted. 5 Only National Identity Cards and passports will be accepted. A legible copy showing front and back, and including the holder's civil status, photograph and signature, the passport number and date of expiry must be provided.


Ref. of document Designation of document: purpose, nature, form

Country of

residence

Original, Copy (not

authenticated) or

Certification: Notarised or

with A postille or L egalised**

Translation into

French or English by

a sworn translator*

or - a declaration issued by the local authorities, dated within the previous three (3) months confirming the individual's address of permanent residence or - evidence of domicile, dated within the previous three (3) months (gas/electricity bill, rent receipt, telephone bill)

Criminal record certification of the authorised per son

An "extrait de casier judiciaire" (bulletin N° 3 6), dated within the previous three (3) months. France O No

No.7 An extract, dated within the previous three (3) months, from the Criminal records of the country of residence AND eventually upon special request an extract from the Criminal records in France.

EEE OECD Other

O Yes****

Mobile telephone subscription bill

No. 13

Mobile telephone bill dated within the previous three months, for the telephone number used to receive SMS notification of the login codes to access the registry.

France EEA

OECD Other

C No

Note: the administrator of the registry reserves the right to request a certified translation into the language of his/her choice of untranslated documents if he/she considers this necessary, as well as the contact details of any third party who has translated the documents supplied or attested their validity. * : Sworn translator registered with a French court or national authority of the account holder’s country of residence / country of domiciliation where the account holder is a legal entity. ** : Account must be taken where applicable of the Hague convention and any bilateral agreements on legalisation. **** : The translation is required only if the supplied document is not already in English or French

6 Online request available here : https://www.cjn.justice.gouv.fr/cjn/b3/eje20c


How to claim your French Criminal Records on line? Born outside France: please type-in following URL in your web browser: http://b3nref.cjn.justice.gouv.fr/selfserviceB3/reg ister.do Since this form is displayed in French only, please find below synoptic translation in English.

Born in France, please refer to following URL : https://www.cjn.justice.gouv.fr/cjn/b3/eje20

Documents

1. SUPPORTING DOCUMENTS RELATING TO THE LEGAL ENTITY, … · 1. SUPPORTING DOCUMENTS RELATING TO THE LEGAL ENTITY, THE LEGAL REPRESENTATIVE(S)/ THE ACCOUNT HOLDER(S) Ref. of doc